UCSC Procedures Implementing the UC Abusive Conduct in the Workplace Policy

UC Santa Cruz will respond to allegations of Abusive Conduct promptly and in accordance with the UC Presidential Policy on Abusive Conduct in the Workplace (“Abusive Conduct Policy”) and these implementing procedures.

A. Reporting Incidents of Abusive Conduct

1. General
   

   Abusive Conduct is harassing or threatening behavior, including, but not limited to, bullying, that is sufficiently severe, persistent, or pervasive conduct in the workplace that denies, adversely limits, or interferes with a person’s participation in, or benefit from, the education, employment, or other programs or activities of the University. As such, any violation of the Abusive Conduct Policy means that the individual has engaged in harassing or threatening behavior that is severe, persistent, or pervasive. As such, a violation of the Abusive Conduct Policy would be a serious violation of University policies.

   The Abusive Conduct Policy applies to all University employees: faculty, administrators, staff, and student employees in the capacity of their employment.

   Anyone may make a good faith report of conduct believed to constitute Abusive Conduct by:

   • • completing this form [insert hyperlink to reporting form] and submitting it to: reportabusiveconduct@ucsc.edu;
     • completing an online report at https://ucsc.i-sight.com/portal (may be done anonymously);
     • contacting the UC Whistleblower Hotline online at www.universityofcalifornia.edu/hotline or by phone at (800) 403-4744 (may be done anonymously);
     • reporting to any manager or supervisor, or directly to a responsible office: Academic Personnel Office (“APO”) when the accused is faculty or another academic appointee, and Staff Human Resources (“SHR”) when the accused is a staff, non-academic student employee, or other third party).

   The responsible office, and the applicable policy/procedure, varies depending on the Respondent, and on whether the abusive conduct involves any protected status. When a complaint potentially falls under the jurisdiction of more than one office (e.g., multiple respondents, or because the alleged abusive conduct is alleged to have been based on a protected status), the Compliance Specialist will coordinate with the other relevant offices regarding which office will take the lead in handling that complaint. Complaints against students in their capacity as employees may be addressed under the Abusive Conduct Policy (in consultation with APO or ELR in SHR as appropriate); all other complaints against students are processed by the Division of Student Affairs and Success (DSAS).
   
   SHR and APO are responsible for monitoring, investigating, enforcing, and reporting compliance with the Abusive Conduct Policy and these implementing procedures. Responsibilities include, but are not necessarily limited to:

   • Intake and assessment of inquiries and complaints made under the Abusive Conduct Policy including conducting initial assessments which may include limited factual inquiries, receiving reports, evaluating resolution options, conducting investigations, and providing notifications.

   • Coordinate and communicate with other responsible offices and departments to ensure that effective interim, remedial, and supportive measures are provided when needed.
   • Ensure that Abusive Conduct Policy education and training is offered and provided to staff and management.
   • Respond promptly and impartially to reports of Abusive Conduct in accordance with the Abusive Conduct Policy.
   • Keep records of reports of prohibited conduct, and any actions taken in response to reports, including records of investigations, resolutions, according to University records management policies.
   • Reports of abusive conduct may be shared with or referred to other offices on a need-to-know basis (for example, the Office of Equity and Equal Protection (EEP), including the Title IX Office, depending on the nature of the facts alleged in the report or if additional allegations are raised subsequently. The Title IX Office handles complaints involving sexual violence and sexual harassment. EEP handles complaints alleging abusive conduct on the basis of other protected statuses, as well as whistleblower complaints.
2. Duty to Report Abusive Conduct Allegations
   Managers and supervisors are mandatory reporters of abusive conduct under the Abusive Conduct Policy. Department chairs, faculty administrators, and deans are mandatory reporters with respect to the faculty and staff within their respective units. Faculty are mandatory reporters with respect to graduate student employees, laboratory researchers, and other laboratory/unit staff who report to them. Managers and supervisors who observe conduct in the workplace that may constitute Abusive Conduct should immediately consult the applicable office (APO or SHR) regarding appropriate next steps, even if the incident(s) appears to be resolved. This consultation will help support the manager or supervisor in responding to the report or may result in the matter being escalated or referred to another office or process, such as for investigation. Consultation will also ensure that the incident is tracked appropriately.
   
   Managers and supervisors who receive a report of Abusive Conduct must immediately submit the report to the applicable office, or directly to reportabusiveconduct@ucsc.edu. When submitting a report directly to reportabusiveconduct@ucsc.edu, managers and supervisors must identify themselves so the applicable office may contact them for further information if necessary.

3. Anonymous, Third-Party, and Aggregate Reports
   Anonymous reports and allegations will be reviewed and may be investigated. Such reports will be tracked, even if they are not investigated. The response to such reports may be limited if the Complainant does not wish to pursue the complaint or if the University is unable to collect sufficient information to determine whether the alleged conduct occurred or constitutes a policy violation.
   
   The University recognizes its responsibility to address all concerns of Abusive Conduct, even when they involve individuals who are not employees. When the Respondent or Complainant is a third party, the applicable office will determine the appropriate manner of resolution consistent with the University’s commitment to a prompt and equitable process. The University’s ability to take responsive action depends on its relationship and level of control over the third party, if any. The extent of the inquiry and responsive steps will depend on the specific circumstances.
   
   Such an inquiry may also be appropriate when there is no identifiable, individual Respondent (such as where the Complainant alleges Abusive Conduct by an organization or a Respondent whose identity is unknown, or conduct by multiple people that rises to the level of Abusive Conduct only when considered in the aggregate).

4. Deadlines for Making Reports
   There is no time limit for a Complainant to submit a report, and Complainants should report incidents even if significant time has passed. However, the sooner the University receives a report, the better able it is to respond, investigate, remedy and impose discipline, if appropriate.

B. Initial Assessment of a Report / Immediate Health and Safety 

As soon as practicable, and no more than 30 business days, after receiving a report, the applicable office (APO or SHR) will make an initial assessment, including a limited factual inquiry when appropriate, to determine how to proceed and whether an investigation is warranted. The facilitating manager or University office may extend this timeline for good cause.

The Compliance Specialist will coordinate with APO regarding complaints against Faculty and other Academic Appointee Respondents, and with DSAS about complaints against Student Employee Respondents. As needed, SHR will coordinate with APO and/or the Academic Senate on allegations involving issues of academic freedom.

If an individual’s health and safety are threatened, an immediate response is required. Physical violence or threats of violence are extreme forms of Abusive Conduct and should be reported to the UC Santa Cruz Police Department and the Behavioral Intervention Team (BIT).

Upon the completion of an initial assessment, the University might seek early resolution, might initiate a formal investigation, or close a case without either early resolution or formal investigation.

C. Resolution Options and Related Resources

1. Confidential Resources
   

   The University provides confidential resources to individuals who witness or experience abusive conduct. They may consult with these confidential resources before making a report or at any point. Meeting with any confidential resource is not considered making a formal report and will not lead to an investigation.

   During the course of addressing a complaint, the Complainant and/or Respondent may be referred to the UCSC Office of the Ombuds and/or other UCSC Offices for mediation, supportive measures and other options likely to promote an amicable resolution of the concerns raised in the complaint.

   1. Employee Assistance Program: For Faculty And Staff
      The Employee Assistance Program (EAP) is a confidential resource that provides assessment, consultation, counseling and referrals regarding work and personal stress or emotional concerns that are interfering with an individual’s well-being and ability to work in their professional workplace or academic setting.
   2. Counseling And Psychological Services: For Students
      Counseling And Psychological Services (CAPS) is a confidential resource that provides assessment, consultation, counseling, and referrals for a variety of psychological and behavioral concerns which impact students’ well-being and ability to function.
   3. Campus Advocacy Resources and Education
      Campus Advocacy Resources and Education (CARE) is a confidential resource that provides support, including counseling, accommodations, safety planning, and referrals to those impacted by sexual assault, dating/intimate partner/domestic violence, stalking, or sexual harassment. 
   4. Office of the Ombuds 
      The UCSC Office of the Ombuds provides confidential, impartial, and informal conflict resolution services. The Office of the Ombuds works to facilitate communication, and assists parties in reaching mutually acceptable agreements to find fair and equitable resolutions to concerns. Individuals experiencing abusive conduct may seek confidential assistance from the Office of the Ombuds to discuss strategies and options for moving forward based on the conduct they are experiencing. The Office of the Ombuds may help identify options when an individual is determining which resolution route is best for the situation.
      Resolution of alleged Abusive Conduct may take different forms, including early resolution and/or a violation investigation. Regardless of the outcome, the Complainant shall be notified in writing that the complaint was reviewed and appropriate steps were taken to reach resolution in the matter.
      Instead of, or in addition to, reporting Abusive Conduct in violation of the Abusive Conduct Policy, an employee may file a grievance or complaint. That grievance or complaint must meet all of the requirements, including time limits for filing, under the applicable complaint resolution or grievance procedure (PPSM-70 (Complaint Resolution), APM-015 (The Faculty Code of Conduct), APM-016 (University Policy on Faculty Conduct and the Administration of Discipline), APM-140 (Non-Senate Academic Appointees/Grievances), APM-150 (Non-Senate Academic Appointees/Corrective Action and Dismissal), or applicable collective bargaining agreements). Any such grievance or complaint will be forwarded to the Compliance Specialist for review of violations of the Abusive Conduct Policy; the grievance or complaint procedure will be held in abeyance pending resolution under the Abusive Conduct Policy, unless the applicable collective bargaining agreement provides otherwise. After completion of the process under the Abusive Conduct Policy, the grievance or complaint may be reactivated under the applicable grievance or complaint procedure.

2. Early Resolution
   After an Initial Assessment, the University may initiate Early Resolution. The Compliance Specialist has discretion to determine whether a complaint is appropriate for Early Resolution, to determine the type of resolution to pursue, and to stop the process at any time before its conclusion to move to a Formal Investigation. The goal of early resolution is to correct the behavior and/or to settle differences equitably, at an early stage, and in an open manner, without Retaliation.
   
   Early resolution may be especially useful when:
   
   • an investigation is not likely to lead to a resolution;
   • the parties have an ongoing working relationship; or
   • a case involves less serious allegations
     
     
   Early resolution may include the Complainant, or it may take place between the University and the Respondent, without involving the Complainant. Early resolution may be facilitated by the applicable office (APO or SHR), another appropriate office (e.g., the Title IX Office), or a manager. The early resolution process typically would be initiated within 60 to 75 business days after Initial Assessment of a report. This timeline may be extended for good cause, with written notice to the Complainant and the Respondent of the reason for the extension and the projected new timeline.
   
   Options for early resolution may include, but are not limited to:
   • Facilitated discussion or mediation to obtain an agreement between the parties
   • Agreement to counseling, coaching, educational, and/or training programs
   • Negotiating an agreement for corrective action/discipline (corrective action/discipline is considered confidential personnel information that will not be shared with the Complainant or Reporter)
   
   Attempts at early resolution and informal conflict management do not extend the time limit established by the employee’s applicable formal complaint resolution or grievance process.

3. Formal Investigations
   1. General
      The University may initiate a formal investigation after a preliminary review of the allegations even in cases where the Complainant does not wish to pursue the complaint. This may occur if the applicable office determines that an investigation is necessary to mitigate risk to the campus community. Investigative reports, evidence gathered, and findings of fact made pursuant to this policy may be used as evidence in subsequent complaint or grievance resolution processes and/or disciplinary proceedings.
   2. Formal Investigation Requirements
      Formal investigation of reports of Abusive Conduct will incorporate the following procedures:
      1. The Respondent will be:
         1. advised of the relevant allegations in the complaint;
         2. informed that investigative reports, evidence gathered, and findings of fact made pursuant to this policy may be used as evidence in subsequent complaint or grievance resolution processes and/or disciplinary proceedings; and
         3. reminded that Retaliation is prohibited by this policy.
      2. The investigation generally will include interviews with the parties, interviews with other witnesses as needed, and a review of relevant documents or other evidence as appropriate.
      3. Disclosure of facts to parties and witnesses will be limited to what is reasonably necessary to conduct a fair and thorough investigation, consistent with University policy. Participants in an investigation may be advised to maintain confidentiality when essential to protect the integrity of the investigation.
      4. The Complainant and the Respondent may have an advisor present when they are interviewed and at meetings. They may have other support persons present under other policies. Other witnesses may have an advisor present at the discretion of the applicable office (APO or SHR) or as required by University policy or a collective bargaining agreement.
      5. Interim protections or measures (such as “no contact” directives) may be necessary prior to or during the investigation.
      6. The investigation will be completed promptly, typically within 120 business days of notifying the parties in writing that a formal investigation of the complaint will be conducted. The applicable office (APO or SHR) may extend this timeline for good cause, with written notice to the Complainant and the Respondent of the reason for the extension and the projected new timeline.
      7. Following the completion of the investigation, the investigator will prepare 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 the conduct at issue violated this policy. In determining whether this policy was violated, the investigator will apply the preponderance of evidence standard.
      8. The investigator will submit the report to the applicable office (APO or SHR), which will recommend next steps to the appropriate University officials. In the case of Senate faculty members, disciplinary action would go through the standard process starting with the filing of a Faculty Code of Conduct Complaint.
      9. The Complainant and the Respondent will be informed when the investigation is completed and whether or not a violation of this policy has occurred. Actions taken to resolve the complaint, if any, that are directly related to the Complainant, such as an order that the Respondent not contact the Complainant, will be shared with the Complainant. In accordance with University policies protecting individuals’ privacy, the Complainant may be notified generally that the matter has been referred for appropriate administrative action, but will not be informed of the details of the recommended action without the Respondent’s consent.
4. Tracking
   The respective responsible office will track these complaints in accordance with their procedures.