Pine Technical College
Policy and Procedure
Policy Number: 108 REV 2 Date: 03/19/01 Revision Dates:
08/03/04, 3/9/06
Division/Department: General Administration Authors: Initial:
Katherine Dettinger; Revised by: Carol Abell, Director of Human Resources
Subject: Report/Complaint of Discrimination/Harassment Investigation and
Resolution
Authorities: Robert Musgrove, College President. This policy is written
in accordance with MnSCU Board Policy 1B.1 and Procedure 1B.1.1.
Purpose:
This policy is designed to further implement Minnesota State Colleges and
Universities (MnSCU) policy 1B.1 relating to non-discrimination in employment
and education opportunity by providing a process through which individuals
alleging violation of system or campus non-discrimination policies may pursue a
complaint. This includes allegations of discrimination or harassment based on
sex, race, age, disability, color, creed, national origin, religion, sexual
orientation, marital status, status with regard to public assistance, or
membership or activity in a local commission.
Policy:
Pine Technical College is committed to maintain a learning and working
environment that is free from discrimination and harassment.
The College shall maintain and encourage full freedom, within the law, of
expression, inquiry, teaching, and research. Academic freedom comes with a
responsibility that all members of our education community benefit from it
without intimidation, exploitation, or coercion. Discrimination and harassment
are not within the protections of academic freedom.
Procedure:
This procedure shall apply to all individuals affiliated with Pine Technical
College, including its students, employees, and applicants for employment, and
is intended to protect the rights and privacy of both the complainant and
respondent and other involved individuals, as well as to prevent
retaliation/reprisal. Individuals who violate this policy/procedure shall be
subject to disciplinary or other corrective action.
This procedure is not applicable to allegations of sexual violence, which should
be addressed separately under appropriate College policies and procedures.
Not every act that may be offensive to an individual or group constitutes
discrimination or harassment. In determining whether discrimination or
harassment has occurred, the totality of the circumstances surrounding the
incident must be carefully reviewed and due consideration must be given to the
protection of individual rights, freedom of speech, academic freedom, and
advocacy.
Part 1. Definitions
Designated Officer: A designated officer is an individual designated by
the President to be primarily responsible for investigating or coordinating the
investigation or reports and complaints of discrimination/harassment in
accordance with this procedure. Pine Technical College designated officers are
Jason Spaeth (Continuing
Education/Customized Training, 320-629-5175, SpaethJ@pinetech.edu).
Decision-Maker: A decision-maker is an individual designated by the
President to review investigative reports, to make findings whether the
discrimination/harassment policies have been violated based upon the
investigation and other measures deemed necessary to reach a decision, and to
determine the appropriate action for the institution to take based upon the
findings. Pine Technical College decision-maker is the Dean of Continuing
Education/Customized Training and the College President for complaints against
College Vice Presidents for Deans.
Part 2. Reporting Incidents of Discrimination/Harassment
Reporting an Incident: Pine Technical College encourages any individual,
including any student, employee, applicant for employment, or person eligible
for employment (as defined by Minnesota Statutes Section 43A.02), who feels she
or he has been or is being subjected to discrimination/harassment to report the
incident to a designated officer. Any student, faculty member, or employee who
knows of, receives information about, or receives a complaint of
discrimination/harassment is urged to report the information or complaint to a
designated officer.
Personal Resolution: In instances where an individual believes she or he
has been subjected to behavior prohibited by the 1B.1 Non-Discrimination in
Employment and Education Opportunity policy, that individual may voluntarily
choose to directly address the offensive behavior. In such a situation, she or
he should clearly explain to the alleged offender as soon as possible after the
incident that the behavior is objectionable and that it stop. Communication with
the alleged offender may be in person, on the telephone, or in writing. If the
behavior does not stop or if the individual believes some employment or
education consequences may result from the discussion, she or he should go to
the designated officer to process the complaint. Under no circumstances shall an
individual be required to use personal resolution to address prohibited
behaviors rather than reporting the behavior to a designated officer.
Duty to Report: Unless the matter already has been referred to a
designated officer, administrators and supervisors must inquire into allegations
or behaviors that they reasonably believe may constitute discrimination or
harassment and, when a report/complaint appears to be warranted, refer the
matter to a designated officer. The duty to report shall not be construed to
prevent immediate corrective action by an administrator or supervisor when
appropriate.
Institutional Responsibility: This procedure applies to all members of
the educational community, including students. Reports/complaints against the
President of the College shall be filed with the Office of the Chancellor.
Complaints against the President shall be processed by the College if the
President's role in the alleged incident was limited to a decision on a
recommendation made by another administrator, such as tenure, promotion, or
non-renewal, and the President had no other substantial involvement in the
matter. Reports and complaints against College Vice Presidents or Deans are
filed at the campus level with the President as decision-maker.
Retaliation and Reprisal: No retaliation, reprisal, or intimidation in
conjunction with a complaint of discrimination/harassment shall be tolerated by
the College. State law prohibits reprisal by a respondent, employer, labor
organization, educational institution, employee, agent of the above, and others
as specified in statute. (Minnesota Statutes Section 363.03). Any individual who
retaliates against any person who testifies, assists, or participates in an
investigation, proceeding, or hearing in relation to a discrimination/harassment
complaint shall be subject to disciplinary or other action.
Retaliation includes, but is not limited to, any form of intimidation, reprisal,
coercion, discrimination, harassment, or unwanted sexual contact toward a
complainant, or the complainant's relatives, friends, or associates. Retaliation
may occur whether or not there is a power or authority differential between the
individuals involved. Reprisal also includes discrimination against an
individual because that person is associated with a protected group member.
Allegations of retaliation or reprisal shall be reported to the designated
officer for appropriate action.
False Statements Prohibited: Any individual who provides false statements
regarding the filing of a discrimination report/complaint or during the
investigation of such a report/complaint may be subject to disciplinary or
corrective action.
Withdrawn Complaints: If a complainant no longer desires to pursue a
complaint, the College reserves the right to investigate and resolve the
complaint.
Part 3. Right to Representation:
In accordance with federal law and applicable collective bargaining agreement
and personnel plan language, represented employees may have the right to request
and receive union representation during an investigatory meeting. Nothing in
this procedure is intended to expand, diminish, or alter in any manner
whatsoever any right or remedy available under a collective bargaining
agreement, personnel plan, or law. Any disciplinary action imposed as a result
of an investigation conducted under this procedure will be processed in
accordance with the applicable collective bargaining agreement or personnel
plan.
Part 4. Investigation and Resolution:
The College has an affirmative duty to take timely and appropriate action to
stop inappropriate behavior, conduct investigations, and facilitate resolutions
as appropriate.
Making a Report/Complaint: The designated officer must be contacted in order to
initiate a report/complaint. The report/complaint should be brought as soon as
possible after the incident occurs. The designated officer shall retain control
of the investigatory process and determine whether and/or how to proceed.
Initial Inquiry and Review Process: After receiving a report/complaint, the
designated officer shall take the steps listed below:
1. Jurisdiction: The designated officer shall determine whether the
report/complaint is one which should be processed through another procedure
available to the complainant; if appropriate, the designated officer shall
direct the complainant to that procedure as soon as possible.
2. Conflicts: If the designated officer determines that the
report/complaint falls within the scope of the College’s non-discrimination
policy and this procedure, the designated officer shall first determine who will
conduct the complaint process. The designated officer should identify to the
President any real or perceived conflict of interest in proceeding as the
designated officer for a specific complaint. If the President determines that a
conflict exists, another designated officer shall be assigned.
3. Information Provided to Complainant: At the time the report/complaint
is made, the designated officer shall:
a) inform the complainant of the provisions of the non-discrimination policy;
b) provide a copy of the policy and the report/complaint procedure to the
complainant;
c) advise the complainant of other options such as alternative dispute
resolution or mediation and that the complainant may also choose to pursue other
legal options; and
d) determine whether other individuals are permitted to accompany the
complainant during investigatory interviews and the extent of their involvement.
4. Complaint Form: The designated officer shall insure that the complaint
is documented in writing on the complaint form available from the College. The
complaint form must include:
a) a detailed description of the facts upon which the charge is based;
b) the name(s) of the respondent(s), if known;
c) a list of possible witnesses as deemed appropriate by the designated officer;
and
d) other information pertinent to the complaint.
At the conclusion of the process, the final disposition of the complaint shall
be included on the complaint form.
5. Information Provided to the Respondent: At the time initial contact is
made with the respondent, the designated officer shall:
a) inform the respondent in writing of the existence and general nature of the
complaint and the provisions of the non-discrimination policy;
b) provide a copy of the policy and the report/complaint procedure to the
respondent;
c) advise the respondent of other options such as alternative dispute resolution
or mediation;
d) explain to the respondent that, in addition to being interviewed by the
designated officer, the respondent may provide a written response to the
allegations; and
e) determine whether other individuals are permitted to accompany the respondent
during investigative interviews and the extent of their involvement.
6. Processing the Complaint: The designated officer shall:
a) conduct a fact-finding inquiry or investigation into the complaint, including
appropriate interviews and meetings;
b) investigate the complaint without identifying the complainant if, in the
judgment of the designated officer, this would increase the likelihood of
satisfactory resolution of the complaint;
c) inform the complainant, respondent, witnesses, and other involved individuals
of the prohibition against retaliation and reprisal;
d) create, gather, and maintain investigative documentation as appropriate;
e) disclose appropriate information to others only on a need-to-know basis
consistent with state and federal law and provide a data privacy notice (Tennessen
warning) in accordance with state law; and
f) inform the complainant and respondent of the status of the investigation at
reasonable times until final disposition of the complaint.
Initial inquiry and informal resolution: After conducting an initial
inquiry and review, if the designated officer determines that the issue can be
resolved without further investigation, the designated officer may use one or
more of the following methods to resolve the complaint:
1. suggest counseling or sensitivity training;
2. conduct training for the unit, division, or department, calling attention to
the consequences of
engaging in such behavior;
3. facilitate meetings between the parties;
4. separate the parties; after consultation with appropriate system office
and/or college personnel;
5. prepare a written letter of agreement confirming that the respondent has been
informed of the policy and complaint procedure, identifying and documenting the
respondent's acceptance of the designated officer's resolution of the complaint
and stating that retaliation is prohibited;
6. other possible outcomes may include explicit agreements about future conduct,
a letter of apology to the complainant, changes in workplace assignments,
enrollment in a different course or program, or other appropriate action.
Investigation and Decision Process: If the above methods do not resolve
the complaint within a reasonable period of time to the satisfaction of the
designated officer or the designated officer feels additional steps should be
taken, the procedures in this subpart shall be followed:
1. Designated Officer. The designated officer shall:
a) conduct further investigation as deemed appropriate by the designated
officer;
b) prepare an investigation report for review by the decision-maker;
c) take additional investigative measures as requested by the decision-maker;
d) provide sufficient information to the respondent consistent with federal and
state data privacy laws to allow the respondent to respond to the substance of
the complaint; and
e) provide the investigation report to the complainant or respondent upon
request unless the information is protected under state or federal law.
2. Decision-maker. After receiving the investigation report prepared by the
designated officer, the
decision-maker shall:
a) determine whether additional steps should be taken, at the discretion of the
decision-maker,
prior to making the decision. Additional steps may include:
1) a request that the designated officer take additional
investigative measures;
2) a meeting with the complainant, respondent, or other
involved individuals. If a meeting
involving a represented employee is convened, the complainant
or respondent may
choose to be accompanied by the bargaining unit
representative, in accordance with
applicable collective bargaining agreement and federal and
state law. Other employees
may be accompanied by an attorney or other support person at
the discretion of the
decision-maker;
3) a request for additional information, which may include a
written response from the
complainant or respondent relating to the allegations of the
complaint;
b) take other measures deemed necessary to reach a decision;
c) when making the decision, take into account the surrounding circumstances,
the nature of the
behaviors, the relationship(s) between the parties, the context in which the
alleged incident(s)
occurred, and other relevant factors;
d) determine the nature, scope, and timing of disciplinary or corrective action
and the process for
implementation if a violation of the non-discrimination policy occurs. This may
include
consultation with human resource or supervisory personnel to determine
appropriate discipline;
e) report in writing to the complainant, respondent, and the designated officer
her or his findings
as to whether or not the non-discrimination policy has been violated. The
written answer to the
complainant shall be provided within 60 days after a complaint is made unless
reasonable cause
for delay exists.
Confidentiality: Confidentiality cannot be guaranteed, however, care will
be taken to keep investigation discussions sufficiently broad to protect the
complainant's identity when appropriate. There may be instances in which the
college has a responsibility to act even if the complainant requests that no
action be taken. In such instances, the college may investigate and take
appropriate action on the basis of the facts or evidence available.
Investigative data: Information gathered during the investigation will be
handled in accordance with federal and state data privacy laws.
Other remedies:
1. Reassignment or administrative leave. Under appropriate circumstances, the
President may
reassign or place an employee on administrative leave at any point in time
during the
report/complaint process. In determining whether to place an employee on
administrative leave
or reassignment, consideration shall be given to the nature of the alleged
behavior, the
relationships between the parties, the context in which the alleged incidents
occurred, and other
relevant factors. Any action taken must be consistent with the applicable
collective bargaining
agreement or personnel plan.
2. Summary suspension or other action. Under appropriate circumstances, the
President or
designee may impose on a student a summary suspension or other temporary
measures at any
point in time during the report/complaint process. A summary suspension may be
imposed when,
in the judgment of the President or designee, the accused student's presence on
the college
campus would constitute a threat to the safety and well-being of members of the
campus
community. Before implementing the summary suspension, the accused student shall
be given
notice of the intention to impose the summary suspension and, except in an
emergency, shall be
given an opportunity to present oral or written arguments against the imposition
of the
suspension. After the student has been summarily suspended, the report/complaint
process
should be completed within the shortest reasonable time period, not to exceed
nine (9) class
days. During the summary suspension, the student may not enter the campus or
participate in
any college activities without obtaining prior permission from the
administrator. Other temporary
measures may be taken in lieu of summary suspension where the President or
designee
determines such measures are appropriate.
3. Alternative dispute resolution and mediation. The college, in consultation
with the system
office of Equal Opportunity and Diversity, may use alternative dispute
resolution or mediation
services as a method of resolving discrimination/harassment complaints.
Alternative dispute
resolution and mediation options require the voluntary participation of all
parties to the
complaint.
Part 5. College Action
The College shall take the appropriate corrective action based on results of the
investigation and shall follow up as appropriate to ensure that the corrective
action is effective. Complainants are encouraged to report any recurrences of
conduct which were found to violate the system non-discrimination policies.
The decision-maker shall notify the complainant and respondent in writing of the
final disposition of the complaint. Written notice to parties relating to
discipline, resolutions, and/or final dispositions resulting from the
report/complaint process is deemed to be official correspondence from the
college.
Part 6. Appeal
Filing an appeal: The complainant and the respondent may appeal the
decision of the decision-maker. An appeal must be filed in writing with the
President or designee within ten (10) business days after notification of the
decision. The appeal must state specific reasons why the complainant or
respondent believes the decision was improper. An appeal concerning a report or
complaint against a College Vice President or Dean must be filed with the
Chancellor or designee. In a complaint against a president or other official who
reports directly to the Chancellor, an appeal may be considered by the
Chancellor whether or not the Chancellor served as the decision-maker.
Effect of review: For employees represented by a collective bargaining
agreement, an appeal under this procedure is separate and distinct from, and is
not in any way related to, any contractual protections or procedures. During the
pendency of the appeal, disciplinary or corrective action taken as a result of
the decision shall be enforced. In addition, in cases involving sanctions of
suspension for ten (10) days or longer, students shall be informed of their
right to a contested case hearing under Minnesota Statutes, Chapter 14.
Appeal process: The Chancellor, President or designee shall review the
record provided and determine whether the complaint is substantiated or not
substantiated. The Chancellor, President or designee may receive additional
information if the Chancellor, President or designee believes such information
would aid in the consideration of the appeal. The decision on appeal will be
made within a reasonable time and the complainant, respondent, and designated
officer shall be notified of the decision. The decision on appeal exhausts the
complainant's and respondent's administrative remedies under this procedure
except as provided herein.
Part 7. Education and Training
The College shall provide education and training programs to promote awareness
and prevent discrimination/harassment, such as education seminars, peer-to-peer
counseling, operation of hotlines, self-defense courses, and informational
material development and distribution. Education and training programs should
include education about the College’s non-discrimination policies, as well as
conducting investigations, management, and implementation of this procedure.
Responsibilities:
Are as outlined above in the procedure section of this policy.
Dissemination:
Information regarding this policy and procedure must be provided to each
student during student registration and each employee on acceptance of
employment. Copies of the policies shall be posted on the College intranet site
and in published student catalogs and student/employee handbooks. and shall
include the designated officers' names, locations, and telephone numbers.
Maintenance of Report/Complaint Procedure Documentation:
During and upon the completion of the complaint process, the complaint file
shall be reposited in a secure location in the Human Resources Department for
the College. Access to the data shall be in accordance with the respective
collective bargaining agreement or personnel plan, the Minnesota Government Data
Practices Act, the Family Educational Rights and Privacy Act, or other
applicable law.
Reviewed by Leadership Team:
Reviewed by Faculty Shared Governance: N/A
Revision Reviewed by Leadership Team: 4/3/06
Revision Reviewed by Faculty Shared Governance: 4/11/06
Approved: _______________________________________ Date:______________
Robert L. Musgrove, Ph.D., President