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Anti-Bullying Complaint Procedure (updated 1/19/2021)

Anti-Bullying Complaint Procedure (updated 1/19/2021)

I.  Introduction

This procedure provides a mechanism to address complaints made by SPU employees about bullying by fellow SPU employees where such complaints are not subject to another University procedure (e.g., the Discrimination and Harassment Grievance Procedure, or the Title IX Sexual Harassment and Related Conduct: Resolution Procedure). 

The goal of this procedure is to promote a healthy and supportive workplace that is free of bullying by helping employees understand appropriate workplace behavior and holding employees accountable.  This procedure is structured to encourage Deans and staff supervisors to try to resolve situations involving alleged bullying within their individual areas, but also allows for support from other offices (e.g., the Office of Human Resources) and permits more formal mechanisms of accountability where appropriate.



II.  Defined Terms

As used in this procedure:

  • The term “Employee” means any SPU employee, including faculty, staff, or student employees.

  • The term “Complainant” means an Employee who makes a complaint that such Employee experienced bullying from another Employee.

  • The term “Respondent” means the Employee accused of engaging in bullying.

  • The term “Supervisor/Dean” means (1) if the term is used with reference to an Employee who is a staff member or a student employee, the direct supervisor of such Employee; and (2) if the term is used with reference to an Employee who is a faculty member, the faculty member’s Dean.

  • The term “Receiver” means the Employee who receives the report of bullying (i.e., the Supervisor/Dean of the alleged victim/Complainant, or the Director of Human Resources, as described below).

  • The term "Area Vice President" means a vice president of the University with supervisory authority for a particular area.  For this purpose: (i) the Vice President for Academic Affairs will be considered an Area Vice President for faculty members and other employees not supervised by any other Area Vice President.



III.  Reporting Bullying

Any Employee may make a report of bullying by another Employee.  A report may be made even if the person making the report is not the person who was the alleged victim of the bullying.  However, this procedure is intended to provide a mechanism for relief for individuals who believe they experience bullying and make complaints themselves. 

An alleged victim who wishes to make a complaint of bullying should make the complaint to the alleged victim’s Supervisor/Dean.  If the alleged victim’s Supervisor/Dean is the individual who engaged in alleged bullying, the alleged victim may make a report to the Assistant Vice President (AVP) of Human Resources.  The alleged victim may also consult with the AVP of Human Resources for advice about a situation without making a formal complaint.

If someone other than the alleged victim makes a report, the report can be made to the alleged victim’s Supervisor/Dean (or, if such person is the individual who engaged in the alleged bullying, to the AVP of Human Resources).  Upon receipt of the report, the Receiver will speak with the alleged victim about whether to pursue action under this procedure.



IV.  Receipt and Initial Screening of Complaint

When receiving a complaint from a Complainant, the Receiver should listen and ask clarifying questions as necessary in order to understand what the Complainant claims occurred.  The Receiver should determine whether the conduct as described might be a violation of the University’s Title IX Sexual Harassment and Related Conduct Policy or Employee and Volunteer Sexual Misconduct Policy.  If it is, then the matter should be referred to the appropriate grievance receiver for complaints related to such policies so that they can be addressed through the Discrimination and Harassment Grievance Procedure (DHGP) or the Title IX Sexual Harassmnet and Related Conduct: Resolution Procedure (TSHGP), as applicable. 

If the Receiver determines that the complaint does not, on its face, appear to allege bullying or conduct subject to the DHGP or TSHGP, and is considered behavior that does not require any other formal process (for example, a performance evaluation with which an Employee does not agree), then no further formal action need be taken after the Receiver hears the Complainant’s concerns.

If the behavior described is such that it would likely constitute bullying if true, then the Receiver will discuss the concerns with the Complainant and may also ask how the Complainant might like the matter resolved or what might help to address the matter to learn whether or not there is some easily-implemented solution to the problem.  While the Complainant’s request may not always be granted, it should be considered. 

The Receiver should review the University’s Anti-Bullying Policy and Anti-Bias Policy when performing the initial screening.  The Receiver can also consult with the AVP of Human Resources for advice. 



V.   Informal Process

The Receiver should ask the Complainant whether the Complainant would like to pursue an informal process or whether the Complainant would like to follow the formal complaint procedure.  If the Complainant would like to pursue an informal process, the Receiver should notify the AVP of Human Resources of the request, and they will advise regarding informal options.  Options for informal process may include but are not limited to:  (a) having a mediated conversation with the Respondent; (b) having someone present the allegations of bullying to the Respondent and discussing options for cultivating a better work environment going forward; and/or (c) having the Respondent voluntarily complete an online program regarding anti-bullying, to be followed by a debriefing conversation with an SPU administrator. 

The option of an informal process is intended to allow for flexibility in addressing a situation.  An informal process will not require that an investigation be performed or that a formal finding be made about whether any bullying actually occurred.  Even though no formal finding will be made in an informal approach, a Complainant may still initiate a formal complaint procedure at a later time (e.g., if the Complainant does not believe that the informal process sufficiently addressed the situation), and a formal investigation and finding can occur. 



VI.  Written Response to Complainant

The Receiver will communicate in writing to the Complainant, restating the general nature of their discussion, to attempt to confirm that the Receiver and the Complainant agree on the nature of what was shared. This communication is intended as a simple reflection of what was shared by the Complainant, both so that the Complainant is heard and so that if there is any disagreement about what was communicated the disagreement can be resolved at an early stage.  This written communication should occur regardless of whether the Complainant wishes to pursue informal resolution or a formal complaint procedure.  If the Complainant wishes to pursue a formal complaint procedure, then the other steps listed below should occur. 



VII.   Notifying Respondent's Supervisor/Dean

After confirming that the Complainant agrees with the written summary (including making revisions to the written summary requested by the Complainant), the Receiver will share the written summary with the Respondent’s Supervisor/Dean (admittedly, this step is not necessary if the Receiver and the Respondent’s Supervisor/Dean are the same person).  The Respondent’s Supervisor/Dean may also notify their own Supervisor of the alleged bullying conduct at any point.



VIII.  Speaking with the Respondent

The Respondent’s Supervisor/Dean will speak with the Respondent about the complaint.  The purpose of the conversation will be to notify the Respondent of the alleged conduct and give the Respondent an opportunity to respond.



IX.  Investigation

The Respondent’s Supervisor/Dean will determine whether any additional investigation is needed after hearing from the Respondent (e.g., talking to other co-workers or witnesses).  The Respondent’s Supervisor/Dean should speak with the AVP of Human Resources before undertaking any additional inquiry to discuss the scope and manner of the inquiry. 



X.  Determination by Respondent’s Supervisor/Dean

After considering the information shared by the Complainant, the Respondent, and (if applicable) other people who are interviewed as part of an investigation, the Respondent’s Supervisor/Dean will make a determination whether it is more likely than not that the Respondent did, in fact, engage in bullying.  If the answer is yes, then the Respondent’s Supervisor/Dean will identify expectations for improved conduct by the Respondent going forward and decide whether additional disciplinary or remedial measures are appropriate.  In making a determination about expectations and disciplinary or remedial measures, the Respondent’s Supervisor/Dean should take into account the severity of the conduct, whether it is repeated conduct, whether there are prior conduct issues, and the feasibility of actions to repair harm caused.

In addition, if the bullying also involved bias-related conduct, the Respondent’s Supervisor/Dean will consult with the AVP of Human Resources before making a decision regarding disciplinary or remedial measures.  The AVP of Human Resources will work with the Respondent’s Supervisor/Dean to determine an appropriate response that would be reasonably calculated to end the conduct, prevent its recurrence, and remedy the harm.



XI.  Notifying Respondent of Determination

The Respondent’s Supervisor/Dean will notify the Respondent of the determination.  If the Respondent is found to have engaged in bullying, the Respondent’s Supervisor/Dean will inform the Respondent of the expectations for improved conduct going forward, an explanation of the consequence should the conduct not improve (e.g., the need to start a disciplinary process), and additional disciplinary, remedial, or protective measures (if any) being imposed.  This information may be presented in person, but if it is presented in person then the Respondent’s Supervisor/Dean will document the discussion in writing and send it to the Respondent (e.g., in an email). 

The Respondent’s Supervisor/Dean will try to complete the steps of the formal complaint process and issue a written determination within a month of receiving the written summary of complaint.  However, this timeline may be extended if appropriate due to particular facts and circumstances, and the Respondent’s Supervisor/Dean will notify the Complainant and the Respondent if the formal complaint process will take longer than a month.



XII.  Notifying other Offices of the Determination

If a Respondent is determined to have engaged in bullying, the Respondent’s Supervisor/Dean will forward a written summary of the determination (e.g., the written documentation provided to the Respondent) to the AVP of Human Resources for tracking and accountability purposes (and, if the Respondent is a faculty member, to the Vice President for Academic Affairs as well). 

If the bullying involved a violation of the University’s Anti-Bias Policy, then the Respondent’s Supervisor/Dean will also forward a written summary of the determination to the AVP of Human Resources (HR)  The AVP of HR will keep a record of the incident, the determination, and the response taken in a central spreadsheet or database so that the AVP of HR can review aggregate data for problematic patterns or systemic issues.

 

XIII.  Updating the Complainant

The Respondent’s Supervisor/Dean will inform the Complainant and the Complainant’s Supervisor/Dean that there was a discussion with the Respondent and that action was taken to address the behavior.  The Complainant and the Complainant’s Supervisor/Dean will be informed whether or not it had been determined that the conduct had occurred, whether the conduct violated any workplace standards, and whether remedial steps are being implemented.  However, the Complainant would not be given specific information as to the nature of any sanction or disciplinary action taken. 



XIV.  Follow-up with Complainant

The Respondent’s Supervisor/Dean will follow up with the Complainant between one and two months after notifying the Complainant of the determination to ask whether the Respondent had engaged in any additional bullying and whether the resolution of the complaint was sufficient to improve the condition of the workplace.  If the Complainant believes that the Respondent engaged in additional bullying following the resolution of the complaint process, then the Respondent’s Supervisor/Dean will consult with their own Supervisor to determine whether further action should be taken.  Such additional action may include, but is not limited to, having the Respondent’s Supervisor/Dean conduct a review of the additional alleged bullying pursuant to this procedure, or initiating action under a separate University procedure, as determined by the Supervisor of the Respondent’s Supervisor/Dean.  



XV.  Performance Reviews

If it is determined pursuant to this procedure that a Respondent has engaged in bullying, the determination made by Respondent’s Supervisor/Dean may be included in future performance reviews and similar review proceedings of the Respondent.  At the discretion of the Respondent’s Supervisor/Dean, the amount of information shared in such a performance review or other review proceeding may be limited to omit identifying information of other individuals (e.g. the Complainant) or other confidential information.  



XVI.   Retaliation

The University strictly prohibits retaliation against any person who files a complaint or otherwise participates in an investigation or proceeding under this procedure. This includes retaliation against anyone who makes a report or files a complaint about a violation of the University’s Anti-Bullying Policy; who expresses an intent to make a report or complaint; or who provides information as part of an investigation or proceeding. Retaliation can be any type of adverse or negative action taken toward a person who has filed a complaint or otherwise participated in an investigation or proceeding (however, an adverse action is not retaliatory if it was taken for some other justifiable reason). Examples of retaliation include intimidation, coercion, harassment, threats, acts of violence, acts intended to embarrass another person, unjustified demotion or reduction in pay, unjustified denial of a promotion, unjustified termination of employment, or any other action that is likely to dissuade a reasonable person from making a complaint in the future. Any employee who commits retaliation may be subject to disciplinary action, up to and including termination of employment.

Any person who believes he or she has been retaliated against should contact the AVP of Human Resources.  The AVP of Human Resources will consult with the accused Employee’s Area Vice President to gather information about the allegations.  The accused Employee’s Area Vice President will make a determination using a preponderance of the evidence standard whether the accused Employee engaged in retaliation, and (if applicable) will identify corrective action for the accused Employee.