1. University of California Policy on Sexual Harassment (PDF), 2/10/2006 and Procedures for Responding to Reports of Sexual Harassment (PDF) and Mandatory Sexual Harassment Training for Supervisors, 12/14/2004;
   
   
2. UCLA Student Conduct Code (PDF), Office of the Dean of Students.

II. INTRODUCTION

On December 14, 2004 the Office of the President issued a revised University of California Policy on Sexual Harassment and Procedures for Responding to Reports of Sexual Harassment (UC Procedures). The Policy has been revised again, as of February 10, 2006. The President directed campuses to adopt local implementing procedures for responding in a timely manner to reports of sexual harassment in accordance with the provisions of the UC Policy. Each campus is also required to designate a Title IX Compliance Coordinator (Sexual Harassment Officer).

III. GENERAL POLICY 

Sexual harassment is prohibited by University Policy, and federal and state law, and will not be tolerated in any form. University Policy also prohibits retaliation against a person who reports sexual harassment, assists someone with a report of sexual harassment, or participates in any manner in an investigation or resolution of a sexual harassment report. The University will respond promptly and effectively to reports of sexual harassment, and will take appropriate action to prevent, to correct, and if necessary, to discipline behavior that violates University Policy. For more information, see the UC Policy on Sexual Harassment.

Managers, supervisors and other designated employees are responsible for taking whatever action is necessary to prevent sexual harassment, to correct it when it occurs, and to report it promptly to the appropriate Complaint Resolution Officer or to the Sexual Harassment Officer.

IV. ASSIGNMENT OF RESPONSIBILITY

Responsibility for implementing the provisions of the UC Policy and UC Procedures is shared by the Sexual Harassment Officer and other campus officials, including managers and supervisors, as noted above. 

A. Sexual Harassment Officer

In accordance with UC Procedures, the duties and responsibilities of the campus Sexual Harassment Officer include, but are not limited to: 

1. Planning and managing the local sexual harassment education and training programs. The programs should include wide dissemination of policy to the University community; providing educational materials to promote compliance with the University policy and familiarity with local reporting procedures; and training University employees responsible for reporting or responding to reports of sexual harassment.
    
2. Maintaining records of reports of sexual harassment at the location and actions taken in response to reports, including records of investigations, voluntary resolutions, and disciplinary action as appropriate, in coordination with the appropriate offices that have responsibility for responding to reports of sexual harassment.
    
3. Preparing and submitting an annual report to the Office of the President, for submission to The Regents, on sexual harassment complaint activity during the preceding calendar year. 

Additionally, the Sexual Harassment Officer shall participate with other campus officials in the development and implementation of local procedures for prompt and effective response to reports of sexual harassment, and shall revise such procedures accordingly in response to related directives from the Office of the President or other authoritative entities which may be issued from time to time.

B. Sexual Harrasment Complaint Resolution Officers

Certain Complaint Resolution Officers (CRO) have been designated to review and investigate sexual harassment complaints when a report of sexual harassment is received. The responsibilities of CROs include:  

• Advising complainants of available complaint resolution options, timeframes, and confidentiality.
  
  
• Providing notification to individuals accused of violating the Policy on Sexual Harassment.
    
• Conducting fact-finding investigations.
   
• Compiling reports at the conclusion of the investigation. 

Reports of sexual harassment should be directed to the appropriate CRO based on the status of the person accused of sexual harassment, as shown in Attachment A.

C. Sexual Harassment Information Centers

Several Sexual Harassment Information Centers have been identified to serve as additional resources for members of the University community who have questions or concerns regarding behavior that may constitute sexual harassment. Sexual Harassment Information Centers provide information regarding applicable laws, University policies, and resource information on complaint resolution procedures. They may assist members of the University community by providing contact information for Complaint Resolution Officers, information on how to initiate a complaint and, if applicable, information about possible steps to prevent harassment. Unlike Complaint Resolution Officers, Sexual Harassment Information Centers do not investigate sexual harassment complaints. The contact information for designated trained sexual harassment advisors is listed in Attachment B.

V. REPORTING, AND RESPONDING TO REPORTS OF, SEXUAL HARASSMENT

A. Making Reports of Sexual Harassment

All members of the University community are encouraged to contact the Sexual Harassment Officer if they observe or encounter conduct that may be subject to the University’s Policy on Sexual Harassment.  

1. Reports of sexual harassment may be brought to the appropriate Complaint Resolution Officer, the Sexual Harassment Officer, to a human resources manager, or to any manager, supervisor, or other designated employee responsible for responding to reports of sexual harassment (see Attachment A).
    
2. If the person to whom harassment normally would be reported is the individual accused of harassment, reports may be made to another manager, supervisor, human resources manager, or designated employee. Managers, supervisors, and designated employees are required to notify the Sexual Harassment Officer, a Complaint Resolution Officer, or other appropriate official designated to review and investigate sexual harassment complaints when a report is received. 

Reports of sexual harassment shall be brought as soon as possible after the alleged conduct occurs, optimally within one year. Prompt reporting will enable the University to investigate the facts, determine the issues, and provide an appropriate remedy or disciplinary action. For reports of sexual harassment brought after one year, the campus shall respond to reports of sexual harassment to the greatest extent possible, taking into account the amount of time that has passed since the alleged conduct occurred.

B. Options for Resolution

Individuals making reports of sexual harassment shall be informed about options for resolving potential violations of the Policy on Sexual Harassment. These options shall include Early Resolution, Formal Investigation, and filing complaints or grievances under applicable University complaint resolution or grievance procedures (see section VI., below). Individuals making reports also shall be informed about policies applying to confidentiality of reports under this policy (see section IX., below). UCLA shall respond to the greatest extent possible to reports of sexual harassment brought anonymously or brought by third parties not directly involved in the harassment. However, the response to such reports may be limited if information contained in the report cannot be verified by independent facts.

Individuals bringing reports of sexual harassment shall be informed about the range of possible outcomes of the report, including interim protections, remedies for the individual harmed by the harassment, and disciplinary actions that might be taken against the accused as a result of the report, including information about the procedures leading to such outcomes.

An individual who is subjected to retaliation (e.g., threats, intimidation, reprisals, or adverse employment or educational actions) for having made a report of sexual harassment in good faith, who assisted someone with a report of sexual harassment, or who participated in any manner in an investigation or resolution of a report of sexual harassment, may make a report of retaliation under these procedures. The report of retaliation shall be treated as a report of sexual harassment and will be subject to the same procedures.

1. Procedures for Early Resolution

The goal of Early Resolution is to resolve concerns at the earliest stage possible, with the cooperation of all parties involved. The campus will explore options for Early Resolution when the parties desire to resolve the situation cooperatively and/or when a Formal Investigation is not likely to lead to a satisfactory outcome. Early Resolution may include an inquiry into the facts, but typically does not include a Formal Investigation. Means for Early Resolution shall be flexible and encompass a full range of possible appropriate outcomes. Early Resolution includes options such as mediating an agreement between the parties, separating the parties, referring the parties to counseling programs, negotiating an agreement for disciplinary action, conducting targeted educational and training programs, or providing remedies for the individual harmed by the harassment. Early Resolution also includes options such as discussions with the parties, making recommendations for resolution, and conducting a follow-up review after a period of time to assure that the resolution has been implemented effectively. Early Resolution may be appropriate for responding to anonymous reports and/or third party reports. Steps taken to encourage Early Resolution and agreements reached through early resolution efforts should be documented.

While the campus encourages early resolution of a complaint, the campus does not require that parties participate in Early Resolution prior to the campus’s decision to initiate a Formal Investigation. Some reports of sexual harassment may not be appropriate for Early Resolution, but may require a Formal Investigation at the discretion of the Complaint Resolution Officer, Sexual Harassment Officer, or other appropriate official designated to review and investigate sexual harassment complaints.

2. Procedures for Formal Investigation

In response to reports of sexual harassment in cases where Early Resolution is inappropriate (such as when the facts are in dispute in reports of serious misconduct, or when reports involve individuals with a pattern of inappropriate behavior or allege criminal acts such as stalking, sexual assault or physical assault) or in cases where Early Resolution is unsuccessful, the campus may conduct a Formal Investigation. In such cases, the individual making the report shall be encouraged to file a written request for Formal Investigation. The wishes of the individual making the request shall be considered, but are not determinative, in the decision to initiate a Formal Investigation of a report of sexual harassment. In cases where there is no written request, the Sexual Harassment Officer, Complaint Resolution Officer or appropriate official designated to review and investigate sexual harassment complaints, in consultation with the administration, may initiate a Formal Investigation after making a preliminary inquiry into the facts. Formal Investigation of reports of sexual harassment shall incorporate the standards listed below (a. through i.), including reports of sexual harassment filed by a student against a University employee(s).

When a student is accused of sexual harassment, regardless of the status of the alleged victim (i.e., another student, a faculty member, etc.), the relevant student disciplinary procedures set forth in the UCLA Student Conduct Code shall constitute the Formal Investigation. However, the student conduct proceedings shall incorporate relevant elements from the standards listed below, and other specifications as noted.

1. The individual(s) accused of conduct violating the Policy on Sexual Harassment (UC Policy) shall be provided a copy of the written request for Formal Investigation or otherwise given a full and complete written statement of the allegations and a copy of the UC Policy and Procedures for Responding to Reports of Sexual Harassment (UC Procedures).
   
   
2. The individual(s) conducting an investigation shall be familiar with the UC Policy and have training or experience in conducting investigations.
   
   All Student Conduct Committee members shall receive annual training concerning the University of California Policy on Sexual Harassment, as well as the evidence needed and the standards to be applied to determine whether a violation of the policy has occurred. (Refer to the UCLA Student Conduct Code for more information)
   
   
3. An investigation and student conduct proceedings generally shall include interviews with or testimony from the parties if available, interviews with or testimony from other witnesses as needed, and a review of relevant documents as appropriate. Disclosure of facts to parties and witnesses shall be limited to what is reasonably necessary to conduct a fair and thorough investigation. Participants in an investigation shall be advised that maintaining confidentiality is essential to protect the integrity of the investigation.
   
   
4. Upon request, the complainant and the accused may each have a representative present when he or she is interviewed. Other witnesses may have a representative present at the discretion of the investigator or the Student Conduct Committee, as appropriate, or as required by applicable University policy or collective bargaining agreement.
   
   In student conduct proceedings a representative is appointed on behalf of the University to present the case for the imposition of discipline. The accused student may also elect to have a representative appointed or may appear through a representative of his or her own choosing. The complainant is not a party to the disciplinary proceedings.
   
   
5. At any time during an investigation, the investigator or Dean of Students, as appropriate, may recommend that interim protections or remedies for the complainant or witnesses be provided by appropriate University officials. These protections or remedies may include separating the parties, placing limitations on contact between the parties, or making alternative working or student housing arrangements. Failure to comply with the terms of interim protections may be considered a separate violation of the UC Policy.
   
   
6. Investigations shall be completed as promptly as possible and in most cases within 60 working days of the date the request for Formal Investigation was filed. This deadline may be extended on approval by the Administrative Vice Chancellor; Vice Chancellor, Student Affairs; Vice Chancellor, Academic Personnel; or administrative officer to whom this authority has been delegated.
   
   
7. Generally, an investigation should result in a written report that at a minimum includes a statement of the allegations and issues, the positions of the parties, a summary of the evidence, findings of fact, and a determination by the investigator as to whether University policy has been violated. The report shall be submitted to officials with authority to implement the actions necessary to resolve the complaint. The report may be used as evidence in other related procedures, such as subsequent complaints, grievances and/or disciplinary actions.
   
   
8. The complainant and the accused shall be informed promptly in writing when the investigation or student conduct proceeding is completed. The complainant shall be informed if there were findings made that the UC Policy was or was not violated and of actions taken to resolve the complaint, if any, that are directly related to the complainant, such as an order that the accused not contact the complainant. In accordance with University policies protecting individuals’ privacy, the complainant may generally be notified that the matter has been referred for disciplinary action, but shall not be informed of the details of the recommended disciplinary action without the consent of the accused.
   
   
9. The complainant and the accused may request a copy of the investigative or Student Conduct Committee report, as appropriate, pursuant to University policy governing privacy and access to personal information, UC Business and Finance Bulletin RMP-8, Legal Requirements on Privacy of and Access to Information. However, the report provided shall be redacted to protect the privacy of personal and confidential information regarding all individuals other than the individual requesting the report in accordance with University policy.

VI. COMPLAINTS OR GRIEVANCES INVOLVING ALLEGATIONS OF SEXUAL HARASSMENT

Some claims of sexual harassment can be considered as part of formal grievances or other personnel dispute resolution processes under the Personnel Policies for UC Staff Members or collective bargaining agreements.

Relationship of complaint resolution process to other University grievance procedures

An individual who believes he or she has been subjected to sexual harassment may file a complaint or grievance pursuant to the applicable complaint resolution or grievance procedure. Such complaint or grievance may be filed either instead of or in addition to making a report of sexual harassment to the Complaint Resolution Officer, Sexual Harassment Officer or other appropriate official designated to review and investigate sexual harassment complaints under the UC Policy. A complaint or grievance alleging sexual harassment must meet all the requirements under the applicable complaint resolution or grievance procedure, including time limits for filing. (See Attachment C)

If a complaint or grievance alleging sexual harassment is filed in addition to a report made to the Complaint Resolution Officer, Sexual Harassment Officer or other appropriate official designated to review and investigate sexual harassment complaints under the UC Policy, the complaint or grievance shall be held in abeyance subject to the requirements of any applicable complaint resolution or grievance procedure, pending the outcome of the Early Resolution or Formal Investigation procedures. If the individual wishes to proceed with the complaint or grievance, the Early Resolution or Formal Investigation shall constitute the first step or steps of the applicable complaint resolution or grievance procedure.

An individual who has made a report of sexual harassment also may file a complaint or grievance alleging that the actions taken in response to the report of sexual harassment did not follow University policy. Such a complaint or grievance may not be filed to address a disciplinary sanction imposed upon the accused. Any complaint or grievance regarding the resolution of a report of sexual harassment under this procedure must be filed in a timely manner. The time period for filing begins on the date the individual was notified of the outcome of the sexual harassment investigation or other resolution process pursuant to the UC Policy, and/or of the actions taken by the administration in response to the report of sexual harassment, whichever is later.

If an individual chooses to file a claim with an outside state or federal agency, he or she is responsible for observing the time limits prescribed by the respective agency.

VII. REMEDIES AND REFERRAL TO DISCIPLINARY PROCEDURES

Findings of violations of the UC Policy may be considered in determining remedies for individuals harmed by the sexual harassment and shall be referred to applicable local disciplinary procedures. Procedures shall be coordinated with applicable complaint resolution, grievance, and disciplinary procedures to avoid duplication in the fact-finding process whenever possible. Violations of the UC Policy may include engaging in sexual harassment, retaliating against a complainant reporting sexual harassment, violating interim protections, and filing intentionally false charges of sexual harassment. Investigative reports made pursuant to the UC Policy may be used as evidence in subsequent complaint resolution, grievance, and disciplinary proceedings as permitted by the applicable procedures.

VIII. PRIVACY

The University shall protect the privacy of individuals involved in a report of sexual harassment to the extent required by law and University policy. A report of sexual harassment may result in the gathering of extremely sensitive information about individuals in the University community. While such information is considered confidential, University policy regarding access to public records and disclosure of personal information may require disclosure of certain information concerning a report of sexual harassment. In such cases, every effort shall be made to redact the records in order to protect the privacy of individuals.

An individual who has made a report of sexual harassment may be advised of sanctions imposed against the accused when the individual needs to be aware of the sanction in order for it to be fully effective (such as restrictions on communication or contact with the individual who made the report). However, information regarding disciplinary action taken against the accused shall not be disclosed without the accused’s consent, unless it is necessary to ensure compliance with the action or the safety of individuals.

IX. CONFIDENTIALITY

A. Confidential Resources

In addition to the offices responsible for receiving and responding to reports of sexual harassment, UCLA offers several confidential resources designed to assist individuals with concerns about sexual harassment. Individuals may discuss their concerns with these confidential resources and learn about their options, including making a report of sexual harassment, and the procedures and potential outcomes involved. Individuals who consult with confidential resources are advised that their discussions in these settings are not considered reports of sexual harassment and that without additional action by the individual, the discussions will not result in any action by the University to resolve their concerns. Following are designated campus confidential resources:

• Campus Ombuds Office
  
  
• Staff and Faculty Counseling Center
  
  
• Student Health Services
  
  
• Student Legal Services
  
  
• Student Psychological Services

B. Confidentiality in the Context of Making a Report of Sexual Harassment

Certain University employees, such as the Sexual Harassment Officer, managers, supervisors, and other designated employees, have an obligation to respond to reports of sexual harassment, even if the individual making the report requests that no action be taken. An individual’s request regarding the confidentiality of reports of sexual harassment will be considered in determining an appropriate response; however, such requests will be considered in the dual contexts of the University’s legal obligation to ensure a working and learning environment free from sexual harassment and the due process rights of the accused to be informed of the allegations and their source. Some level of disclosure may be necessary to ensure a complete and fair investigation, although the University will comply with requests for confidentiality to the extent possible.

X. RETENTION OF RECORDS

The Sexual Harassment Officer and Complaint Resolution Officers are responsible for maintaining records relating to sexual harassment reports, investigations, and resolutions. Records shall be maintained in accordance with University records policies, generally five years after the date the complaint is resolved. Records may be maintained longer at the discretion of the Sexual Harassment Officer or Complaint Resolution Officers in cases where the parties have a continuing affiliation with the University.

When a subsequent report concerns the subject of a previous complaint or is made by a previous complainant, all records or prior and subsequent reports shall be maintained until five years after the resolution of the latest report.

All records pertaining to pending litigation or a request for records shall be maintained in accordance with instructions from legal counsel.

XI. ATTACHMENTS