Public Concern Process – if a specific person is named
- Members of the public would enter from the .edu site
- Informal process:
- The information on the .edu site would advise them to express their concerns to the person or department/area directly involved;
- The information on the .edu site would then advise them to take their concern to the supervisor of the person or department/area if they wished.
- Formal Process: ◦The .edu site would have a submission form.
- The first item on the form would be a checkbox asking the member of the public if they had first taken their concern to the person/department/area directly involved and/or the supervisor.
- The submission form would require the member of the public’s name and identifying information.
- The person would explain the concern on the form.
- The information on the .edu site would explain that any person named in the concern would be informed of it.
- This form would be sent to the Compliance Office.
- The Compliance Office would review the concern ◦If the concern is unclear or needs clarification, the Compliance Office would contact the student to ask for clarification.
- Within 7 days, the Compliance Office would notify the student that the concern was being reviewed.
- The Compliance Office would forward the concern to the appropriate dean or director.
Investigation of Concern:
Time Limitations:
The appropriate dean or director shall commence an investigation of the concern by speaking with the member of the public and the individual or department/office representatives of concern. The investigation should be completed within 10 business days of receiving the concern from the Compliance Office. If additional time is needed, the principal parties will be notified. This situation may arise if the concern is filed after a semester ends or during a break in classes.
Right to Present Position:
The individual or department/office representatives of concern are expected to cooperate with the dean or director by providing requested information in the format requested, including a response to each and every allegation in the concern. During the course of the investigation, each individual or department/office representative of concern shall have the opportunity to meet with the dean or director to present facts and other evidence to confirm or refute the allegations made in the concern. The dean or director will request the individual or department/office representative of concern provide a written response to the concern along with the other documentation within the time period requested from the dean or director.
Throughout the investigation, each individual or department/office representative of concern may request to be accompanied at any meeting with the dean or director by a Human Resources, Development, and Engagement representative or a union representative. The unavailability of an accompanying individual may be reason to delay or postpone any meeting.
Access to Information:
All members of the College community are expected to cooperate with the dean or director investigating a concern, by providing information in the format requested and the time limits requested. The dean or director shall have access to personnel information about employees. Prior concerns expressed by the individual with a concern may not be used to substantiate the current concern, but may be considered by the dean or director for other purposes, such as assessing the credibility of the individual with a concern. Personal information obtained from educational records of students shall not, however, be disclosed to third parties other than the College’s General Counsel, appropriate Senior Vice President, President, and other appropriate Administrative officials who might require access in order to implement a corrective action. FERPA regulations will be followed.
Prior Concerns About the Individual:
Prior concerns may not be used to substantiate the current concern but may be considered by the dean or director for other purposes, such as assessing the credibility of the individual mentioned in the concern and/or ascertaining the existence of a pattern of conduct by the individual or department/office representative of concern. Substantiated prior concerns may also be considered by the dean or director in considering whether and what level of corrective action to recommend. Information regarding prior concerns will not be made available to third parties other than persons having administrative responsibility under these procedures.
Findings of the dean or director:
Within 10 business days after receipt of the concern, the dean or director shall submit each individual or department/office representative of concern a written determination. The determination will include a statement whether there has been a violation of College policy, a statement regarding whether there is probable cause for appropriate corrective action, and a recommendation with respect to the appropriate action. Corrective action as defined herein includes, but is not limited to any action instituted by the College which is designed to remedy or reform any behavior, conduct, practice or activity that is deemed to be in violation of College policy. A general statement of completion should be sent to the individual with a concern.
If there are prior substantiated concerns against the individual or department/office of concern, the dean or director shall take that into account in his or her determination.
A copy of the written determination and the investigative file shall be sent to the Compliance Office and will be kept in a secure confidential online repository. Access will be granted to the Compliance Office for reporting purposes and to the senior vice presidents.
Appeal of Decision:
The dean or director’s written determination shall be final unless either the member of the public or the individual or department/office representative of concern files, in writing, an appeal. The appeal is limited to a determination as to whether there was a substantial factual and/or procedural error that affected the outcome of the investigation to the material prejudice of the party filing the appeal. The individual with a concern or the individual or department/office representative of concern shall have 10 business days to state in writing the specific reasons why the investigative findings and/or determination should be reversed or modified. The recommendation of the dean or director with respect to corrective action, if any, is not subject to review under these procedures. Appeals will be reviewed by the appropriate vice president and provost or senior vice president. A departmental listing of reporting structure shall be made available to the member of the public on the website.
Upon receipt of an appeal, the appropriate vice president and provost or senior vice president shall notify the non-appealing party, investigating dean or director and those individuals that received a copy of the written determination.
The vice president and provost or senior vice president will be limited to a review of the investigative record obtained from the Compliance Office, any appropriate College policy and the individual or department/office representative of concern’s written appeal. The vice president and provost or senior vice president may ask the dean or director to clarify the investigative summary or perform additional investigation.
Within 21 business days of receipt of the appeal, the vice president and provost or senior vice president shall issue a final written determination either upholding the finding and determination of the dean or director or reversing the finding and/or determination, and providing specific reasons for such reversal. The written determination of the reviewing official shall be final and will be forwarded to the student, individual or department/office representative of concern, and dean or director. A general statement of completion should be sent to the individual with a concern.
A copy of the written determination of the reviewing official and the appeal file shall be forwarded to the Compliance Office and will be kept in a secure confidential online repository. Access will be granted to the Compliance Office for reporting purposes and to the senior vice presidents.
If the vice president and provost or senior vice president determines there was factual or procedural error that substantially affected the outcome of the investigation to the material prejudice of the party filing the appeal, or requests additional investigation, no disciplinary action may be carried out prior to the vice president and provost or senior vice president expressly so directing in her or his decision.
Implementation of corrective action:
If a notice of appeal is not submitted to the vice president and provost or senior vice president, the appropriate dean or director shall act to implement corrective action.
If a notice of appeal is submitted to the vice president and provost or senior vice president, the dean or director shall act to implement corrective action only after receiving a copy of the vice president and provost or senior vice president determination upholding the dean or directors original probable cause finding and the recommended corrective action.
Any individual or department/office representative of concern whose conduct results in a finding of probable cause by the dean or director as a result of the investigation and findings shall be afforded due process under the College’s Disciplinary Action and Suspension policy, the College’s Discharge of Administrative, Associate and Support Staff policy or any other applicable processes. The individual or department/office representative of concern shall have access to the full investigative file.
Once the disciplinary/ grievance process, including any available appeal, has been concluded, whatever decision is made regarding the disciplinary action is the final College decision in the matter.
No provision of this policy shall be construed as a limitation on the authority of a disciplinary authority under applicable policies and procedures to initiate disciplinary action. If an investigation is conducted and no College policy violation is found, that fact does not prevent discipline of the individual or department/office representative of concern for inappropriate or unprofessional conduct. A copy of the written determination for corrective action and investigative file shall be placed in the employee’s personnel file with the Office of Human Resources.
Confidentiality:
Every effort will be made to protect the confidentiality of the parties during the processing of concerns. Files will be maintained in a confidential manner to the extent permitted by law and insofar as they do not interfere with the College’s legal obligation to investigate and resolve issues. Except as disclosure to individual witnesses with knowledge of facts relating to the concern may be required, the dean or director, member of the public, individual or department/office representative of concern, at all times pending final determination of the matter, maintain the confidentiality of the matter and shall not disclose to any person the name of the member of the public, individual or department/office representative of concern, or the facts asserted to give rise to the concern
Retaliation:
The College is committed to protecting individuals from interference with filing a concern. No individual who in good faith files a concern shall there by suffer harassment, retaliation or adverse employment and/or academic or an educational consequence. Retaliation against a person who has filed a concern or against any witness questioned during an investigation is strictly prohibited. Any retaliatory action by anyone in the College community is strictly prohibited and may be grounds for disciplinary action or dismissal from the College.
False Statements:
Any individual who knowingly provides false information pursuant to filing a concern under these procedures or during the investigation will be subject to appropriate disciplinary measures.
Public Concern Process – if no specific person is named
•Members of the public would enter from the .edu site
•Process:◦The .edu site would have a submission form.
◦The submission form would require the person’s name and identifying information.
◦The person would explain the concern on the form.
◦This form would be sent to the Compliance Office.
•The Compliance Office would review the concern◦If the concern is unclear or needs clarification, the Compliance Office would contact the member of the public to ask for clarification.
◦Within 7 days, the Compliance would notify the member of the public that the concern was being reviewed.
◦The Compliance Office will forward the concern to the appropriate dean or director of the department/office.
Investigation of Concern:
Time Limitations:
The appropriate dean or director shall commence an investigation of the concern by speaking with the public and the department/office representatives of concern. The investigation should be completed within 10 business days of receiving the concern from the Compliance Office. If additional time is needed, the principal parties will be notified. This situation may arise if the concern is filed after a semester ends or during a break in classes.
Right to Present Position:
The department/office representatives of concern are expected to cooperate with the dean or director by providing requested information in the format requested, including a response to each and every allegation in the concern. During the course of the investigation, each department/office representative of concern shall have the opportunity to meet with the dean or director to present facts and other evidence to confirm or refute the allegations made in the concern. The dean or director will request the department/office representative of concern provide a written response to the concern along with the other documentation within the time period requested from the dean or director.
Throughout the investigation, the department/office representative of concern may request to be accompanied at any meeting with the dean or director by a Human Resources, Development, and Engagement Office representative or a union representative. The unavailability of such an accompanying individual may be reason to delay or postpone any meeting.
Access to Information:
All members of the College community are expected to cooperate with the dean or director investigating a concern, by providing information in the format requested and the time limits requested. The dean or director shall have access to personnel information about employees and other relevant information in whole or in part. Prior concerns expressed by the individual with a concern may not be used to substantiate the current concern, but may be considered by the dean or director for other purposes, such as assessing the credibility of the individual. Personal information obtained from educational records of students shall not, however, be disclosed to third parties other than the College’s General Counsel, appropriate Senior Vice President, President, and other appropriated Administrative Officials who might require access in order to implement a corrective action. FERPA regulations will be followed
Findings of the dean or director:
Within 10 business days after receipt of the concern, the dean or director shall submit to the department/office representative of concern a written determination. The determination will include a statement whether there has been a violation of College policy, a statement regarding whether there is probable cause for appropriate corrective action, and a recommendation with respect to the appropriate action. Corrective action as defined herein includes, but is not limited to any action instituted by the College which is designed to remedy or reform any behavior, conduct, practice or activity that is deemed to be in violation of College policy.
If there are prior substantiated concerns against the department/office of concern, the dean or director shall take that into account in his or her determination. A general statement of completion should be sent to the individual with a concern.
A copy of the written determination and the investigative file shall be sent to the Compliance Office and will be kept in a secure confidential online repository. Access will be granted to the Compliance Office for reporting purposes and to the senior vice presidents.
Appeal of Decision:
The dean or director’s written determination shall be final unless either the individual with a concern or the department/office representative of concern files, in writing, an appeal. The appeal is limited to a determination as to whether there was a substantial factual and/or procedural error that affected the outcome of the investigation to the material prejudice of the party filing the appeal. The individual with a concern or the department/office representative of concern shall have 10 business days to state in writing the specific reasons why the investigative findings and/or determination should be reversed or modified. The recommendation of the dean or director with respect to corrective action, if any, is not subject to review under these procedures. Appeals will be reviewed by the appropriate vice president and provost or senior vice president.
Upon receipt of an appeal, the appropriate vice president and provost or senior vice president shall notify the non-appealing party, investigating dean or director and those individuals that received a copy of the written determination.
The vice president and provost or senior vice president will be limited to a review of the investigative record obtained from the Compliance Office, any appropriate College policy and the individual or department/office representative of concern’s written appeal. The vice president and provost or senior vice president may ask the dean or director to clarify the investigative summary or perform additional investigation.
Within 21 business days of receipt of the appeal, the vice president and provost or senior vice president shall issue a final written determination either upholding the finding and determination of the dean or director or reversing the finding and/or determination, and providing specific reasons for such reversal. The written determination of the reviewing official shall be final and will be forwarded to the department/office representative of concern, and dean or director. A general statement of completion should be sent to the individual with a concern
A copy of the written determination of the reviewing official and the appeal file shall be forwarded to the Compliance Office and will be kept in a secure confidential online repository. Access will be granted to the Compliance Office and available to the senior vice presidents.
Confidentiality:
Every effort will be made to protect the confidentiality of any individual during the processing of concerns. Files will be maintained in a confidential manner to the extent permitted by law and insofar as they do not interfere with the College’s legal obligation to investigate and resolve issues. Except as disclosure to individual witnesses with knowledge of facts relating to the concern may be required, the dean or director, department/office representative of concern will maintain the confidentiality of the matter and shall not disclose to any person the name of the individual with a concern, any other individuals in the concern or the facts asserted to give rise to the concern.
Retaliation:
The College is committed to protecting individuals from interference with filing a concern. No individual who in good faith files a concern shall there by suffer harassment, retaliation or adverse employment and/or academic or an educational consequence. Retaliation against a person who has filed a concern or against any witness questioned during an investigation is strictly prohibited. Any retaliatory action by anyone in the College community is strictly prohibited and may be grounds for disciplinary action or dismissal from the College.
False Statements:
Any individual who knowingly provides false information pursuant to filing a concern under these procedures or during the investigation will be subject to appropriate disciplinary measures.