1. Introduction

1.1. East Carolina University (“ECU” or “University”) prohibits unlawful discrimination, harassment and/or related retaliation as defined in the Notice of Nondiscrimination and Affirmative Action Policy (“Policy”) based on the following protected classes: race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status (including relationship or association with a protected veteran; or Active Duty or National Guard service) (“Protected Class”). ECU will promptly, equitably, impartially, and thoroughly resolve complaints of unlawful discrimination, harassment and/or related retaliation based on an ECU Protected Class.

1.2. This regulation provides the resolution procedures for complaints of unlawful discrimination, harassment and/or related retaliation; discrimination against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant (as defined in the Notice of Nondiscrimination and Affirmative Action Policy); and, reports of improper relationships, as defined in the Policy of the Board of Governors of the University of North Carolina Concerning Improper Relationships between Students and Employees (collectively, within this regulation, hereafter referred to as “Prohibited Conduct”).

1.3. The University will take appropriate steps to address all allegations of Prohibited Conduct, whether an individual requests the formal or alternative resolution or reports a concern informally and/or anonymously.

1.4. Complaints of Prohibited Conduct Not Covered by this Regulation

1.4.1. Complaints of sexual assault, sexual harassment and Other Forms of Interpersonal Violence. Complaints of sexual assault and sexual harassment, fondling, sexual exploitation, dating and domestic violence, and stalking are exempted from this regulation and will be handled in accordance with procedures outlined in Appendices A and B of the University Regulation on Reports of Prohibited Interpersonal Violence and Related Misconduct or the Title IX Compliance and Resolution Regulation.

1.4.2. Complaints of Prohibited Conduct filed by an SHRA Employee within 15 Calendar Days. Complaints filed by an SHRA employee are governed by the grievance procedures presented in the Mediation and Grievance Procedure for SHRA Employees (Regulation 06.35.02) (“SHRA Grievance Procedure”) if the SHRA employee files the complaint within fifteen (15) calendar days after the last incident of conduct grievable under the SHRA Grievance Procedure. Note: Complaints filed by an SHRA employee more than 15 calendar days after the last incident will be addressed in accordance with this regulation.

1.4.3. Complaints of Prohibited Conduct Brought Against ECU Students. Complaints brought against ECU students are governed by the Student Conduct Process (REG11.30.01) except complaints filed by an ECU SHRA employee as described above in paragraph 1.4.2.

2. Definitions

2.1. Complainant – an individual alleging Prohibited Conduct and/ or the individual(s) allegedly subjected to the Prohibited Conduct.

2.2. Discrimination - actions that subject individuals to unfavorable or unequal treatment based on a Protected Class.
Discrimination includes but is not limited to failing to provide reasonable accommodations to a qualified person with a disability, failing to provide reasonable religious accommodations, and failing to provide a reasonable accommodation for pregnancy or pregnancy related conditions, consistent with state and federal law.

2.3. Harassment - unwelcome conduct based on a Protected Class, a form of discrimination as defined in Paragraph 1.1 above, which creates either quid pro quo harassment or a hostile environment, as defined in Paragraph 2.3.1 and Paragraph 2.3.2, below. It also includes Sexual Harassment as defined and addressed in the University Regulation on Reports of Prohibited Interpersonal Violence and Related Misconduct or the Title IX Compliance and Resolution Regulation.

2.3.1. Quid Pro Quo Harassment – submission to or rejection of such conduct is made, either explicitly or implicitly, a term or condition of a person’s employment, academic standing, or participation in any University programs and/or activities or is used as the basis for University decisions affecting the individual.

2.3.2. Hostile Environment Harassment - A “hostile environment” exists when the conduct is sufficiently severe, persistent, or pervasive that it unreasonably interferes with, limits, or deprives an individual from participating in or benefitting from the University’s education or employment programs and/or activities. Conduct must be deemed severe, persistent, or pervasive from both a subjective and an objective perspective. A hostile environment can be created by persistent or pervasive conduct or by a single or isolated incident, if sufficiently severe. The perceived offensiveness of a single verbal or written expression, standing alone, is typically not sufficient to constitute a hostile environment.

2.4. Investigator - the individual responsible for reviewing and/or investigating Complaints of Prohibited Conduct and ensuring effective and efficient resolution of those Complaints.

2.5. Preponderance of the Evidence Standard - meeting the preponderance of evidence standard means that it is more likely than not that the alleged Prohibited Conduct occurred. This standard will be used to evaluate the evidence for purposes of making findings and drawing conclusions for an investigation conducted under this regulation.

2.6. Respondent - an individual accused of Prohibited Conduct in a complaint.

2.7. Retaliation - any adverse action taken against an individual because of protected activity that might deter a reasonable person from engaging in protected activity. It includes any act of interference, restraint, penalty, discrimination, coercion, reprisal, intimidation, threats, or harassment against an individual for using the applicable policies responsibly (including making a charge of discrimination protected by this policy; testifying, assisting, or participating in a hearing, proceeding, review process or investigation of discrimination; opposing an illegal act; or exercising any other right protected by this policy).

2.8. Vice Chancellor and/or other appropriate University administrator(s) - all references to the appropriate Vice Chancellor mean the Vice Chancellor with supervisory responsibility over the Respondent or, in the Chancellor’s Division, the supervisor that the Chancellor determines to be appropriate, such as the Director of Athletics, Chief of Staff, Chief Audit Officer, or Vice Chancellor for Legal Affairs. However, the Chancellor may assume this responsibility or designate another Vice Chancellor in the event the Vice Chancellor with supervisory authority over the Respondent is unavailable; is a witness in the investigation; has a conflict of interest; or when the Chancellor determines that a substitution is necessary to ensure a fair and timely review.

3. Resolving Complaints of Prohibited Conduct

3.1. Obligation to Review Prohibited Conduct
Consistent with the Notice of Nondiscrimination and Affirmative Action Policy, if the Office for Equity and Diversity becomes aware of any information or concerns related to prohibited discrimination, harassment, and/or related retaliation, the Office for Equity and Diversity will undertake a Preliminary Assessment and, if appropriate, address those concerns with an alternative resolution or formal investigation.

3.2. Office for Equity and Diversity Resolution Procedures for Complaints of Prohibited Conduct

3.2.1. Reporting the Prohibited Conduct

3.2.1.1. A Complainant may try to resolve an incident of Prohibited Conduct by talking with their supervisor (or other member of management in the supervisory chain if the supervisor is the Respondent). In such cases, supervisors must consult with the OED in a timely fashion prior to attempting to resolve the complaint. If the Complainant is not satisfied with the outcome of that discussion or does not feel comfortable talking with the supervisor about the issue, the Complainant should report the Prohibited Conduct to OED and seek alternative or formal resolution as explained below.

3.2.1.2. Complaints of Prohibited Conduct reported to OED should be submitted within one hundred and eighty (180) calendar days of the alleged conduct. Complaints submitted after one hundred and eighty (180) calendar days will be reviewed by OED and handled appropriately depending on the facts of each case but may not be able to be investigated due to the passage of time and unavailability of witnesses or other relevant information necessary to complete an investigation. In cases that also involve the State Human Resources Act grievance process, the timelines stated in that Act apply.

3.2.1.3. Complaints outlining details of Prohibited Conduct can be submitted to OED by any of the following means:

3.2.1.3.1. Completing the online Complaint Form. (https://oed.ecu.edu/concerns-complaints/)

3.2.1.3.2. Submitting a written report in person or via mail using the contact information provided in this regulation.

3.2.1.3.3. Submitting a report verbally in person or by telephone using the contact information provided in this regulation.

3.2.1.4. Complaints should include, if possible, the following information:

3.2.1.4.1. Complainant name(s) and contact information.

3.2.1.4.2. Name(s) of the Respondent(s).

3.2.1.4.3. Details of Prohibited Conduct, including the date(s), time(s), and place(s).

3.2.1.4.4. Name(s) of individuals with knowledge of issue(s) or event(s).

3.2.1.4.5. The desired outcome or corrective action sought.

3.2.1.5. At any time, a complaint may be filed with the U.S. Equal Employment Opportunity Commission (“EEOC”), U.S. Department of Education’s Office for Civil Rights (“OCR”), or the North Carolina Civil Rights Division of the Office of Administrative Hearings. The agency website links can be found above in the Additional References section.

3.2.1.6. Preliminary Assessment:

3.2.1.6.1. Upon receiving a complaint, the investigator will conduct a preliminary assessment of the allegations at issue; the nature and circumstances of the allegation(s); the potential pattern evidence or other similar conduct; and/or whether there is any risk of harm to the parties, any other individuals, or the broader campus community. The investigator will also assess the details of the complaint to determine whether the report alleges facts that, if true, constitutes Prohibited Conduct within OED’s jurisdiction. If the complaint is unclear, the investigator may seek additional information from the Complainant. If the Responding Party is no longer a student or employee at the time of the report, or if the conduct did not occur on campus, in the context of an education or employment program or activity of the University, or have continuing adverse effects on campus or in an off-campus education or employment program or activity, the University may not be able to fully investigate (or take disciplinary action against) the Responding Party.

3.2.1.6.2. If the preliminary assessment of the complaint indicates that the alleged conduct, if true, does not constitute Prohibited Conduct, the investigator may suggest resolving this type of complaint through the alternative resolution process and notify the Complainant of this assessment. (see 3.2.2.2 below).

3.2.1.6.3. If the preliminary assessment indicates that the complaint is not within OED’s jurisdiction, the investigator will notify the Complainant of the appropriate University office for referral and/or OED will refer the matter to the applicable University office as appropriate.

3.2.1.6.4. Additionally, if the report of Prohibited Conduct includes matters that fall within the jurisdiction of one or more University offices, OED may conduct a joint review with those offices as necessary and consistent with the University Investigative Responsibilities Regulation.

3.2.2. Alternative Resolution Process

3.2.2.1. The Complainant may request, or the investigator may inform the Complainant of available alternative resolution options in place of formal resolution. OED has the discretion to determine if the nature of the Prohibited Conduct is not appropriate for alternative resolution, to limit the type of alternative resolution that may be appropriate in a specific case and, to refer a report for formal resolution at any time. At any point prior to the conclusion of the alternative resolution, the Complainant may withdraw their request for an alternative resolution and initiate the formal resolution process.

3.2.2.2. Alternative resolutions may include, but are not limited to, providing the Complainant with University and community resources, referring the concerns to the Respondent’s supervisor, referring the complaint to the Ombuds Office, and/or providing education to the Respondent.

3.2.2.3. The request for an alternative resolution is not a finding of Prohibited Conduct, which can only be established through a formal investigation as described below.

3.2.3. Formal Resolution Process

3.2.3.1. Formal resolution is an investigation to determine, considering the totality of all evidence available and using the Preponderance of Evidence Standard, whether the Prohibited Conduct occurred. Formal resolution also includes steps taken to address findings of Prohibited Conduct to remedy its effects and to prevent its recurrence.

3.2.3.2. Confirmation of Specific Allegations:

3.2.3.2.1. If the Complainant would like to proceed with formal resolution, and/or the investigator determines formal resolution is necessary, the Complainant will be asked to confirm the details of the complaint in writing prior to commencement of the investigation. The Complainant and Respondent should maintain confidentiality of the investigation information and must not conduct their own review and/or investigation of the allegations. The Complainant, Respondent and any employee who provides information or otherwise participates in the investigation will be notified of the University’s policy prohibiting retaliation.

3.2.3.2.2. OED does not make any conclusions or presumptions regarding the complaint prior to a complete investigation of the complaint. OED is committed to treating all parties equitably and impartially.

3.2.3.3. Notice of Investigation:

3.2.3.3.1. Upon the initiation of an investigation, the investigator will notify the Complainant and the Respondent in writing of the complaint and the specific allegations. The Respondent will be given the opportunity to submit any information relevant to the complaint, including a written or verbal response. The Respondent must not conduct their own review and/or investigation of the complaint. In addition, the Respondent should not contact or speak with the Complainant about the complaint and should not engage in related retaliation prohibited by the Notice of Nondiscrimination and Affirmative Action Policy. The Respondent may, at any time, elect to resolve the formal resolution process by accepting responsibility for the Prohibited Conduct, in which case the investigator will refer the matter to the appropriate Vice Chancellor and/or other appropriate University administrator(s) for appropriate action, which may include the imposition of sanction(s). The Complainant will be notified of the conclusion of the investigation and any action taken as permitted by applicable law.

3.2.3.4. Advisors:

3.2.3.4.1 Throughout the process, each party has the right to choose and consult with an advisor. The advisor may be any person, including an attorney, who is not otherwise a party or witness involved in the investigation. The parties may be accompanied by their respective advisors at any meeting or proceeding related to the investigation and resolution of a report under these Procedures. While the advisors may provide support and advice to the parties at any meeting and/or proceeding, they may not speak on behalf of the parties or otherwise participate in, or in any manner disrupt, such meetings and/or proceedings, except advisors may participate as required/permitted by any applicable UNC policy or state or federal law. If, in the judgment of the investigator or OED, such an individual interferes or is in any way disruptive, he/she/they may be instructed to leave immediately. In this situation, it is within the discretion of OED to decide whether such an individual may return and participate in the process at a later time.

3.2.3.5. Evidence:

3.2.3.5.1. Both the Complainant and the Respondent will have the opportunity to provide evidence and/or witnesses relevant to the complaint. The parties will have timely and equal access to information that will be used during the formal resolution process and related meetings, as allowed by applicable law.

3.2.3.5.2. The investigator will meet with the witness(es) the investigator deems relevant to the investigation.

3.2.3.6. Timeframes and Notification:

3.2.3.6.1. OED will make every effort to promptly, equitably, and thoroughly investigate claims of Prohibited Conduct within approximately sixty (60) business days from the issuance of the notice of the investigation outlined in 4.2.3.4. Although investigations are generally completed within approximately sixty (60) business days, occasionally the process may take longer depending on the nature or complexity of the issues, extenuating circumstances, the availability of witnesses, and/or University closures.

3.2.3.6.2. OED will contact the Complainant and Respondent with a status update of the investigation approximately thirty (30) business days from the date the Notice of Investigation was sent to the parties. If the investigation extends beyond sixty (60) business days, the Complainant and Respondent will be provided a status update at sixty (60) business days and then at every thirty (30) business day interval thereafter.

3.2.3.7. Conclusion of Investigation:

3.2.3.7.1 Upon completion of the investigation, OED will issue a written report with the findings of the investigation to the Respondent’s divisional Vice Chancellor and/or other appropriate University administrator(s).

3.2.3.7.2. OED will concurrently issue a notice of findings to both the Complainant and Respondent. If an investigation reveals conduct that may violate other University policies, the investigator will notify the applicable University office of the conduct.

3.2.3.7.3. OED’s findings may not be appealed and constitute the University’s final decision except that OED may exercise discretion to amend its findings in the event it becomes aware of new information that materially impacts the findings of the investigation or if material facts relied upon to reach its findings are later determined to be inaccurate. In the event OED amends its findings it will reissue its report to the Respondent’s divisional Vice Chancellor and/or other appropriate University administrator(s) and notice of findings to the Complainant and Respondent.

3.2.3.8. Vice Chancellor Review:

3.2.3.8.1 Upon receipt of the written report with the findings of the investigation, the appropriate Vice Chancellor and/or other appropriate University administrator(s) will review and, as appropriate, take disciplinary and/or other action in accordance with applicable policy.

3.2.3.9. Sanctions:

3.2.3.9.1. Disciplinary action imposed against a Respondent who engaged in Prohibited Conduct or other misconduct revealed by the investigation may include, but is not limited to, one or more of the following: training, progressive disciplinary action, restrictions on interactions with students or other members of the ECU community, No-Contact Directive, transfer of position, removal of administrative appointment, demotion, suspension without pay, and discharge from employment. A Respondent may appeal the imposition of disciplinary action as permitted by any disciplinary policy applicable to the Respondent.

3.2.3.9.2. Any sanction or combination of sanctions imposed upon a Respondent will be documented in the Respondent’s personnel file.

4. Obligation to Provide Truthful Information

4.1. All University community members are expected to provide truthful information in any report or proceeding under this Regulation. Providing false or misleading information is prohibited and may subject the individual to disciplinary action consistent with University policy applicable to the individual. This provision does not apply to information provided in good faith, even when the alleged facts cannot be substantiated or are found to be incorrect.

5. Privacy

5.1. For any report under this Regulation, every effort will be made to respect and safeguard the privacy interests of all individuals involved in a manner consistent with the need for a careful assessment of the allegation(s) and any necessary steps to eliminate the conduct, prevent its recurrence, and address its effects. As a result, OED will endeavor to protect the privacy of both the Complainant and the Respondent to the extent possible under applicable law. In some situations, including those in which disciplinary action is a possible outcome, due process may require disclosure of information, including instances where the Complainant’s identity must be disclosed to the Respondent. Generally, information shared with designated campus professionals will typically only be disclosed with the individual’s express permission, unless there is a continuing threat of serious harm to the parties or to others, or there is a legal obligation to reveal such information (e.g., where there is suspected abuse or neglect of a minor).

5.2. If the Complainant would like to remain anonymous, the investigator will explain that OED will endeavor to resolve the complaint in a manner that honors the Complainant’s request for anonymity, but that the University cannot ensure complete confidentiality and/or it may be limited in its ability to take disciplinary action if the Complainant insists he/she/they remain anonymous.

6. Conflict of Interest

6.1. If any party involved in an investigation is or becomes aware of a real or perceived conflict of interest that will prevent OED or a particular investigator from rendering an impartial decision, the party should notify OED and request an alternate investigator. The University may also, by exercise of its own discretion, appoint an alternate investigator absent a request if it knows of or learns of a real or perceived conflict of interest. If this occurs, the parties will be notified as appropriate.

7. Records

7.1. ECU will maintain confidentiality of all OED records pertaining to this policy in accordance with applicable law, including but not limited to, the N.C. personnel records statute found at N.C. General Statute Chapter 126, Article 7 et seq., the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR Part 99), and the University General Records Management Policy. The information contained in records generally will not be released without the written consent of the individuals who are the subject of the records. However, records may be shared with third parties, such as the EEOC, OCR or other government investigatory body, to the extent required or allowed under applicable law.

7.2. OED will maintain records of all reports under this Regulation and their outcomes in order to track patterns and systemic behaviors. However, unsubstantiated allegations that have not been investigated formally, in a manner consistent with due process, cannot serve as the basis for the imposition of sanctions or disciplinary action.

8. Prevention and Education

8.1. Employees

8.1.1. All employees are responsible for completing educational modules about Prohibited Conduct every five years. New employees must complete these required trainings within ninety (90) days of their hire date.

8.1.2. Education is one of the most effective ways to create an environment free of discrimination, harassment, and related retaliation.

8.1.3. The modules are accessible for all permanent employees via Cornerstone and via Blackboard for temporary or short-term employees as well as student employees.

8.1.4. OED will track employee completion of the module and will notify an employee’s respective Vice Chancellor and/or other appropriate University administrator(s) of noncompliance.

8.1.5. Questions about the educational modules should be directed to OED at the contact information above and below in paragraph 10.

9. Contact Information
Office for Equity and Diversity
East Carolina University
Suite G-406 Old Cafeteria Building
Greenville, NC 27858
(252) 328-6804
Oed@ecu.edu