Policy 122.5 : EO Complaint Procedure

POLICY#:122.5
SUBJECT: EQUAL OPPORTUNITY COMPLAINT PROCEDURE
APPLIES TO: ALL EMPLOYEES AND STUDENTS
ISSUED BY: OFFICE OF CAMPUS Diversity and Equity
EFFECTIVE DATE: 7/94
REVIEW/REPLACES: COMPLAINT PROCEDURE FOR EO AND HARASSMENT
                 COMPLAINTS 6/92

                      EMPLOYEE AND STUDENT
              EQUAL OPPORTUNITY COMPLAINT PROCEDURE
              for the UNIVERSITY OF SOUTHERN MAINE

     The University of Southern Maine is committed to maintaining
a respectful, fair educational, living and working 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 Southern
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
Executive Director, Office of Campus Diversity and Equity
or other person designated by the campus as soon 
as possible after the alleged incident.  Any person may bring 
information or a concern about discrimination or harassment to 
the Executive Director, Office of Campus Diversity and Equity. 
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 Executive Director, Office of Campus Diversity and 
Equity will provide information about University 
policy and relevant laws, suggest ways to handle the complaint 
either informally or formally, and provide referrals to 
counseling, mediation 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 if filed, 
the investigation will be conducted by the Student Judicial 
Officer under the Student Conduct Code.  In such cases the 
Executive Director, Office of Campus Diversity and Equity 
may serve as a consultant.

     Alternate Investigator.  USM shall provide a qualified
alternate investigator in certain circumstances.  Complaints 
may be made to the alternate investigator if the Executive 
Director, Office of Campus Diversity and Equity 
is the subject of the complaint.  A request that the alternate 
investigator handle a complaint may be made if there is a 
concern that the Executive Director, Office of Campus 
Diversity and Equity has a substantial conflict 
of interest in connection to the complainant or the person 
accused.  If the Executive Director, Office of Campus 
Diversity and Equity files a complaint, 
it shall be investigated by the alternate investigator.

     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 the 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 Executive 
Director, Office of Campus Diversity and Equity.  
The Executive Director, Campus Diversity and Equity 
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 Executive Director, Office of Campus 
Diversity and Equity 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 Executive Director, Office of Campus Pluralism and
Equal Opportunity 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 Executive Director, Campus 
Diversity and Equity 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 Executive Director, Office of Campus Diversity
and Equity regarding the status of the complaint.  
If a complaint cannot be resolved informally, the complainant 
or the Executive Director, Office of Campus Diversity and Equity 
may request a formal investigation.

Formal Complaints

     Filing a complaint.  An employee or student who wishes to
file a formal complaint should contact the Executive Director,
Office of Campus Diversity and Equity, 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 Executive Director, Office of Campus
Diversity and Equity within seven (7) days of both the 
allegations and the complainant's identity.

     Investigative process.  The Executive Director, Office of 
Campus Diversity and Equity will meet with the 
complainant and the person accused and may request to meet with 
them together.  The Executive Director, Office of Campus Diversity 
and Equity 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 Executive Director, Office of
Campus Diversity and Equity 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 
Executive Director, Office of Campus Diversity and Equity 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 Executive Director, Office of Campus Diversity and Equity,
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 
Executive Director, Office of Campus Diversity and Equity
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 Office of Campus Diversity and Equity 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 Executive Director, Office of Campus Diversity and Equity,
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, Executive Director, 
Office of Campus Diversity and Equity, 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 union representative, if
they so choose.  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
Executive Director, Office of Campus Pluralism and Equal 
Opportunity.

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 for 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 the Executive Director, Office of Campus Diversity 
and Equity for additional copies.

Name and Contact

Executive Director, 
Office of Campus Diversity 
and Equity
                     Alternate            Alternate
Kathleen Roberts    Daryl McIlwain        Nolan Thompson
732 Law Building     222 Deering Ave     22 Deering Ave
Portland Campus      Portland Campus        Portland Campus

780-5094             780-5510             780-4073
780-5646(TTY)