PROCEDURES FOR INVESTIGATING COMPLAINTS
AND CONDUCTING ADMINISTRATIVE REVIEWS

(Effective 8/31/06) 

I.          PURPOSE

The University of Arizona’s Equal Opportunity and Affirmative Action Office establishes these procedures to assist it in carrying out its responsibilities in administering and enforcing applicable federal and state law and Arizona Board of Regents’ and University policies related to nondiscrimination. The Equal Opportunity and Affirmative Action Office may, from time to time, amend these procedures as necessary.

II.         JURISDICTION OF EQUAL OPPORTUNITY AND AFFIRMATIVE ACTION OFFICE

In carrying out the applicable policies set forth in The University of Arizona and Arizona Board of Regents’ policy manuals, the Equal Opportunity and Affirmative Action Office investigates complaints of discrimination at The University of Arizona and makes recommendations following such investigations. Consistent with federal and state law and Arizona Board of Regents’ and University policies related to non-discrimination, the Equal Opportunity and Affirmative Action Office investigates complaints of unlawful discrimination on the basis of race, color, religion, sex (including sexual harassment), national origin, age, disability, veteran status, sexual orientation, or gender identity. The Equal Opportunity and Affirmative Action Office also conducts investigations based upon requests for Administrative Reviews from Deans, Directors, Department Heads, Vice Presidents, and the President when those administrators believe that unlawful discrimination in violation of federal or state law or Arizona Board of Regents’ or University policies may be occurring in their units.

Upon receipt of a complaint by a student against another student charging unlawful discrimination, the Equal Opportunity and Affirmative Action Office shall refer the complaint to the Dean of Students’ Office. The Equal Opportunity and Affirmative Action Office may assist the Dean of Students’ Office with such complaints upon request to do so.

III.        DEFINITIONS

A.  Administrative Review. An investigation by the Equal Opportunity and Affirmative Action Office, made at the request of a University administrator, regarding concerns that unlawful discriminatory actions may be occurring within the administrator’s unit. Two types of administrative reviews are defined below under separate headings.

B.  Appeals Officer. The individual or office designated by the University President to consider appeals from findings of the Equal Opportunity and Affirmative Action Office.

C.  Complaint.  A written charge filed in accordance either with these or other University procedures that alleges a violation of federal or state law or Arizona Board of Regents’ or University policies related to unlawful discrimination on the basis of race, color, religion, sex (including sexual harassment), national origin, age, disability, veteran status, sexual orientation, or gender identity.  

D.  Complainant.  A person who files a complaint alleging that s/he has been the subject of discriminatory action.

E.  Discriminatory Act/Action.  Any unlawful action that is taken because of an individual’s race, color, religion, sex (including sexual harassment), national origin, age, disability, veteran status, sexual orientation, or gender identity in violation of federal or state law or Arizona Board of Regents’ or University policies. Discriminatory act/action also may include threats or other forms of intimidation or retaliation against any person as a result of their filing a complaint of discrimination, participating in an investigation, or opposing an unlawful discriminatory practice or policy.

F.   Finding.  A determination made by an investigator of the Equal Opportunity and Affirmative Action Office regarding whether sufficient evidence exists to conclude that a violation of federal or state law or Arizona Board of Regents’ or University policies related to discrimination on the basis of race, color, religion, sex (including sexual harassment), national origin, age, disability, veteran status, sexual orientation, or gender identity has occurred.

G.  Respondent.  A person against whom a complaint is filed or who is the subject of a Type II Administrative Review.

IV.       DISCRIMINATION COMPLAINT PROCEDURES

A.    Who May File a Complaint. Employees, applicants for employment, applicants for admission to University programs, participants in University-sponsored activities, other persons affiliated with the University, and students (if the complaint is against an employee or affiliate of the University, but not another student) may file a complaint alleging discrimination with the Equal Opportunity and Affirmative Action Office in accordance with these procedures.  For complaints by students against other students, see Section VI of this document.

B.    Time for Filing a Complaint. To be timely, a complainant must submit a complaint to the Equal Opportunity and Affirmative Action Office within 180 days of the most recent allegedly discriminatory act. The Director of the Equal Opportunity and Affirmative Action Office may extend the deadline based on extenuating circumstances.

C.    Requirements of a Complaint.  Although not required to be accepted for filing, the complaint should be on a form provided by the Equal Opportunity and Affirmative Action Office.  

1.   Elements.  Each complaint shall include the following:

a.   The full name and address of Complainant, who must be the individual claiming to be harmed by the discrimination;

b.   The name of Respondent(s);

c.   A clear and concise written statement of the facts that constitute the alleged discriminatory act(s), including pertinent dates and sufficient information to identify any other individuals who may provide information during the course of an investigation conducted under these procedures and to bring the matter within the jurisdiction of the Equal Opportunity and Affirmative Action Office to investigate;

d.   A statement by Complainant verifying that the information supporting the allegations of unlawful discrimination is true and accurate to the best of Complainant’s knowledge;

e.   Complainant’s signature;

f.    Information that establishes that both Complainant and Respondent(s) have a sufficient relationship to the University to require application of Arizona Board of Regents’ or University policies to the allegedly discriminatory action.

2.   Intake Interview. At or after the time a Complainant initiates a complaint, a representative from the Equal Opportunity and Affirmative Action Office shall conduct an interview with Complainant.

3.   Signature by Equal Opportunity and Affirmative Action Office Representative and Filing of Complaint.  If the proffered complaint fulfills the requirements set forth in paragraph IV.C.1. above, a designated staff member in the Equal Opportunity and Affirmative Action Office shall sign the complaint and provide Complainant a copy of the complaint.  A complaint shall be considered “filed” only after it is signed by a staff member in the Equal Opportunity and Affirmative Action Office, and filed in accordance with procedures established by that office.

D.    Complaint Processing.

1.   Identification of Individuals Involved in an Investigation. Neither Complainant nor any individual providing information to the Equal Opportunity and Affirmative Action Office shall be considered a party to the complaint.

 2.  Notice to Respondent.  A Respondent shall be given reasonable notice of the complaint and the allegations contained therein, as well as the opportunity to provide information and to be heard concerning the allegations of the complaint.

3.   Notice to Others Regarding Complaint. With the exception of Respondents, who are entitled to a copy of the Statement of Complaint, only those persons with a legitimate need to know will be apprised of the filing of and final disposition of a complaint. Those persons may include, but are not necessarily limited to, appropriate organizational unit administrators (Deans, Department Heads, Directors, or Vice Presidents), who may have an obligation to monitor the workplace to ensure that retaliatory action does not occur during or after the investigative process concludes, and who may be required to implement recommendations of the Equal Opportunity and Affirmative Action Office when it completes its investigation.

4.   Access to Information Regarding the Investigation. Complainants and Respondents, upon inquiry and during the course of an investigation, shall be advised of the status of the investigation.

5.   Amending a Complaint. If, during the course of an investigation, a staff member from the Equal Opportunity and Affirmative Action Office determines that more information is required to enable a meaningful investigation, s/he may request Complainant to clarify or amplify allegations in the complaint.   Complainants may also be allowed to add a new Respondent or a new charge of discrimination related to the original complaint, so long as the addition falls within the time limits otherwise applicable to the filing of a complaint pursuant to IV.B. above.

6.   Dismissal Based Upon Insufficiency of Complaint.  If a complaint alleges conduct that, if true, would not constitute a violation of federal or state law or Arizona Board of Regents’ or University policies related to  discrimination on the basis of race, color, religion, sex (including sexual harassment), national origin, age, disability, veteran status, sexual orientation, or gender identity, the matter shall be dismissed without further investigation by the Equal Opportunity and Affirmative Action Office.

E.    Investigation of Allegations in Complaint.  Following receipt of a complaint, the Equal Opportunity and Affirmative Action Office investigator will act as a neutral fact-finder.  The investigator shall assemble statements, documents, and other relevant evidence from Complainant, Respondent, witnesses, and other identified individuals who have or may have information concerning the allegations set forth in the complaint.

F.    Findings and Recommendations.

1.   Upon completion of an investigation, the investigator will evaluate the evidence in accordance with standards set forth in applicable federal and state law, including case law, and Arizona Board of Regents’ and University policies related to discrimination, and shall make a finding regarding the allegations. The investigator will issue a letter of determination, which shall include a finding of whether or not a policy violation occurred, to the Complainant, and the Respondent, and those individuals set forth in paragraph IV.D.3 above, as necessary. 

2.   The Equal Opportunity and Affirmative Action Office will issue its letter of       
      determination to the Complainant and the Respondent by first class U.S.   
      Postal Service  The date of receipt of the letter of determination shall be
      defined as five calendar days from the date it is mailed, unless either the
      Complainant or Respondent elect to pick up the letter of determination, in  
      which case the date of pick-up shall be the date of receipt 

3.   If the investigator finds a policy violation, the investigator also shall issue a separate recommendation regarding sanctions up to and including termination and/or other corrective action deemed appropriate, such as education and training.

G.    Appeal of Finding.  The issues raised on appeal shall be limited to those issues raised during the investigation by the Equal Opportunity and Affirmative Action Office.  Any issues not raised during the investigation or new issues that could have been raised, but were not, shall be precluded on appeal.

1.   By Respondent. Following receipt of a letter of determination, Respondent may seek to have a finding that there was a policy violation reviewed by the Appeals Officer.

a.    To secure an appeal, Respondent must file a written request with the designated Appeals Officer no later than 30 days from the date of receipt, as defined in IV.F.2. above, seeking to have such finding reviewed.

b.    Upon acceptance of an appeal, the Appeals Officer shall notify the Complainant, the Director of the Equal Opportunity and Affirmative Action Office, and those individuals who received a copy of the letter of determination, pursuant to paragraph IV.D.3. above.

c.     The Appeals Officer shall consider the facts in support of the request and develop any additional facts deemed necessary. The Appeals Officer may request that the Equal Opportunity and Affirmative Action Office investigator do additional investigation or address particular issues. If the Appeals Officer receives new information pursuant to his/her request for further investigation that s/he believes may change the outcome, the Appeals Officer shall ask the Equal Opportunity and Affirmative Action Office investigator to reconsider his/her findings in light of the new information.  The investigator shall inform the Appeals Officer of his/her reconsidered finding.  The Appeals Officer shall apprise Respondent and Complainant of the new information and the reconsidered finding so that each has an opportunity to review and refute any such additional information before the Appeals Officer renders a final decision.

 d.   The Appeals Officer shall complete the review in a timely manner and shall prepare and provide a written decision to Respondent, Complainant, the Director of the Equal Opportunity and Affirmative Action Office, and to those individuals who received a copy of the letter of determination, pursuant to paragraph IV.D.3. above.

e.    The Appeals Officer may endorse or reject the findings of the investigator.

f.      The decision by the Appeals Officer shall be final.

2.   By Complainant.  Following receipt of a letter of determination, Complainant may seek to have a finding that there was no policy violation reviewed by the Appeals Officer.

a.    To secure an appeal, Complainant must file a written request with the Appeals Officer no later than 30 days from the date of receipt, as defined in IV.F.2. above, seeking to have such finding reviewed.

b.    Upon acceptance of an appeal, the Appeals Officer shall notify the Respondent, the Director of the Equal Opportunity and Affirmative Action Office, and those individuals who received a copy of the letter of determination pursuant to paragraph IV.D.3. above.

c.     The Appeals Officer shall consider the facts in support of the request and develop any additional facts deemed necessary.  The Appeals Officer may request that the Equal Opportunity and Affirmative Action Office investigator do additional investigation or address particular issues.  If the Appeals Officer receives new information pursuant to his/her request for further investigation that s/he believes may change the outcome, the Appeals Officer shall ask the Equal Opportunity and Affirmative Action Office investigator to reconsider his/her findings in light of the new information.  The investigator shall inform the Appeals Officer of his/her reconsidered finding.  The Appeals Officer shall apprise Respondent and Complainant of the new information and the reconsidered finding so that each has an opportunity to review and refute any such additional information before the Appeals Officer renders a final decision.

d.    The Appeals Officer may endorse or reject the findings of the investigator.

e.    The decision by the Appeals Officer shall be final.

H.    Disciplinary Action Taken Following Determination of a Policy Violation By  Respondent. Any Respondent whose conduct results in a finding of a policy violation by the Equal Opportunity and Affirmative Action Office and against whom disciplinary action is initiated as a result of that finding, shall be afforded all applicable process under the University Handbook for Appointed Personnel, Classified Staff Human Resources Policy Manual, Student Code of Conduct, Arizona Board of Regents’ Policy Manual, or any other applicable processes.

 I.     Closure. An investigation shall be considered complete and the investigation shall be closed after the period has passed within which an individual may take an appeal if none has been taken, or following a final decision by the Appeals Officer, if either Respondent or Complainant has requested an appeal. A matter also may be closed administratively when the Equal Opportunity and Affirmative Action Office decides that further investigation is either impossible or unnecessary.

 J.    Withdrawal of Complaints. Once filed, the Equal Opportunity and Affirmative Action Office has an obligation to investigate complaints raising significant claims of discrimination. However, in appropriate circumstances, and at the discretion and judgment of the Director of the Equal Opportunity and Affirmative Action Office, the Equal Opportunity and Affirmative Action Office may agree, upon a written and signed request to do so by Complainant, to withdraw a complaint. A Complainant seeking to withdraw a complaint must set forth reasons in the request that support withdrawal.  The Equal Opportunity and Affirmative Action Office shall notify both Complainant and Respondent of such withdrawal.

V.        ADMINISTRATIVE REVIEWS

A.    Definitions.  

1.    Type I Administrative Review. A Type I Administrative Review is an investigation conducted at the request of an Administrator who has concerns that discriminatory actions may be occurring within his/her unit, where no one individual or individuals can be identified to be responsible. If, during a Type I Administrative Review, it appears to the Equal Opportunity and Affirmative Action Office investigator that a specific individual or individuals are responsible for engaging in discrimination, the investigation shall be converted to a Type II Administrative Review, as described below.

2.    Type II Administrative Review. A Type II Administrative Review is an investigation that focuses on alleged discrimination by a specific individual or individuals. Such a review may occur when, during a Type I Administrative Review, it appears to the investigator that the discrimination is a result of actions of specific individual(s), or when an Administrator wishes to initiate an investigation based upon the actions of a specific individual or individuals.

B.    Requesting an Administrative Review.

1.    Only Deans, Directors, Department Heads, Vice Presidents or the President may request an Administrative Review.

2.    Each request for an Administrative Review, whether Type I or Type II, shall include the following:

a.    The name of the administrator initiating the request for Administrative Review;

b.    The name of Respondent(s), if applicable;

c.     A clear and concise written statement of the facts that constitute the alleged discriminatory act(s), including pertinent dates and sufficient detail to identify any individual(s) who may have information that will assist in the investigation. The investigator performing the Administrative Review may seek clarification or amplification of the allegations from the administrator requesting the Administrative Review prior to or while performing the investigation.

d.    The signature of the administrator requesting the Administrative Review.

C.    Administrative Review Process.

1.    Identification of Respondent(s). Where a particular individual has been identified as allegedly engaging in discriminatory conduct, either by the administrator requesting the Administrative Review, or during the course of an Administrative Review, the Equal Opportunity and Affirmative Action Office shall provide notice of the Administrative Review to the identified individual(s), and shall give the individual(s) an opportunity to provide information regarding any allegations that arise as a result of the Administrative Review.

2.    Parties. Neither the administrator seeking the review nor any individual providing information to the Equal Opportunity and Affirmative Action Office shall be considered a party to the Administrative Review.

3.    Notice to Others Regarding Administrative Review. With the exception of Respondents who may be identified during an Administrative Review, only those persons with a legitimate need to know will be apprised of the request for an Administrative Review or the final disposition of an investigation that occurs as a result of such request. Those persons may include, but are not limited to, appropriate organizational unit administrators (Deans, Department Heads, or Vice Presidents), who may have an obligation to monitor the workplace to ensure that retaliatory action does not occur during the investigation or after the investigative process concludes, and who may be required to implement recommendations of the Equal Opportunity and Affirmative Action Office when it completes its investigation.

 4.   Role of Equal Opportunity and Affirmative Action Office.

a.    Following receipt of a request for an Administrative Review, the Equal Opportunity and Affirmative Action Office investigator will act as a neutral fact-finder.

b.    The investigator will assemble statements, documents, and other relevant evidence from the Administrator requesting the Administrative Review, from other witnesses, and any other individuals or entities who may provide information pertinent to the investigation.

5.    Findings and Recommendations.

a.   Upon completion of either a Type I or Type II investigation, the investigator will evaluate the evidence in accordance with applicable federal and state law, case law interpreting such law, and Arizona Board of Regents’ and University policies related to discrimination, and shall prepare a letter of determination, which shall include a finding of whether or not a policy violation occurred.

b.    In addition to the finding set forth in paragraph 5(a) above, in the case of a Type I Administrative Review, the investigator shall include in the letter of determination for the requesting administrator, the following information:

(1)    A description of any discriminatory actions within the unit; and

(2)    An assessment of the overall climate, as it relates to discrimination, within the unit.

c.   In addition to the finding set forth in paragraph 5(a) above, in the case of a Type II Administrative Review, the investigator shall issue to the Respondent a letter of determination that includes a finding of whether or not a policy violation occurred.  The letter of determination will be sent to the Respondent by U.S. Postal Services and the date of receipt shall be defined as five business days from the date the letter gets mailed.  The Respondent may elect to pick up his or her letter in which case the date of pick-up shall be the date of receipt.

d.   In addition to the finding set forth in paragraph 5(a) above, in the case of a Type II Administrative Review, if the investigator finds a policy violation, the investigator also shall issue a separate recommendation regarding sanctions up to and including termination and/or other corrective action deemed appropriate, such as education and training.

6.    Appeal of Finding.  Any issues not raised during the investigation or new issues that could have been raised, but were not, shall be precluded on appeal.

a.    In a Type I Administrative Review, no one shall have a right to appeal findings that focus on the overall climate in a unit, if no findings focused on the actions of an individual or individuals.

b.    In a Type II Administrative Review, following receipt of the letter of determination, an individual or individuals identified as a Respondent may seek to have a finding that there was a violation of policy reviewed by the designated Appeals Officer.

(1)    To secure an appeal, Respondent must file a written request with the designated Appeals Officer no later than 30 days from the date of receipt of the letter of determination, as defined in V.C.5.c. above.

(2)    The Appeals Officer shall consider the documentation provided in support of the original request for Administrative Review, as well as all other evidence obtained during the course of the review, and shall develop any additional facts deemed necessary.  The Appeals Officer may request that the investigator do further investigation or address particular issues.  If the Appeals Officer receives new information pursuant to his/her request for further investigation that s/he believes may change the outcome, the Appeals Officer shall ask the Equal Opportunity and Affirmative Action Office investigator to reconsider his/her findings in light of the new information.  The investigator shall inform the Appeals Officer of his/her reconsidered finding.  The Appeals Officer shall apprise Respondent and the requesting administrator of the new information and the reconsidered finding so that each has an opportunity to review and refute any such additional information before the Appeals Officer renders a final decision.

(3)    The Appeals Officer shall complete the review in a timely manner and shall prepare and provide a written decision to the administrator who sought the Administrative Review, Respondent, the Director of the Equal Opportunity and Affirmative Action Office, and any other administrators who received a copy of the letter of determination in accordance with paragraph V.C.3.

(4)    The Appeals Officer may endorse or reject the findings of the investigator.

(5)    The Appeals Officer’s decision shall be final.

D.    Closure.

1.    A Type I investigation shall conclude and the Administrative Review shall be closed when the Equal Opportunity and Affirmative Action Office issues a letter of determination to the administrator requesting the Administrative Review.

2.    A Type II investigation shall conclude and the Administrative Review shall be closed after the period has passed within which to make an appeal, if none has been made, or following a final decision by the Appeals Officer, if Respondent has made an appeal following a finding that there was a policy violation.  A matter also may be closed administratively when the Equal Opportunity and Affirmative Action Office decides that further investigation is either impossible or unnecessary.

E.    Withdrawal of Requests for Administrative Review.  Once filed, the Equal Opportunity and Affirmative Action Office has an obligation to investigate requests for Administrative Review raising significant claims of discrimination.  However, in appropriate circumstances, and at the discretion and judgment of the Director of the Equal Opportunity and Affirmative Action Office, the Equal Opportunity and Affirmative Action Office may agree, upon a written and signed request to do so by the administrator seeking an Administrative Review, to withdraw a request for review that suggests that discriminatory actions may be occurring in his/her unit.  An administrator seeking to withdraw a request for Administrative Review must set forth reasons in the request that support withdrawal.  The Equal Opportunity and Affirmative Action Office shall notify both the administrator and Respondent, if any has been identified, of such withdrawal.

VI.       COMPLAINTS BY STUDENTS AGAINST OTHER STUDENTS

A.    When a student makes a complaint to the Equal Opportunity and Affirmative Action Office alleging discrimination by another student, the student shall be referred to the Dean of Students’ Office in accordance with the University’s Student Code of Conduct.

B.    At the Dean of Students’ request, the Equal Opportunity and Affirmative Action Office may assist the Dean of Students’ Office with an investigation.

VII.   INFORMATION RELATED TO COMPLAINTS AND INVESTIGATIONS

A.    Confidentiality.  Employees of the Equal Opportunity and Affirmative Action Office shall respect confidentiality of information it obtains during the course of an investigation, except where disclosure is required:

1.    By an obligation imposed on the University by law;

2.    To investigate a complaint or request for Administrative Review;

3.    To advise Respondent, Complainant, or an individual identified in IV.D.3. or V.C.3., or in the case where an administrator has sought an Administrative Review, such administrator, of the outcome of an investigation; or

4.    To facilitate other legitimate University processes.

B.    Retaliation.  Threats or other forms of intimidation or retaliation against any person who files a complaint of discrimination or requests an Administrative Review, participates in an investigation, or opposes an unlawful discriminatory practice or policy are prohibited and shall form an independent basis for investigation under these procedures.

C.    Complaints Filed with Outside Agencies.  The University acknowledges that individuals have rights to file complaints with external agencies at any time within that agency’s deadlines, and that those complaints may be filed concurrently with complaints that are filed with the Equal Opportunity and Affirmative Action Office.  The fact that a complaint has been filed with an external agency will in no way deter an investigation at The University of Arizona concerning the same or similar events, so long as the complaint is filed in a timely manner within the University’s policies and procedures.