UMGC Procedures P-VI-1.00 Adjudicative and Investigative Procedures

These procedures UMGC Policy VI-1.00 Non-Discrimination and Anti-Harassment apply to Staff, Faculty, Students, and Third Parties (other than an applicant for employment). Complaints of misconduct of a sexual nature will be addressed under UMGC Policy 041.00 Sexual Misconduct as appropriate. (Certain complaints may be referred to UMGC’s Title IX Coordinator under the Sexual Misconduct policy as appropriate.)

UMGC’s policy and procedures for requesting disability accommodations may be found in UMGC Policy VI-1.01 Workplace Reasonable Accommodations or UMGC Policy V-1.30 Student Reasonable Accommodation. Complaints of discrimination on the basis of disability may be made under this Non-Discrimination and Anti-Harassment Policy. (Certain complaints may be referred to Policy VI-1.00 Workplace Reasonable Accommodations or Policy V-1.30 Student Reasonable Accommodation, as appropriate.)

1. Complaint Procedures
   1. Reporting: Individuals who experience violations of this Policy are encouraged to promptly file a complaint with the Fair Practices Officer or bring it directly to the attention of their supervisor. Supervisors, Faculty, and University administrators who receive or become aware of a complaint of conduct in violation of this Policy must report it to the Fair Practices Officer.
      1. Complaints may be filed by UMGC students, faculty, staff, and third parties (including applicants for employment) engaging in educational, employment, or business activities or programs.
      2. Staff, Faculty or Third Parties (other than an applicant for employment) who file a complaint subject to review under this Policy and Procedures will be required to elect to proceed under this Policy and Procedures and may not bring the complaint for review under any other UMGC or USM policies or other statutory or non-statutory grievance procedures.
   2. Timeliness: Complaints must be made within thirty (30) calendar days of the incident(s). This time limit may be waived if good cause is shown for the delay in filing.

   3. Expectation of Cooperation

      Employees have an affirmative duty, and students are encouraged, to report immediately to Fair Practices any behavior that they believe may be in violation of UMGC Policy VI-1.00. Cooperation helps UMGC to address and remedy discrimination.
      1. All staff and faculty members shall cooperate fully with a discrimination or harassment investigation.
         1. A staff or faculty member who fails to cooperate during an investigation, provides false information, obstructs, or in any way impedes an investigation shall be subject to disciplinary action, up to and including termination.
      2. All students shall cooperate fully with a discrimination or harassment investigation.
         1. A student who fails to cooperate during an investigation, provides false information, obstructs, or in any way impedes an investigation may be subject to disciplinary action.
      3. All third parties shall cooperate fully with a discrimination or harassment investigation.
   4. Confidentiality: Consistent with the need for a full assessment of the facts, the investigation will safeguard the confidentiality of the individuals involved as much as possible. However, efforts to safeguard the confidentiality of Parties and witnesses shall not restrict their rights to discuss the allegations being investigated or to gather and present relevant evidence.
2. Initial Assessment
   1. Individuals may sign and submit a Complaint Form setting out the facts and circumstances of the allegation(s). Written complaints are encouraged, but not required. If a verbal complaint is made, the Fair Practices Officer will prepare a written statement of the allegations and the Complainant will be required to acknowledge its accuracy in writing.
      1. The Fair Practices Officer will acknowledge receipt of the complaint within five (5) business days of receipt.
      2. The Fair Practices Officer will conduct an initial assessment of the complaint within three (3) business days of receipt acknowledgment, to determine whether the complaint is applicable to the Policy, based on whether:
         1. The Office of Diversity and Equity has jurisdiction over the alleged conduct and the Respondent;
         2. The complaint has previously been filed under another University policy;
         3. The complaint is suitable for alternative resolution; and
         4. The allegations, if true, would constitute a Policy violation.
   2. If it is determined that the complaint is not appropriately filed with the Office of Diversity and Equity, the Complainant will be informed of the reason within five (5) business days and be provided with the applicable office or department designated to hear their concerns.
   3. Should Complainant decide not to proceed and/or withdraw their complaint, the Fair Practices Officer will assess and make the determination whether an investigation is warranted. If warranted, in the absence of a Complainant, the Fair Practices Team member may proceed with these complaint procedures and act in the place of a Complainant. 
   4. When an initial assessment results in a determination that an investigation is warranted, the Fair Practices Officer shall notify the person against whom an allegation(s) of unlawful discrimination or harassment is made (“Respondent”) and Respondent will receive a redacted copy of the Complaint received and that an investigation will commence.
      1. When the initial assessment results in a determination that no investigation is warranted, FPO shall notify Complainant in writing within three (3) business days.
   5. The Fair Practices Officer shall notify the Complainant and person against whom an allegation(s) of unlawful discrimination or harassment is made ("Respondent") of their rights under this Policy, including:
      1. both parties have a right to an impartial investigation;  
      2. both parties have a right to produce relevant documents, witnesses, and other material they would like the investigation to include; and
      3. both parties may have an advisor of their choice present to provide advice during the investigative interview; however, the advisor may not speak or act on behalf of the party.
3. Investigation
   1. The Fair Practices Officer will assign an Investigator who will conduct an adequate, reliable, and impartial investigation of the complaint.
   2. The investigator will interview the Complainant, the Respondent and any other available relevant witnesses and review available relevant documents.
   3. Standard of Review: In making the determination of whether a Policy violation has occurred, the standard of review is “preponderance of the evidence,” which means it is more likely than not that a Policy violation occurred.
4. Written Report of Investigation and Findings
   1. The investigator shall complete a written report, within sixty (60) calendar days of its investigation, to the Fair Practices Officer. Fair Practices seeks to complete an investigation within sixty (60) calendar days and may extend the time frames set forth in this Policy for good cause. Exceptions to this timeframe may vary depending on the complexity of the investigation, access to relevant parties, and the severity and extent of the alleged Discrimination. The report shall include a summary of the allegations, evidence reviewed and witness statements, findings of material fact and an analysis of those facts, and a conclusion stating whether the Policy was violated, based on the preponderance of evidence standard.
   2. The Fair Practices Officer shall advise Complainant and Respondent(s) simultaneously in writing of the result or outcome of any investigation conducted under the Policy. Copies of the investigative report may be requested by either party, and will be redacted to comply with applicable law.
   3. If the Respondent is a faculty, staff member, student or third party (other than an applicant for employment) and not found in violation, the investigator will:
      1. Submit the report to the Fair Practices Officer within thirty (30) calendar days after the complaint was received.
      2. The Fair Practices Officer will issue a Notice of Findings and/or investigative report to the Complainant and Respondent.
   4. If the Respondent is a staff member and found in violation of the Policy, the investigator will:
      1. Submit the report to the Fair Practices Officer within thirty (30) calendar days after complaint was received.
      2. The Fair Practices Officer will issue a Notice of Findings and investigative report to the Complainant and Respondent.
      3. If disciplinary action is recommended, the Fair Practices Officer will submit a report to the Office of Human Resources.
         1. Human Resources will report on any action taken within five (5) business days.
   5. If the Respondent is a faculty member and found in violation of the Policy, the investigator will:
      1. Submit a report to the Fair Practices Officer within thirty (30) calendar days after complaint was received.
      2. The Fair Practices Officer will issue a Notice of Findings and investigative report to the Complainant and Respondent.
      3. If disciplinary action is recommended, the Fair Practices Officer will submit a report to the Chief Academic Officer.
         1. Chief Academic Officer will report any action taken within five (5) business days.
   6. If the Respondent is a third party (other than an applicant for employment), and found in violation of the Policy, the investigator will:
      1. Submit a report to the Fair Practices Officer within thirty (30) calendar days after complaint was received.
      2. The Fair Practices Officer will issue a Notice of Findings and investigative report to the Complainant and Respondent.
      3. If disciplinary action is recommended, the Fair Practices Officer will submit a report to the Third Party’s appropriate supervisory authority.
   7. If the Respondent is a student and found in violation of the Policy, the investigator will:
      1. Submit the report to the Fair Practices Officer within thirty (30) calendar days after the complaint was received.
      2. The Fair Practices Officer will issue a Notice of Findings and investigative report to the Complainant and Respondent.
      3. If disciplinary action is warranted the FP/EO will submit a report to the Student Code of Conduct Administrator for adjudication by an investigation committee in accordance with UMGC Policy V-1.03 Code of Student Conduct. The complaint of discrimination or harassment will not be processed further under this Policy and Procedures.

5. Appeals

   The Complainant and/or Respondent may appeal the investigation finding within five (5) business days of the date of receipt of the Notice of Findings by submitting a written statement of their intent to appeal and the stated grounds as specified below. The scope of the appeal is limited to the grounds set forth below. Mere dissatisfaction with the finding is not a valid basis for appeal.

   If neither party submits an appeal, the decision will be considered final five (5) business days after the last date either party received the Notice of Findings. Appeals submitted after five (5) business days shall be denied, except upon a showing of good cause.

   1. Grounds For Appeal

      The appealing party has the burden of proof, and the standard of proof is preponderance of the evidence. Appeals are not intended to allow for a review of the entire investigation, with the exception of new evidence, as referenced above.

      Dissatisfaction with a finding or sanction is not a valid basis for appeal. However, either party may appeal on the following grounds:

      1. A flaw or denial of due process rights:  Procedural errors or errors in interpretation of University policy were so substantial as to effectively deny a Complainant or Respondent notice or a fair opportunity to be heard.
      2. New relevant, material evidence that a reasonably diligent person could not have discovered prior to the issuance of the Notice of Findings has become available. 

   2. Appeal Procedures

      The appellate review will be based on the written record; parties are not entitled to a hearing or meeting with the reviewing administrator or designee.

      Appeals will be reviewed in accordance with the Respondent’s status as listed below:

      1. appeals involving a Staff Respondent shall be reviewed by the Chief of Staff or designee;
      2. appeals involving a Faculty Respondent shall be reviewed by Faculty Affairs;
      3. appeals involving a Student Respondent shall be reviewed by VP Student Affairs or designee;

      4. appeals that do not directly involve a faculty, staff, or student Respondent shall be reviewed by the Chief of Staff or designee.

      A written decision will be issued within thirty (30) calendar days after receiving the appeal and appropriate action will be taken. A copy of the appeal decision letter shall be forwarded to the Fair Practices Officer for the file.

6. Sanctions

   Sanctions may be imposed upon any member of the UMGC community found to have violated UMGC Policy VI-1.00 Non-Discrimination and Anti-Harassment.

   1. With respect to Student Responding parties, sanctions (defined in the UMGC Code of Student Conduct) include the following:
      1. Verbal Reprimand
      2. Written Reprimand
      3. Disciplinary Probation
      4. Restitution
      5. Suspension in abeyance
      6. Suspension
      7. Expulsion
      8. Other sanctions as deemed appropriate to address the circumstances

   2. Staff Sanctions

      With respect to Staff Responding Parties, any disciplinary action or corrective measures will be imposed by the appropriate supervisor, in consultation with the Office of Human Resources, and other relevant administrators, as needed. These Sanctions include the following:

      1. Unit transfers
      2. Reassignment of duties
      3. Mandatory training
      4. Record of Counseling
      5. Written reprimand
      6. Suspension
      7. Termination

   3. Faculty Sanctions

      With respect to Faculty Responding Parties, any disciplinary action or corrective measures will be imposed by the appropriate supervisor, in consultation with the Office of the Senior Vice President for Academic Affairs and Chief Academic Officer, and other relevant administrators, as needed. These Sanctions include the following:

      1. Reassignment of duties
      2. Mandatory training
      3. Record of Counseling
      4. Written reprimand
      5. Non-Renewal of Contract
      6. Termination
   4. Third Party (other than an applicant for employment) Sanctions
      With respect to Third Party (other than an applicant for employment) Responding Parties, any disciplinary action or corrective measures will be imposed by the Chief of Staff, and other relevant administrators, as applicable to the Third Party’s status.
7. External Complaint Filing Procedures

   1. In addition to filing a complaint under this Policy and Procedures, faculty, staff and applicants may contact external agencies including the Equal Employment Opportunity Commission (EEOC) or the Maryland Commission on Civil Rights. Students may contact the Office for Civil Rights (OCR). A person wishing to file a complaint with an external agency or to have UMGC’s process reviewed should contact the appropriate agency promptly in order to verify the time limits and deadlines for filing complaints:

      Equal Employment Opportunity Commission
      EEOC Headquarters
      131 M Street, NE
      Washington, DC 20507
      Phone: 800-669-4000
      TTY: 800-669-6820
      https://publicportal.eeoc.gov/Portal/Login.aspx

      Maryland Commission on Civil Rights
      6 Saint Paul Street
      Baltimore, Maryland 21202
      410-767-8600
      Website: http://mccr.maryland.gov/

      Office for Civil Rights (OCR)
      U.S. Department of Education
      Philadelphia Office (Regional Office for Maryland)
      The Wanamaker Building
      100 Penn Square East, Suite 515
      Philadelphia, PA 19107-3323
      Phone: 215-656-8541
      FAX: 215-656-8605
      TDD: 800-877-8339
      Email: OCR.Philadelphia@ed.gov
      Website: https://www.ed.gov/about/ed-offices/ocr/ocr-address-list or 202-453-6100

      OCR Electronic Complaint Form: https://ocrcas.ed.gov/welcome-to-the-ocr-complaint-assessment-system