Academic Affairs Manual (ACD)
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| Effective: 3/24/1983 |
Revised: 6/8/2007 |
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ACD 403: Procedures for Resolving Complaints of Unlawful Discrimination |
Purpose
To describe the procedures of the Office of Diversity, Human Resources for reviewing and resolving complaints of alleged unlawful discrimination
Sources
Americans with Disabilities Act of 1990 (ADA), 42 United States Code § 12101 et seq.
Arizona Board of Regents Policy Manual - 6–201, 6–301, 6–707
University policy
Applicability
This policy applies to current employees and enrolled students of ASU who believe they have been unlawfully discriminated against by another current employee or student of ASU. This policy is also applicable to individuals not employed or enrolled at ASU for complaints of discrimination based on disability under the Americans with Disabilities Act of 1990 (ADA). Only aggrieved parties as identified above may file complaints. Individuals may file complaints with an external agency, subject to the time limitations of the appropriate agency.
Policy
It is a violation of ASU policy to discriminate against any employee or student on the basis of that individual’s race, color, religion, national origin, citizenship, sex, gender identity, sexual orientation, age, disability, Vietnam-era veteran status, special disabled veteran status, other protected veteran status, newly separated veteran status, or any other unlawful discriminatory grounds. Complaints should be filed within 120 days of the last act of alleged discrimination. The director, Office of Diversity, Human Resources, may waive or extend this time frame for good cause such as holidays or times that classes are not in session.
An employee or student (or member of the public in cases of disability complaints) who believes he or she has been unlawfully discriminated against may discuss his or her concerns with the director or an assistant director of the Office of Diversity, Human Resources, file a report, and/or file a complaint of unlawful discrimination with the Office of Diversity, Human Resources. The Office of Diversity, Human Resources does not handle complaints involving denial of tenure, continuing status, and/or promotion; these discrimination complaints must be filed with the appropriate faculty/academic professional grievance body.
Right to File a Charge with a Federal or State Agency
Persons alleging unlawful discrimination have the right to file a charge of discrimination with the Arizona Civil Rights Division (ACRD), Equal Employment Opportunity Commission (EEOC), Office of Civil Rights (OCR), or Office of Federal Contract Compliance Programs (OFCCP) (as appropriate).
ACRD, OCR, and OFCCP charges must be filed within 180 days after the last date of the alleged discrimination. EEOC charges must be filed within 300 days after the date of the last act of discrimination.
In Arizona, the EEOC generally handles all charges of employment discrimination (except those involving veteran status) against ASU and its current employees and students. OCR accepts charges of discrimination not related to employment.
Suspension and/or Termination of ASU’s EO/AA Procedures
The director, with the consent of the president, may suspend these procedures under extraordinary circumstances or in the interest of fairness.
The Office of Diversity, Human Resources shall terminate the processing of a complaint when a grievance alleging unlawful discrimination is filed with an ASU grievance committee.
Prohibition of Retaliation
Retaliation against a person who has filed a complaint is strictly prohibited. Any retaliatory action by instructors (including graduate assistants and faculty members), supervisors, managers, academic professionals, administrators, or other employees who have the authority to take adverse action against a complainant is prohibited and may be grounds for disciplinary action up to and including termination of employment. Retaliation against witnesses or others participating in the resolution of a complaint is also prohibited and may also be grounds for disciplinary action.
Confidentiality
The Office of Diversity, Human Resources review of complaints is a confidential process because it involves personnel matters. The parties to the complaint are guaranteed confidentiality except as noted in this policy and as necessary to conduct a thorough and fair investigation of the complaint. All witnesses in a complaint investigation are guaranteed confidentiality. All documentation and reports received and/or developed as part of the report/complaint process, including investigative reports, are considered confidential unless otherwise noted in this policy.
Procedures
Initial Interview
A report or complaint of illegal discrimination is initiated through an interview with the director or an assistant director, Office of Diversity, Human Resources. The complainant should bring information and/or documentation that will assist in evaluating the complaint and in helping to determine whether the report process or filing an informal or formal complaint is the appropriate method for handling the concerns. The director will advise the complainant of the right to file a complaint with an external agency. The complainant will also be informed that filing with the Office of Diversity, Human Resources will not extend or postpone the deadlines of the external agency.
The complainant will determine which method is used to resolve the concerns. The complainant may change an informal complaint to a formal one or a formal complaint to an informal one at any time during the Office of Diversity, Human Resources review as long as the initial complaint was filed within 120 days (unless extension granted as noted above) of the last act of alleged discrimination.
Time frames mentioned in the procedures may be extended for good cause, such as holidays or when classes are not in session, when it is necessary to complete an investigation due to difficulties reaching witnesses or parties to the complaint, or with the consent of both parties to the complaint.
Filing a Report
Filing a report is notification of concern about an individual’s behavior believed to be discriminatory and will only result in an educational conference with the individual whose behavior is at issue. A report may be filed with an administrator with responsibility over the individual, Student Life (on the appropriate campus) if the alleged discriminator is a student, or the Office of Diversity, Human Resources. This process allows the report filer to remain anonymous if she or he chooses. If the report filer wishes to file a report and have no action taken, even the educational conference, the report filer must sign a statement indicating the request that no action be taken.
Before an educational conference is scheduled with the individual whose behavior is at issue, an administrator must consult with the director, Office of Diversity, Human Resources. The conference shall include: alerting the individual to the perception of discrimination, providing a copy of the appropriate university policy prohibiting discrimination, encouraging attendance at the appropriate EO/AA workshop, and encouraging greater awareness of behaviors which may lead to perceptions of illegal discrimination. The conference must take place within 15 days of the receipt of the report.
Filing an Informal Complaint
An informal complaint is based on information provided by the complainant and does not require a written statement. Within seven days of receipt of an informal complaint, the respondent will be notified of the name of the complainant and the allegations. The respondent will be asked to respond to the complaint within 15 days of notification of the complaint. This process involves reaching a voluntary resolution or a determination by the Office of Diversity, Human Resources that the evidence does or does not substantiate the allegations. The review of the complaint may involve investigation, interviewing witnesses, and reviewing material provided by one or both parties to the complaint. Resolution of the complaint may be by settlement agreement developed in lieu of or as a result of an investigation. When the evidence substantiates a violation of university policy, discipline up to and including suspension, termination, or expulsion from the university may be imposed in addition to any voluntary agreements. When resolution of the complaint is reached or a determination made that the evidence does or does not substantiate the allegations, a letter to that effect may be sent to the complainant, the respondent, and filed in the Office of Diversity, Human Resources.
Filing a Formal Complaint
A formal complaint requires submitting the ASU EO/AA Complaint Form to the Office of Diversity, Human Resources (see ACD 403A). A copy of the complaint will be provided to the respondent within seven days of receipt. A written response to the complaint is required of the respondent within 15 days of the respondent’s receipt of the complaint. The review of this complaint will include an investigation, interviewing witnesses (as appropriate), and reviewing the material submitted by both parties.
The review of the complaint will result in an investigative report from the Office of Diversity, Human Resources to the executive vice president and provost of the university, vice president, or vice provost over the respondent within 90 days of the date the formal complaint was received by the Office of Diversity, Human Resources. The report shall state the basis of the complaint, the evidence, and make recommendations for resolution of the complaint. The report will be submitted to the Office of General Counsel for review prior to submission to the executive vice president and provost of the university, vice president, or vice provost. The executive vice president and provost of the university, vice president, or vice provost shall accept, reject, or modify the recommendations and will provide written notification of the action taken to the parties and the director, Office of Diversity, Human Resources within 15 days of receipt of the report.
Board on Equal Opportunity
A complainant dissatisfied with the resolution from either the informal or formal complaint process may file a complaint with the Board on Equal Opportunity (BEO) on the same basis as the complaint filed with the Office of Diversity, Human Resources. The complaint must be filed within 30 days of the receipt of the letter from the Office of Diversity, Human Resources (informal complaint) or the executive vice president and provost of the university/vice president/vice provost (formal complaint). See ACD 404 for the procedures for filing complaints with the BEO.
Cross-References
For information about the Board on Equal Opportunity (BEO), see ACD 404, “Board on Equal Opportunity.”
For information on grievance filing and other related information, faculty members and academic professionals should refer to:
- ACD 509–02, “Grievance
Policies and Procedures for Faculty”
or
- ACD 509–03, “Grievance Policies and Procedures for Academic Professionals.”
Exhibit
Some manual exhibits are available only in PDF format. An Adobe Acrobat Reader plug-in is required to view these PDF files. See our main policies and procedures page if you require this plug-in.
ACD 403A, ASU EO/AA Complaint Form
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