General Guidelines

Campus Awareness and Training: The campus AAO is responsible for developing and implementing an education and training program aimed at making students, faculty, and staff better equipped to handle campus sexual harassment issues. Information on external agencies will be available in the office of the Executive Director of Human Resources and Affirmative Action.

Withdrawal from the complaint process: A complainant may withdraw from this process at any time. Notice of such withdrawal must be provided in writing to the university AAO.

Stage I: Intervention -Advice and Counsel Stage:

Students, staff, or faculty members believing they have been victims of sexual harassment are encouraged to discuss their complaint or concerns in a timely fashion with the counselors in the UHCL Counseling Center, or either of two individuals additionally designated as counselors by the president to provide such advice and counsel. All efforts will be made to ensure that the counselors are representative of the university population. Counselors must also be knowledgeable and trained about sexual harassment issues. Counselors are responsible for working directly with individuals.

Actions that can be taken by the counselor in the intervention step include, but are not
limited to:

1. listening to the complainant to find out what action is desired;
2. advising the parties about the scope of the University's sexual harassment policy and procedures;
3. providing materials and information on recommended actions that the complainant may consider to communicate the unwelcome nature of the behavior of the respondent, such as advising the complainant on how to write a letter designed to stop unwelcome behavior;
4. sending a letter to everyone in the unit indicating concern about sexual harassment and enclosing a copy of the policy;
5. undertaking a preliminary and confidential investigation;
6. conducting a workshop on sexual harassment for the unit, division, or department, and keeping an attendance record as proof of notice given to the respondent of this policy;
7. having a supervisor speak to and counsel the respondent;
8. having the complainant meet with the respondent, with a third party present, to discuss the complaint;
9. helping to draft an agreement providing for a letter of apology, a transfer of either party, a voluntary resignation, or other levels of appropriate university sanctions; or
10. following up on an inquiry to see if the complaint has been resolved or if the complainant still wishes to take further action.

If a potential case of sexual harassment is discussed with one of these counselors, with written permission of the complainant the counselor may contact the individual against whom a complaint may be filed. Without disclosing any confidential information, the counselor will inform the potential respondent that a complaint may be filed. A copy of the UHCL sexual harassment policy will then be sent to the potential respondent for his/her education, and he/she will be encouraged to comply with that policy.

Confidentiality: All information discussed and documents presented during the advice and counsel stage will be kept confidential by the counselor. On request, all documents accumulated during the intervention phase will be returned to the parties who provided the documentation.

Records: The AAO will maintain sufficient records to document:

1. the date of the complaint and the date of the alleged incident
2. the name of the complainant and the respondent
3. counsel provided
4. action taken by complainant
5. action taken by counselor.

If the complainant decides to terminate the intervention, this action will not necessarily preclude an investigation by the AA/EEO representative.

Stage II: Intervention -Complaint Stage:

If a person files an official complaint, both the complainant and the respondent may seek the assistance of individuals willing to serve as advisors during the process. The advisor will have no formal role in the process other than to provide assistance and guidance. The advisor must be chosen from a list of persons willing to serve. The list will be maintained in the President's office. These persons will receive appropriate training by the UHCL AAO.  An advisor will be ineligible to serve any other role in the procedures relating to that particular case.

If, after working within this intervention process, an individual chooses to lodge an official complaint alleging sexual harassment in violation of the campus sexual harassment policy, the complainant will be referred to an intervention panel responsible for initially investigating and determining whether further action is warranted. As an alternative, by mutual consent of the complainant and the respondent, the AAO may assume all the responsibilities of this panel. Official complaints must be submitted in writing to the AAO. The AAO shall deliver, within 5 working days, a confidential copy of the official complaint to the respondent and the respondent's immediate supervisor, except in cases when the respondent is a student. When the respondent is a student, a copy of the complaint will be delivered to the student and to the Dean of Students.  In any case, formal complaints must be filed within one (1) year of the alleged sexual harassment incident.

Documents and Witnesses

Documents to be presented as evidence and names of potential witnesses must be presented to the AAO within 10 working days of filing of the complaint by the complainant and by the respondent within 10 working days of receiving the complaint.  There will be a simultaneous exchange of documents and witness lists between complainant and respondent conducted and documented by the AAO at least 5 working days prior to the hearing.

Only listed witnesses will be allowed to address the Intervention Panel. If information is made available to the Intervention Panel during the course of the hearing that the Intervention Panel deems necessary for the resolution of the charge, the Intervention Panel is vested with the authority to request testimony from additional witnesses or request additional documentation. The Intervention Panel can only hear testimony from additional witnesses and can only review additional documents if it allows the complainant and the respondent additional time to prepare a response.

Selection of the Intervention Panel:

Panel Membership: The panel will be a special committee comprised of one faculty member, one student member, and one staff member. The AAO, who is a non-voting member of the committee, will serve as chair of the committee.

Pools of Potential Panel Members: Each year the dean of each school shall appoint one faculty member to a faculty pool, and the Faculty Senate shall appoint four faculty members, one from each school, to the faculty pool. The Student Forum shall appoint eight students to a student pool. At the same time, the Senior Vice President and
Provost, upon the recommendation of the Support Staff and Professional Staff Councils, shall appoint four support staff and four professional staff to the support staff and professional staff pools. Thus, there will be eight faculty, eight students, four support staff, and four professional staff in the panel pool. All efforts will be made to ensure that the panel pools are diverse and representative of the university community.

When it becomes necessary to activate a panel to hear allegations of sexual harassment, the AAO will coordinate a process of striking persons from each pool, one at a time, with the complainant and the respondent taking turns, until there is the appropriate number of persons left in each pool. The first strike will be made from the faculty pool, and then turns will alternate until only one faculty member is left. The same process will then be followed in the student pool. If the complainant is not a staff member, the same process will be followed in a pool made up of the combined
professional staff and support staff pools. If the complainant is a staff member, the process of strikes will be carried out in the staff pool corresponding to the complainant. The remaining three persons (1 faculty, 1 student, and 1 staff) will constitute the Intervention Panel.

Responsibilities of the AAO and the Intervention Panel:

The AAO is responsible for:

1. Consulting with the complainant and formally notifying the respondent of
   the allegation.
2. Meeting with both the complainant and the respondent and collecting all
   facts bearing on the allegation.
3. Providing all potential Intervention Panel members training appropriate to
   the duties that they might perform.
4. Continued monitoring of the circumstances surrounding the complaint to ensure the situation has been remedied. 

The Intervention Panel is responsible for:

1. Attempting to informally resolve the conflict. If the complaint is informally resolved to the satisfaction of both parties, the matter will be considered closed. A confidential record of the disposition of the complaint will be maintained for a specific length of time, not to exceed three years, by the university president or his/her designee.
2. Determining, by review of the allegation and the respondent's reply, whether further action is warranted.

Intervention Panel Records: Official panel records will consist of

1. the written complaint,
2. the respondent's written response to the complaint,
3. all documents accumulated during the investigation, and
4. the panel's final written report and recommendation regarding the complaint.

Confidentiality: Complaint resolution proceedings will be closed. Pending final campus action on a complaint, all individuals charged with administering the policy will respect the confidentiality of the official proceedings and the complaint document.

Authorized Actions: If the complaint is not resolved at this stage, then the panel, by a majority vote (at least 2-1) based on a review of the allegation and the respondent's reply may:

1. Dismiss the complaint.
2. Dismiss the complaint with appropriate education, advice, and counsel with complainant and respondent. If the panel determines that the respondent was unaware of the effect of the alleged behavior, then the appropriate action will typically include counseling and education for the respondent with the instruction that the behavior cease. Based on the decision of the panel, a confidential record of the disposition of the complaint may be maintained for a specific length of time, not to exceed three years, by the university MO. Once dismissed, charges arising from that complaint may not be refiled.
3. Recommend the Initiation of a Hearing to resolve the matter. The recommendation to convene a hearing will be directed to the appropriate administrative officer. A copy of this recommendation will also be sent to the immediate administrative superior of the respondent and to the AAO:
   1. Appropriate academic dean if the respondent is a faculty member;
   2. Dean of students if the respondent is a student; or
   3. Appropriate vice president, president, or Chancellor if the respondent is a staff member.

An intervention panel does not determine "guilt" or "innocence" in an allegation. The committee first tries to resolve the matter, and then failing that decides whether to recommend action. All actions of the panel must be recommended by a majority vote (at least 2-1).

If the intervention panel recommends that a hearing be convened, then the appropriate administrative officer will direct the AAO to initiate a hearing.

Time frame: The intervention panel procedure begins with the initial filing of the complaint and should be completed within 40 working days.

Stage III: Hearing:

The convening of a hearing to resolve a sexual harassment complaint constitutes the formal complaint procedure for resolution.

A Hearing Committee will be convened in the following manner. It will consist of a total of five members. The members will be selected from the same pools of faculty, staff, and students used at Stage II. All members of the Stage II Intervention Panel will be excluded. Three members will be chosen by alternating strikeout from the pool of the respondent. If the complainant is from a different constituency than the respondent, one member will be chosen by alternating strikeout from the pool of the complainant. Finally one member will be chosen by alternating strikeout from the one remaining pool.  If the complainant and respondent are from the same constituency, one panel member will be chosen by alternating strikeout from each of the two remaining pools. If the complainant or the respondent is a staff member, the appropriate pool (support staff/professional staff) will be used. As an alternative in cases in which the complainant and the respondent are from the same constituency, by mutual consent they may elect that all members of the panel be drawn from the pool of their common constituency. The Hearing Committee will select its own chair from among its membership.

Documents and Witnesses

Documents to be presented as evidence and names of potential witnesses must be presented to the AAO within 10 working days following selection of the Hearing Committee. There will be a simultaneous exchange of documents and witness lists between complainant and respondent conducted and documented by the AAO at least 5 working days prior to the hearing.

Only listed witnesses will be allowed to address the Hearing Committee. If information is made available to the Hearing Committee during the course of the hearing that the Hearing Committee deems necessary for the resolution of the charge, the Hearing Committee is vested with the authority to request testimony from additional witnesses or request additional documentation. The Hearing Committee can only hear testimony from additional witnesses and can only review additional documents if it allows the complainant and respondent additional time to prepare a response.

After the hearing is concluded, the Hearing Committee will deliberate in closed session and arrive at a majority decision.

Authorized-Actions: The charge to the Hearing Committee is 1) to determine whether sexual harassment occurred, and 2) to determine appropriate action(s).
Upon completion of the hearing, the Hearing Committee will recommend an appropriate action.

Authorized actions include:

1. Dismissal of the charge.
2. Written reprimand.
3. Suspension for a specified time period (with or without pay for university faculty or staff). All cases of suspension shall require appropriate counseling.
4. Expulsion (students), or Termination (for university faculty or staff).
5. This procedure is to be used in place of all other procedures concerning grievances, but removal of tenure from a faculty member may only be accomplished through the grievance procedures outlined in the faculty handbook.

Hearing Committee: Findings and Recommendations:

Hearing Committee findings and recommendations will be forwarded to the appropriate administrative officer for review and action. In reviewing the findings and recommendations of the hearing officer or grievance panel, the administrative officer may:

1. Concur with and initiate the appropriate process to effect the recommended action, or
2. Concur with the findings, but implement a different action, or
3. Reject the findings, recommendations, or both, and implement different actions.

NOTE:  In case of 2 or 3, the administrative officer will notify the hearing committee in writing to explain the reason(s) for non-concurrence.

The investigatory process will cease with the findings and recommendations of the Hearing Committee.

Time-frame: Complaint hearings should begin and conclude within 40 working days from the date the official written complaint is received by the AAO.

Records Retention and Confidentiality: During the procedures, the complaint and all documents will be kept confidential, except that the appropriate administrative officers will be kept informed on a "need to know" basis. At whatever stage the procedure above is completed, the file containing all documentation in the complaint will be sent to the Office of Affirmative Action and retained as a file with limited access. However, all findings of violations of the sexual harassment policy and all sanctions imposed will be added to the respondent's personnel and/or student file.

Appeals of Formal Hearing Actions: Both complainant and respondent have the right to appeal by means of a single appeal to the Vice President or President who made the determination.

Cross Complaints:

The respondent may file a cross complaint during the pendency of the process.

Standard of Determination:

The standard for all determinations made under these procedures shall be a preponderance of the evidence presented before the hearing panel or officer concerning the validity of an allegation and the response to that allegation. The burden of proof is on the person making the allegations.