Reporting and Responding to Complaints of Discrimination, Harassment, and Related Misconduct Involving a University Employee as the Responding Party Procedures

University Procedure

Title

University of North Carolina at Chapel Hill Procedures for Reporting and Responding to Complaints of Discrimination, Harassment, and Related Misconduct Involving a University Employee as the Responding Party

Introduction

A. Purpose

The purpose of this Procedure is to outline the process for a prompt, impartial, and effective response to reports of Prohibited Conduct as defined in the Policy on Prohibited Discrimination, Harassment and Related Misconduct ("Policy") involving a University of North Carolina at Chapel Hill ("University") employee as the Responding Party.

B. Scope

This Procedure applies to the reporting and resolution of conduct that:

• Could constitute Prohibited Conduct as defined in the Prohibited Conduct section of the Policy, and
• Meets the requirements in the Jurisdiction section of the Policy, and
• Involves a University employee as the Responding Party as defined in the Key Terms section of the Policy.

This Procedure is intended to comply with current federal and state law. While the University will make good-faith efforts to update this Procedure to reflect any legal changes, if any provision of this Procedure conflicts with applicable law, the law will supersede that provision.

C. Key Terms

Administrative Advisor: An appropriate administrator with sufficient knowledge and authority to be consulted by UCO during the investigation and resolution of a report.

Outcome Team: A group of designated individuals convened to determine the appropriate course of action based on the investigator's findings and any other relevant information, considering the factors articulated in the Possible Actions Resulting from an Investigation section.

Policy: The University's Policy on Prohibited Discrimination, Harassment and Related Misconduct.

Preponderance of the Evidence: An evidentiary standard that means the totality of the relevant and not otherwise impermissible evidence supports the conclusion that it is more likely than not that the Prohibited Conduct occurred. If the investigator is not persuaded by the evidence that it is more likely than not that the behavior occurred, the investigator must not determine that the Prohibited Conduct occurred.

UCO: The University Compliance Office.

This Procedure also incorporates all defined terms in the Policy.

D. Resources

Safe at UNC website

Comprehensive Resource Guide

Procedure

A. Reporting Prohibited Conduct

Any person may report Prohibited Conduct to the UCO and/or the Title IX Coordinator or designee in person, by telephone, in writing, by e-mail, by using the UCO's electronic reporting form, or by any other means that results in the UCO, Title IX Coordinator, or designee receiving the person's verbal or written report. Details about how to report can be found in the Reporting Prohibited Conduct section of the Policy.

In addition to the process outlined in this Procedure, employees may have additional grievance rights with specific time-frame requirements for reporting conduct. To learn more about those grievance processes and filing deadlines, please refer to the Employee Grievances page on the University's HR website.

B. Response to a Report of Prohibited Conduct

Upon receiving a report of Prohibited Conduct, the UCO will conduct an Initial Assessment as described in the Policy. During the Initial Assessment, the UCO will evaluate several factors to determine whether to take action and, if so, the appropriate resolution route.

These factors include but are not limited to:

• The Reporting Party's request not to proceed with a Formal Resolution;
• The Reporting Party's reasonable safety concerns relating to proceeding with a Formal Resolution;
• The risk that additional acts of Prohibited Conduct would occur without pursuing a Formal Resolution;
• The severity of the alleged conduct, including whether the conduct, if proven, would require the removal of a Responding Party from campus or imposition of another disciplinary action to end the conduct and prevent its recurrence;
• The age and relationship of the parties, including the Responding Party's status as an employee;
• The scope of the alleged conduct, including information suggesting a pattern, ongoing behavior, or conduct alleged to have impacted multiple individuals;
• The availability of evidence to assist an investigator in determining whether Prohibited Conduct occurred; and
• Whether the University could end the alleged Prohibited Conduct and prevent its recurrence without initiating a Formal Resolution.

Where possible based on the facts and circumstances, the UCO will take action consistent with the Reporting Party's expressed preference for manner of resolution. However, in some circumstances, after considering the factors above, the University may determine that it must move forward to investigate reports in which there appears to be a threat to an individual or to the University as a whole. The University's ability to fully investigate and respond to a report may be limited or impossible if the Reporting Party requests that their name not be disclosed to the Responding Party or declines to participate in an Investigation.

If the Responding Party is no longer an employee at the time of the report, or if the conduct does not meet the jurisdictional requirements as outlined in the Policy, the University may not be able to fully investigate or take disciplinary action against the Responding Party.

The Initial Assessment may include consultation with appropriate campus units to determine if interim suspension, paid investigative leave, or other interim actions are appropriate for the Responding Party.

At the conclusion of the Initial Assessment, the Associate Vice Chancellor/Title IX Coordinator or designee will determine the appropriate resolution route. Resolution may include:

• Take no further action;
• Pursue an informal resolution that does not involve disciplinary action against the Responding Party; or
• Pursue a formal resolution, which may be an Alternative Resolution or an Investigation to determine if disciplinary action is warranted.

The UCO will take no further action where the conduct, even if true, would not constitute a Policy violation; where the UCO determines it can respect the Reporting Party's request for no further action; where the UCO is unable to identify relevant parties; and in other appropriate circumstances. To determine that the conduct, even if true, would not constitute a Policy violation, the UCO may request information from other University offices.

Regardless of how the matter is resolved, a Responding Party may choose to accept responsibility at any stage in the process.

C. Resolution Process

1. Time Frames

All time frames related to these resolution processes or otherwise listed in the Procedure may be extended on a case-by-case basis for good cause as necessary to ensure the integrity and completeness of the resolution process, 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. The UCO will share any extension of a time frame and the reason for the extension with the parties in writing. The UCO will make best efforts to complete the resolution process in a timely manner by balancing principles of thoroughness and fundamental fairness with promptness.

2. Access to Records

For reports addressed through an investigation, parties and their Advocates and Support Persons will be provided electronic copies of draft and final investigation reports and related evidence subject to the following limitations. Before receiving such copies, parties and their Advocates and Support Persons will be required to sign a Confidentiality Agreement. Failure to sign the Confidentiality Agreement and/or any failure to comply with the Confidentiality Agreement will result in the party and their Advocate and Support Person receiving download-restricted electronic access to materials for the remainder of the UCO process.

In all cases, parties and their Advocates and Support Persons will receive only download-restricted electronic access to the following types of materials: photographs or other visual images, excluding screenshots of text messages that do not contain photographs or other images; video or audio recordings; medical records; records requested by law enforcement to be produced via download-restriction; and records that cannot be watermarked without potentially altering the appearance of their content in a manner that impacts their evidentiary quality. In all cases, in the UCO's discretion, records may be produced via download-restricted electronic or in-person hard copy access when necessary to protect the integrity of the investigation, the privacy of the parties, or other significant interest. Parties and their Advocates and Support Persons are prohibited from screenshotting, photographing, copying, recording, or in any other manner reproducing materials provided by download-restricted electronic or in-person hard copy access but are permitted to take notes on the content.

In all cases, materials may be presented in redacted form.

For all other records requests, parties will not receive electronic or written copies of materials associated with reports under the Policy. Parties will, to the extent permissible and consistent with applicable other state and federal laws, receive access to those materials, which may be presented in redacted form. The parties and their Advocate and/or Support Person are not permitted to screenshot, photograph, copy, record, or in any other manner reproduce these materials but are permitted to take notes on the content.

3. Resources

A Report and Response Manager in the UCO will serve as a resource and point of contact for both parties and any witnesses throughout the applicable resolution and appeals or review processes to answer questions about the process and to connect parties to resources, support, accommodations, or Supportive Measures, as appropriate.

To the extent permitted by law and subject to some limitations, throughout the resolution process conducted by the UCO, any party may have a Support Person and/or Advocate present at any meeting related to resolution of a report under the Policy. For more information about the role of a Support Person or Advocate, refer to the Policy.

D. Informal Resolution Process

When a Reporting Party does not want to move forward with a formal resolution, informal resolution may be an option. Informal resolution is a voluntary process that focuses on supporting the Reporting Party with no participation or involvement by the Responding Party. In an informal resolution, it may be possible for a Reporting Party to maintain anonymity with respect to the Responding Party. An informal resolution does not involve an Investigation or disciplinary action against a Responding Party and is not appropriate for all types of Prohibited Conduct.

Informal resolutions may include, but are not limited to:

• Establishing or continuing Supportive Measures;
• Conducting targeted or broad-based educational programming or training for relevant groups; and
• Providing increased monitoring, supervision, or security at locations or activities where the alleged misconduct occurred.

The UCO will seek to complete the informal resolution process within 30 business days of the decision that informal resolution is appropriate. A Reporting Party may choose to end an informal resolution and pursue a formal resolution at any time, including when an informal resolution is unsuccessful at resolving the report. The UCO will maintain informal resolution records in accordance with the standards outlined in the Policy.

E. Formal Resolution

After determining that the University will move forward with a formal resolution, the University will initiate a prompt, thorough, and impartial resolution process. The University uses two types of formal resolution processes: Alternative Resolution and Investigation.

1. Alternative Resolution

At any time following the determination that formal resolution is appropriate and prior to the conclusion of an Investigation, either party may request, or the University may offer, Alternative Resolution. Alternative Resolution does not involve a full Investigation, adjudication process, or University-imposed disciplinary action and, when successful, results in a voluntary Alternative Resolution Agreement between the parties. Alternative Resolution will not be used to resolve reports that an employee sexually harassed a student.

See the Procedure for Alternative Resolution of Complaints of Discrimination, Harassment and Related Misconduct for more information.

2. Investigation

The University will provide for prompt, thorough, and impartial investigations of complaints. The UCO will oversee the Investigation. The Investigation is designed to provide a fair and reliable gathering of the facts by a trained and impartial investigator(s).

All individuals, including the Reporting Party, the Responding Party, and any 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 law and University policy. The UCO will provide all individuals whose participation is invited or expected in an investigative interview, hearing, or other meeting related to the Investigation process written notice of the date, time, location, participants, and purpose of the meeting with sufficient time for the person to prepare to participate.

Once the UCO determines that an Investigation is appropriate, the burden of proof and the burden of gathering evidence sufficient to reach a determination of responsibility rest with the University, not the parties. There is a presumption that the Responding Party is not responsible for the alleged Prohibited Conduct until a final determination is made at the conclusion of the Investigation and any applicable appeals or review processes.

During the Investigation, a party may object to the participation of an investigator based on a material bias or conflict of interest by submitting such objection in writing to the Associate Vice Chancellor/Title IX Coordinator. Objections must be submitted within five business days of written notice of the assigned investigator(s).

A party may object to the participation of the Associate Vice Chancellor/Title IX Coordinator based on a material bias or conflict of interest by submitting an objection in writing to the Chancellor's Chief of Staff. Objections must be submitted within five business days of the Notice of Investigation.

Any objection must identify with specificity the bias or conflict of interest and explain how it would affect the individual's ability to participate in the matter impartially. Bias or conflict of interest may include conflict of interest or bias for or against Reporting Parties or Responding Parties generally or the individual Reporting Party or Responding Party that would affect the outcome of the matter.

The administrator receiving the objection will assess the facts and circumstances to determine whether the alleged bias or conflict of interest would prevent the investigator or Associate Vice Chancellor/Title IX Coordinator from fulfilling their duties impartially and, if so, will take appropriate steps to ensure an impartial process.

An investigator or the Associate Vice Chancellor/Title IX Coordinator may decline to participate based on a material bias or conflict of interest by notifying the appropriate administrator.

a. Time Frame

The UCO will seek to complete an Investigation of alleged employee misconduct within 60 business days from the issuance of the Notice of Investigation.

In reports initiated through the SHRA Grievance Policy, the UCO will seek to complete the Investigation in accordance with the timelines set out by the University of North Carolina System and North Carolina Office of State Human Resources policies governing SHRA employee grievances.

b. Investigators

The Associate Vice Chancellor/Title IX Coordinator or designee will assign investigator(s) who have training and experience investigating allegations of Prohibited Conduct. The investigator(s) will gather information regarding the alleged conduct, review all evidence gathered through the Investigation, determine what evidence is relevant and what evidence is impermissible regardless of relevance, and prepare an investigation report summarizing all relevant and not otherwise impermissible evidence obtained as part of the Investigation. The investigator(s) will then determine if 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. If appropriate, the investigator(s) will recommend disciplinary action, corrective measures, and remedies.

c. Administrative Advisor

The UCO will identify the appropriate administrator(s) (the "Administrative Advisor") to consult with during the Investigation, if needed. The Administrative Advisor is typically the Responding Party's second-level supervisor but may be another appropriate administrator or designee. The Administrative Advisor provides departmental expertise and logistical support in implementing disciplinary action, corrective measures, and remedies, as appropriate. The Administrative Advisor will review the investigation report and discuss the findings and implementation of the recommendations with the UCO. The Administrative Advisor cannot reject investigatory findings, disciplinary actions, or other corrective measures.

d. Written Notice of Investigation

The Investigation process begins with written notice to the parties. The University will provide the Notice of Investigation to parties generally within 10 business days of the later of the UCO's receipt of a request for an Investigation or receipt of adequate information to determine that the alleged conduct in the report could, if true, constitute Prohibited Conduct. To the extent the University has reasonable concerns for the safety of any person as a result of providing the notice, the UCO may reasonably delay providing the Notice of Investigation to address the safety concerns appropriately. Such reasonable concerns must be based on an individualized safety and risk analysis, not mere speculation or stereotypes.

The Notice of Investigation will include the following information:

• Notice of the University's procedures for resolving reports of Prohibited Conduct.
• Notice of the allegations of Prohibited Conduct and sufficient information available at the time to allow the parties to respond to the allegations, including, if known, the following:
  • The identities of the parties involved in the incident(s);
  • A summary of the conduct reportedly constituting Prohibited Conduct; and
  • The approximate date and location of the reported incident(s).
• Information about the range of potential disciplinary actions, including, where appropriate, notification that termination is a possible action for a Responding Party.
• Information about the parties' rights and responsibilities, including the following:
  • That the Responding Party is presumed not responsible for the reported conduct and that a determination regarding responsibility is made at the conclusion of the Investigation or applicable appeal or review processes;
  • That the parties may have an Advocate of their choice, who may be, but is not required to be, an attorney, accompany them to any meeting or proceeding;
  • That for each requested meeting (including interviews), the UCO will provide each party sufficient time for the party to prepare to participate in the meeting;
  • That prior to the determination, the parties have an equal opportunity to provide relevant and not otherwise impermissible evidence to a trained, impartial investigator(s); and
  • That it is a violation of the University's Student Code of Conduct to knowingly make false statements or knowingly submit false information during the resolution process.
• A statement that Retaliation is prohibited and how to report incidents of Retaliation.

If, during an Investigation, the University decides to investigate additional allegations involving the same parties or learns information requiring the original allegations to be amended, the UCO will provide an amended Notice of Investigation to the parties in writing.

e. Consolidation of Complaints

At the University's discretion, the UCO may consolidate multiple reports into one Investigation if information related to each incident would be relevant in reaching a determination regarding the other incident(s). This includes, but is not limited to, matters where the UCO has determined that there is relevant pattern evidence or where the evidence relating to the other alleged conduct is inextricably intertwined with Prohibited Conduct under the Policy. The UCO may consolidate matters when they involve multiple Reporting Parties, multiple Responding Parties, or related conduct within a department or unit. When more than one Reporting Party or more than one Responding Party is involved, references in this Procedure to a party, Reporting Party, or Responding Party include the plural, as applicable.

f. Intersection with Laws or Other Policies

If the report includes allegations that could potentially violate other University policies, the UCO may co-investigate with other relevant units or may seek authorization to investigate from the applicable policy authority to maximize efficiency, minimize disruption, and impart a prompt and appropriate resolution by the University. Where an applicable policy authority authorizes UCO to investigate allegations under their policy, these Procedures will apply to those allegations, unless there is a conflict between these Procedures and that policy, in which case that policy will control.

When the University becomes aware of a concurrent criminal investigation, the UCO will coordinate with law enforcement to prevent University processes from interfering with the integrity or timing of the law enforcement investigation. At law enforcement's request, the University may agree to defer the fact-finding portion of its Investigation until after the initial stages of a criminal investigation. The UCO will communicate with the parties regarding resources and accommodations, procedural options, anticipated timing, and the implementation of any necessary Supportive Measures for the safety and well-being of the parties. The investigator(s) will promptly resume fact-gathering as soon as law enforcement releases the case for review following the initial criminal investigation.

g. Information and Evidence Collection

During the Investigation, the Reporting Party and Responding Party will have an equal opportunity to present fact and expert witnesses and inculpatory and exculpatory evidence that is relevant and not otherwise impermissible. The investigator(s) 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(s) may gather or receive information that is relevant to the determination of appropriate disciplinary actions, corrective measures, or remedies, including information about the impact of the alleged incident on parties.

The investigator(s) 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, communications between the parties, email messages, social media materials, text messages, and other records as appropriate and available.

i. Relevance

The University requires investigator(s) to objectively evaluate all evidence that is relevant and not otherwise impermissible, as described in this section. Relevant means related to the allegations of Prohibited Conduct under investigation as part of the Investigation process. Questions are relevant when they seek evidence that may aid in showing whether the alleged Prohibited Conduct occurred, and evidence is relevant when it may aid an investigator(s) in determining whether the alleged Prohibited Conduct occurred.

Character evidence is information that does not directly relate to the facts at issue but reflects on the reputation, personality, qualities, or habits of an individual. If a party or witness offers character evidence, the investigator(s) will evaluate the evidence for relevance and permissibility. However, character evidence is generally not relevant to determining whether there is a Policy violation.

Pattern evidence is evidence of an occurrence(s) of relevant behavior before, during, or after the conduct under investigation so distinctive and so closely resembling either party's version of the alleged encounter as to tend to prove a material fact. The investigator(s) will evaluate proposed pattern evidence by assessing whether the previous or subsequent incident was substantially similar to the conduct described in the allegations or indicates a pattern of behavior and substantial conformity with that pattern. The investigator(s) will also evaluate offered pattern evidence for relevance and permissibility.

ii. Impermissible Evidence

The following types of evidence, and questions seeking that evidence, are impermissible and must not be considered regardless of whether they are relevant, except by the investigator(s) to determine whether an exception applies, and will not be disclosed or otherwise be used:

• Evidence that is protected under privilege as recognized by federal or state law or evidence provided to a confidential employee, unless the person whom the privilege or confidentiality is owed has voluntarily waived the privilege or confidentiality in writing;
• A party's or witness's records that are made or maintained by a physician, psychologist, or other recognized professional or paraprofessional in connection with the provision of treatment to the party or witness, unless the University obtains that party's or witness's voluntary, written consent for use in the resolution process; and
• Evidence that relates to the Reporting Party's sexual interests or prior sexual conduct, unless evidence about the Reporting Party's prior sexual conduct is:
  • Offered to prove that someone other than the Responding Party engaged in the alleged conduct; or
  • Evidence about specific incidents of the Reporting Party's prior sexual conduct with the Responding Party that is offered to prove consent to the alleged Prohibited Conduct.

iii. Credibility

The Investigation process will provide the opportunity for the investigator(s) to question parties and witnesses to adequately assess a party's or witness's credibility to the extent credibility is both in dispute and relevant to evaluating one or more allegations. Credibility determinations must not be based on a person's status as a Reporting Party, Responding Party, or witness.

h. Review of Draft Investigation Report

At the end of the Investigation, but before the investigator(s) issue a final investigation report, the UCO will, as permitted by law or policy, provide the parties with an equal opportunity to review a draft investigation report that summarizes the information gathered and synthesizes the areas of agreement and disagreement between the parties with any supporting information or accounts.

The draft investigation report will not include an investigative finding and may be presented in redacted form.

The parties may submit any additional comment or information to the investigator(s) within 10 business days following the date of the notice of the opportunity to review the draft investigation report. This is the final opportunity for the parties to identify any additional information or witnesses for the investigator(s) to consider.

i. Final Investigation Report and Finding

After receiving the parties' written responses or after the lapse of 10 business days without receipt of such responses, the investigator(s) will consider any written response(s) and create a final investigation report. In the final investigation report, the investigator(s) will evaluate the relevant and permissible evidence for its persuasiveness and make a finding as to whether the Preponderance of the Evidence supports a finding that the Responding Party engaged in Prohibited Conduct and will include the rationale for the finding. If the investigation report includes a finding that the Responding Party violated the Policy, the investigator(s) will also include recommended disciplinary actions, corrective measures, and remedies, if applicable. In reaching these determinations, the investigator(s) may consult with the Associate Vice Chancellor/Title IX Coordinator, the Administrative Advisor, and any other designated administrator who has information relevant to the Investigation.

j. Administrative Advisor Review

After completing the final investigation report, the UCO will send simultaneous notices to the Reporting Party, Responding Party, and Administrative Advisor indicating that the Administrative Advisor review period is underway. The investigator(s) will send the final investigation report to the Administrative Advisor for review and recommendations. The investigator(s) will generally send the final investigation report to the Administrative Advisor within 10 business days of the end of the draft review period. The Administrative Advisor will have five business days to review the investigation report.

k. Written Notice of Investigative Finding

The UCO will provide simultaneous written notice to both the Reporting Party and Responding Party of the investigative finding and recommended disciplinary actions, corrective measures, and/or remedies, to the extent permitted by law, within 15 business days after the UCO provides the completed investigation report to the Administrative Advisor. The confidentiality protections provided by the North Carolina State Human Resources Act and the Family Educational Rights and Privacy Act of 1974 (FERPA) may limit the amount of information provided to the parties.

l. Outcome Team

If the recommendations include disciplinary action and/or further corrective measures in the relevant department or unit, the UCO will assemble an Outcome Team to determine the appropriate course of action based on the investigative findings and any other relevant information, considering the factors articulated in the Possible Actions Resulting from an Investigation section below.

m. Special Provisions for Investigation Initiated through the SHRA Grievance Policy

The following special provisions apply to investigations initiated through the SHRA Grievance Policy and supersede other provisions in this procedure.

In reports initiated through the SHRA Grievance Policy, the UCO will seek to complete the Investigation in accordance with the timelines set out by the University of North Carolina System and North Carolina Office of State Human Resources policies governing SHRA employee grievances.

Within 70 calendar days of the grievance filing, the UCO will, as permitted by law or policy, provide the parties with an equal opportunity to review any evidence obtained as part of the investigation. The parties will have two calendar days to submit a written response to the investigator(s), identifying any gaps in the evidence collected or any additional witnesses. This is the final opportunity for the parties to identify witnesses for the investigator(s) to consider.

Within five calendar days of the conclusion of the evidence review period, the UCO will, as permitted by law or policy, provide the parties with an equal opportunity to review a draft investigation report that summarizes the information gathered and synthesizes the areas of agreement and disagreement between the parties with any supporting information or accounts. The draft investigation report will not include an investigative finding. The evidence and draft investigation report may be presented in redacted form.

The parties may submit any additional comment or information to the investigator(s) within two calendar days following the date of the notice of the opportunity to review the draft investigation report. This is the final opportunity for the parties to identify any additional information for the investigator(s) to consider.

To be provided the opportunity to review the evidence and draft investigation report in advance of the investigator issuing a determination, the Reporting Party must consent to a 15-calendar-day extension of the time to complete the investigation, as set out in the SHRA Grievance Policy. Failure to consent to this extension in writing by the deadline provided by the UCO waives the Reporting Party's opportunity to review the evidence and the draft investigation report.

Within five calendar days of the conclusion of the draft review period, the investigator(s) will consider any written response(s) and create a final investigation report as described above. After completing the final investigation report, the UCO will send simultaneous notices to the Reporting Party, Responding Party, and Administrative Advisor, indicating that the Administrative Advisor review period is underway. The investigator(s) will send the final investigation report to the Administrative Advisor for review and recommendations. The Administrative Advisor will have three calendar days to review the investigation report.

The UCO will provide simultaneous written notice to both the Reporting Party and Responding Party of the investigative finding and recommended disciplinary actions, corrective measures, and/or remedies, to the extent permitted by law, within 90 calendar days of the grievance filing.

The time frames for the parties' opportunities to review the evidence and the draft investigation report will not be extended absent extraordinary circumstances, and any time frame extension is at the UCO's sole discretion.

F. Possible Actions Resulting from an Investigation

Disciplinary action or corrective measures are designed to eliminate Prohibited Conduct under the Policy, prevent its recurrence, and remedy its effects while supporting the University's federal obligations and responsibilities as an employer. 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 severe disciplinary action, including suspension or separation from employment with the University.

In determining the appropriate course of action, the UCO 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 discipline 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 (e.g., Faculty, EHRA Non-Faculty, SHRA). To ensure consistency and equal treatment across all employee categories, the UCO, 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 provide supporting documentation to the UCO 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 exclusively or in combination with corrective measures. There are several types of disciplinary actions for employees, which may include, but are not limited to, the actions described below, to the extent permitted by applicable employee disciplinary procedures. The terminology, process, and requirements applicable to disciplinary actions may differ among the different categories of employees, and those details may be found in the disciplinary action policies specific to each category of employee:

• Dismissal/Discharge: Termination of employment with the University. When an employee is dismissed or discharged due to Prohibited Conduct, the UCO will classify the employee as ineligible for rehire in accordance with the Ineligibility for Rehire Policy and associated procedure.
• Suspension without Pay: Suspension of employment for a specific period of time.
• Demotion: A decrease in rank and/or compensation.
• Written Warning/Letter of Reprimand: An official reprimand letter placed in the employee's file giving the employee notice that any subsequent violation of University policies will carry more serious disciplinary actions and/or requiring the employee to participate in or adhere to other non-disciplinary corrective measures.

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 into 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(s) finds that the Responding Party did not violate the Policy, the Outcome Team may require training, education, or other corrective measures 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, or addition of specific conditions for continued employment that do not entail a demotion of rank and/or pay.

3. Remedies

When there has been a determination that the Responding Party has violated the Policy, the University may implement appropriate remedies, considering the findings and unique circumstances of each report. Remedies are measures taken to address the effects of the conduct on the Reporting Party, restore the Reporting Party's safety and well-being, and maximize the Reporting Party's educational and employment opportunities. Remedies should seek to restore to the Reporting Party, to the extent possible, all benefits and opportunities lost as a result of the Prohibited Conduct.

Remedies may include, but are not limited to:

• Adjustment of work assignments, location, and/or schedule; or
• Recommending or requiring a review of a negative performance decision that may have resulted from the conduct that violated the Policy.

The UCO and Outcome Team will identify long-term or permanent remedies for the Reporting Party and address any effects of the conduct on the University community. Long-term remedies may include extending or making permanent any Supportive Measures or implementing additional Supportive Measures tailored to achieve the goals of the Policy. Many of the remedies and supports a Reporting Party might need after a finding of responsibility will already have been provided as Supportive Measures, including but not limited to no contact orders, access to available resources through the Employee Assistance Program, and modifications to employment arrangements. The UCO will, in all cases, consider whether additional or extended remedies are needed.

G. Outcome

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. Where appropriate, the finality of the outcome will be simultaneously communicated to the parties in writing.

H. Review Options

The Reporting Party or Responding Party may have an option for further review of the Investigation outcome or process, as applicable. Options for Support Person and Advocate participation in review and/or appeal processes may vary in accordance with applicable laws, policies, and procedures.

1. Grievance Options

Parties who are employees may have grievance options and should consult the relevant grievance policy:

• EHRA Non-Faculty Grievance Policy
• SHRA Grievance Policy
• Faculty Grievance Committee
• Faculty Hearings Committee

2. Option for Post-Doctoral Scholar Responding Parties

Responding Parties who are Post-Doctoral Scholars may request a review of the Investigation outcome by the UCO through a Hearing. The Responding Party must notify the UCO of their request to review the outcome within five business days of the Notice of Investigative Finding, and if the Responding Party does not timely request a hearing on the outcome, the investigative finding is final and not subject to further review. Hearings will be conducted in accordance with the Hearing Phase section of the Procedures for Reporting and Responding to Complaints of Discrimination, Harassment and Related Misconduct Involving a Student as the Responding Party.

3. Administrative Review

Parties may request an Administrative Review if they do not have a grievance process or hearing option available to them. To request an Administrative Review, employees must first timely file with the applicable grievance committee. If the grievance committee determines it lacks jurisdiction, the employee may request an Administrative Review within five business days of notification of the lack of jurisdiction. Employees are not eligible to request an Administrative Review if they fail to timely file with the applicable grievance committee or if the applicable grievance committee makes a determination on the matter. All other individuals must request an Administrative Review within five business days of the Notice of Investigative Finding.

The request for an Administrative Review must be accompanied by a written statement of the reason for the request and the requested outcome. The request will be shared with the other party, who will have five business days to submit a written response to the request. The Associate Vice Chancellor/Title IX Coordinator or designee may also submit a written response within five business days from the deadline for the parties' submission.

The Administrative Reviewer may speak to or request written information from the Associate Vice Chancellor/Title IX Coordinator or designee, investigator(s), or the parties, as appropriate. If the Administrative Reviewer elects to speak with one party, the Administrative Reviewer will provide the other party with an equal opportunity to speak.

A designee of the Chancellor will conduct the Administrative Review and evaluate the investigation report, request for review, and any responses. The Administrative Reviewer will consider all of the information provided to determine whether there was a clear and material error that would affect the outcome of the matter.

The Administrative Reviewer will simultaneously provide a written decision to the parties within 20 business days of the request for Administrative Review.

If the Administrative Reviewer finds that the outcome of the Investigation was not the result of clear and material error that would affect the outcome of the matter, the investigative finding and outcome will be final and are not subject to further appeal or review. If the Administrative Reviewer finds that the Investigation outcome resulted from a clear and material error that would affect the outcome of the matter, the Administrative Reviewer will document the reasons for the decision and remand the report to the UCO for further review and follow-up. After the UCO's further review and follow-up, the outcome is final unless applicable Board of Trustees procedures provide for further appeal rights.

I. Post-Resolution Follow-Up

After a resolution, the UCO may periodically contact the parties to:

• Ensure the Prohibited Conduct has ended,
• Determine if additional remedies are necessary, and
• Assure compliance with any disciplinary action or other corrective measures that have been imposed.

Any violation by a Responding Party of a disciplinary action or corrective measure imposed under the Policy or a failure by a University employee to provide a specified remedy or Supportive Measure should be reported to the UCO or Associate Vice Chancellor/Title IX Coordinator.

The Reporting Party and Responding Party are encouraged to share their feedback with the UCO about their experience and to suggest ways to improve how the University implements the Policy.

J. Consultation with the UCO

For all matters under the Policy, all grievance panels and adjudicatory bodies must consult with the UCO as needed on policy interpretation and application, 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 to help the UCO facilitate consistency across processes regarding policy application, procedures, disciplinary actions, and remedies so all categories of employees are treated consistently.

K. External Agreements

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

Related Requirements

See "Related Requirements" in the Policy.

Contact Information

General Inquiries or Concerns

Office: University Compliance Office

Telephone: 919-966-3576

Email: uco@unc.edu

Inquiries or Concerns about Title IX

Name: Elizabeth Hall, Associate Vice Chancellor/Title IX Coordinator

Telephone: 919-445-1297

Email: cehall@email.unc.edu

Concerns about the University's Application of Laws Covered by this Policy

United States Department of Education, Office for Civil Rights (OCR)

• Website: OCR website
• Telephone: 800-421-3481
• Email: OCR@ed.gov

United States Equal Employment Opportunity Commission (EEOC)

• Telephone: 800-669-4000
• Email: info@eeoc.gov