E-mail this pageComplaint Procedure for Review of Allegations of Unlawful Discrimination/Harassment
Passed by Executive Council
Effective 1 January 2007
Overview
The State University of New York, College at Plattsburgh ("Plattsburgh State" or "the College"), in its continuing effort to seek equity in education and employment and consistent with Federal and State anti-discrimination legislation, has adopted a complaint procedure for the prompt and equitable investigation and resolution of allegations of unlawful discrimination on the basis of race, color, national origin, religion, age, sex, sexual orientation, disability, veteran status or marital status. Harassment on the basis of the above categories is one form of unlawful discrimination. Conduct that may constitute harassment is described in Appendix A . More detailed information may be obtained from the Office of Affirmative Action.
This Complaint Procedure for the Review of Allegations of Unlawful Discrimination provides a mechanism through which
These measures are intended to balance the rights of those bringing complaints of discrimination, harassment, and retaliation (the "Complainant") with those against whom claims are brought (the "Respondent"). This procedure is administered by the Affirmative Action Officer (AAO), who reports to the College President. The State University of New York, Office of the University Counsel has approved this procedure.
This procedure may be used by any
A complainant is not required to pursue the
Time Limits
Employees of
Students must file a complaint within 90 calendar days following the alleged discriminatory act, or 90 calendar days after a final grade is received for the semester during which the discriminatory acts occurred, if that date is later.
It is the Complainant's responsibility to be certain that any complaint is filed within the 90-day period.
If the Complainant brings a complaint beyond the period in which the complaint may be addressed under these procedures, the Affirmative Action Officer shall, after consultation with the Office of University Counsel, terminate any further processing of the complaint, refer the complaint to University Counsel, or direct the Complainant to an alternative forum (see Appendix B for a list of alternative forums).
Jurisdiction of the Affirmative Action Officer
Complaints of illegal discrimination should be made to the Affirmative Action Officer (AAO). Complaints or concerns that are reported to a College administrator, manager, or supervisor concerning an act of discrimination or harassment shall be immediately referred to the Affirmative Action Officer. The AAO will also receive initial inquiries, reports, and requests for consultation. The AAO will respond as appropriate in a timely manner.
In addition, the Affirmative Action Officer may determine that a specific complaint of unlawful discrimination or harassment is of such a serious or potentially criminal nature that the investigative steps outlined in the process should be accelerated or eliminated. Such a circumstance will be communicated to the President (or his/her designee) and to the Director of Human Resource Services for appropriate action, including the initiation of disciplinary action.
Retaliation
An employee or student who participates in the procedure has the right to do so without fear of or actual retaliation. It will be made clear to Respondent that retaliation against an employee or a student who has filed a discrimination complaint, or against any witness, will result in appropriate sanctions or disciplinary action as covered by College policies or applicable collective bargaining agreements. These sanctions will be invoked for retaliation regardless of the merits of the original complaint.
Confidentiality
To the extent practicable or allowable by law, all aspects of the investigation conducted in accordance with these procedures will be confidential. All affected parties shall cooperate fully in the investigation and shall maintain and preserve the confidentiality of the investigation.
No party shall employ audio or video taping devices during any portion of the procedures detailed hereafter.
Procedures for Resolving Complaints
Complaint Consultation and Review
Any student or employee of
The individual may elect to have the matter resolved informally. In seeking an informal resolution, the Affirmative Action Officer shall review all relevant information and interview Complainant, Respondent, and pertinent witnesses. The AAO will take all reasonable steps to complete the inquiry in a timely manner. If the AAO can find a resolution satisfactory to both the Complainant and the Respondent, the AAO will send a written notice to that effect to both parties. The matter will be closed.
At any time in this process, the Complainant may elect to sign a formal complaint, as long as it is within the 90-day time limit.
If the individual decides to do so, a complaint form should be signed. The complaint form contained in Appendix C must be used. The Complainant will receive a copy of the complaint form signed and dated by the AAO (or designee), as will the Respondent.
An individual may refuse to reduce a complaint to writing. However, notwithstanding that refusal, there may be a continuing obligation on the part of the campus to investigate the verbal complaint to the best of its ability and proceed with any action that is warranted. Although in some instances verbal complaints may be acted upon, the procedures set forth here rest upon the submission of a written complaint that will enable a full and fair investigation of the facts.
Investigation
If there is a formal complaint filed, or if the AAO determines that the matter deserves further examination, s/he will immediately begin an investigation. The AAO will take all reasonable steps necessary to complete the investigation within ninety (90) calendar days after receipt of the complaint. If such is not possible, the AAO may extend this deadline for a reasonable period of time. Both the Complainant and the Respondent will receive notification from the AAO regarding the basis for this extension.
The investigation shall consist of:
- Reviewing statements of and interviewing both Complainant and Respondent;
- Reviewing all College records that concern the complaint;
- Interviewing witnesses;
- Reviewing other relevant material and evidence.
In reaching findings, the AAO will evaluate the conduct alleged to have been discriminatory by considering the totality of the circumstances, including the nature, frequency, intensity, context, and duration of the conduct. Although repeated incidents would create a strong claim of discrimination, a serious isolated incident can present sufficient grounds for corrective action.
Failure to Cooperate: If the Respondent refuses to cooperate and/or respond in a timely manner, the AAO may terminate any further processing of the complaint and refer the matter to Human Resource Services. Failure to cooperate meaningfully in a review of a complaint of discrimination may be grounds for discipline.
Inaction by Complainant: If at any time during an investigation, a Complainant declines to cooperate with the AAO, or if the AAO determines that the Complainant no longer wishes to pursue her/his complaint, the matter may be considered closed, with appropriate notification.
Legal Counsel: If legal counsel is retained by a Complainant or Respondent, that counsel may not participate or be present at any meeting convened by the AAO. Respondents and Complainants are expected to communicate with the AAO directly, not through legal counsel or other intermediaries.
Resolution
The AAO shall make every reasonable effort to resolve the matter informally in any form that is acceptable to the parties and to the College. Resolution may take the form of:
- Letters exchanged between the parties through the AAO, including any apology from the Respondent;
- A meeting with the supervisor of the Complainant or Respondent;
- Mandated trainings in the areas of discrimination for the Respondent or the departmental unit;
- A verbal warning to the Respondent issued after consultation with Human Resource Services and in accordance with any applicable collective bargaining agreements;
- A written warning to the Respondent issued after consultation with Human Resource Services and in accordance with any applicable collective bargaining agreements.
This list is not exhaustive and other forms of resolution may be appropriate.
When there is a signed, formal complaint, and after a full investigation, if the AAO cannot negotiate a resolution agreeable to both the Respondent and Complainant, the AAO will issue a report to all parties and to the President.
The AAO's determination may be that:
1)
The complaint was not substantiated.
If the AAO determines that there is insufficient credible evidence to support the allegation of discrimination, the complaint shall be dismissed and the College shall take no further action.
2)
The complaint was substantiated.
a)
For Respondents who are students, the AAO may determine that sufficient information exists to refer the matter to Judicial Affairs for review and appropriate action under the student conduct code.
b)
For Respondents who are employees (including student employees) not in a collective bargaining unit, in consultation with HRS, the AAO may recommend to the President that s/he take such administrative action as deemed appropriate under authority as the chief administrative officer of the College, including but not limited to termination, demotion, reassignment, suspension, reprimand, or training.
c) For Respondents who are employees in collective bargaining units, the AAO may determine that sufficient information exists to recommend disciplinary action to the President. The President may then refer the matter to the Director of HRS for investigation and action appropriate under the applicable bargaining agreement. Corrective action may include, but is not limited to: reprimand, mandatory counseling, written counseling, probation, suspension, termination of employment, or non-renewal of contract.
Within ten working days from the AAO's recommendation, the President will issue a written statement indicating what action will be taken. The statement will be sent to the Complainant, the Respondent, and the AAO. The President's decision will be final for the purposes of this discrimination procedure.
If the President is the Respondent, the Chancellor or her/his designee shall issue a written statement indicating what action the Chancellor proposes to take. The Chancellor's decision shall be final for the purposes of this discrimination procedure.
If the AAO is the Respondent, the President's designee will investigate the allegation.
If the Complainant is dissatisfied with the President's or Chancellor's decision, the Complainant may elect to file a complaint with one or more State and Federal agencies. The Affirmative Action Officer will provide general information on State and Federal guidelines and laws, as well as names and addresses of various enforcement agencies. (See Appendix B .).
Appendix A: Definitions and Prohibited Acts and Behaviors
Sexual Harassment in the Employment Setting is defined as:
Unwelcome sexual advances, requests for sexual favors, or verbal or physical conduct of a sexual nature when any of the following occurs:
- Submission to such conduct is made a term or condition of an individual's continued employment, promotion, or other condition of employment.
- Submission to or rejection of such conduct is used as a basis for employment decisions affecting an employee or job applicant.
- Such conduct is intended to interfere, or results in interference, with an employee's work performance, or creates an intimidating, hostile, or offensive work environment.
Sexual Harassment in the Educational Setting is defined as :
Unwelcome conduct of a sexual nature. Sexual harassment can include unwelcome sexual advances, requests for sexual favors, and other verbal, nonverbal, or physical conduct of a sexual nature.
Sexual harassment of a student denies or limits, on the basis of sex, the student's ability to participate in or to receive benefits, services, or opportunities in the educational institution’s program.
Harassment on the Basis of Protected Characteristic(s) other than Sex/Gender
Harassment based on race, color, age, religion, national origin, disability, sexual orientation or other protected characteristics is oral, written, graphic or physical conduct relating to an individual's protected characteristics that is sufficiently severe, pervasive, or persistent so as to interfere with or limit the ability of an individual to participate in or benefit from the educational institution’s programs or activities. (Back to Beginning )
Appendix B: External Enforcement Agencies
New York State Division of Human Rights
New York State Division of Human Rights State Headquarters
One Fordham Plaza, 4th Floor
Bronx, New York 10458
Phone:(718) 741-8400
Fax:(718) 741-3214
Albany
New York State Division of Human Rights
Empire State Plaza, Agency Building #2, 18th Floor
Albany, New York 12220
Phone: (518) 474-2705
Fax:(518) 473-3422
Office of Sexual Harassment
New York State Division of Human Rights
Office of Sexual Harassment
55 Hanson Place, Suite 347
Brooklyn, New York 11217
Phone:(718) 722-2060 or 1 (800) 427-2773
Fax:(718) 722-4525
Office of AIDS Discrimination
New York State Division of Human Rights
Office of AIDS Discrimination
20 Exchange Place, 2nd Floor
New York, New York 10005
Phone:(212) 480-2522 or 1 (800) 522-4369
Fax:(212) 480-0143
United States Department of Labor
Office of Federal Contract Compliance Programs
201 Varick Street, Room 750
New York, NY 10014
Phone:(212) 337-2006
Fax:(212) 620-7705
Buffalo District Office
6 Fountain Plaza, Suite 300
Buffalo, NY 14202-2199
Phone:(716) 551-5065
Fax:(716) 551-4035
New York District Office
26 Federal Plaza, Room 36-116
New York, NY 10278-0002
Phone:(212) 264-7742
Fax:(212) 264-8166
New York State Department of Labor
State Campus, Building 12, Room 500
Albany, NY 12240-0003
Phone:(518) 457-2741
Fax:(518) 457-6908
United States Equal Employment Opportunity Commission
EEOC National Headquarters
1801 L. Street, N. W.
Washington, D. C. 20507
Phone:(202) 663-4900
Fax:(202) 663-4912
EEOC Field Office
6 Fountain Plaza
Suite 350
Buffalo, New York 14202
Phone:(716) 551-4441
Fax:(716) 551-4387
Office for Civil Rights
OCR National Headquarters
U. S. Department of Education
Office of Civil Rights, Customer Service Team
Mary E. Switzer Building
330 C. Street, S. W.
Washington, D. C. 20202
Phone:(800) 421-3481
Fax:(202) 205-9862
Office for Civil Rights
New York Office
75 Park Place, 14th Floor
New York, NY 10007-2146
Phone:(212) 637-6466
Fax:(212) 264-3803
Appendix C: Complaint Form
Contact Affirmative Action Officer, 518-564-3310
E-mail Affirmative Action Officer
Plattsburgh State Office of Affirmative Action
Lynda J. Ames, Ph.D.
Affirmative Action Officer & Title IX Coordinator
101 Broad Street
Plattsburgh, NY 12901
Phone: (518) 564-3310
Fax: (518) 564-3318
E-mail: lynda.ames@plattsburgh.edu