Discrimination Complaint Procedures

OVERVIEW

Among other things, CSU’s Office of Equal Opportunity (OEO) monitors and supports university compliance with federal and state civil rights laws and CSU’s policies prohibiting DISCRIMINATION, HARASSMENT and RETALIATION. In accordance with CSU’s policies and these procedures, OEO conducts investigations of FORMAL COMPLAINTS of DISCRIMINATION, HARASSMENT and RETALIATION as well as attempts to facilitate and resolve INFORMAL COMPLAINTS.

These Procedures describe the processes the University applies when the OEO receives a report of conduct that possibly violates the University’s Discrimination and Harassment and/or Retaliation and Whistleblower Protection policies. These policies provide more general guidance while these procedures provide more specific rules and should be read in conjunction with each other.

I. APPLICABLE POLICIES

These Procedures apply to the following policies (hereafter referred to as a “policy” or collectively as the “Policies”):

  • Discrimination and Harassment
  • Retaliation and Whistleblower Protection

The Policies apply to the entire University community. The University encourages all community members to report concerns of conduct prohibited by the Policies. However, the University’s ability to investigate and/or directly address conduct may be limited in certain circumstances.

When the alleged DISCRIMINATION, HARASSMENT or RETALIATION is by a third-party engaged in University events, activities, or business (including, but not limited to, a visitor, visiting scholar, guest associate, contractor, program provider, or internship provider) and, upon a reasonable inquiry or FORMAL INVESTIGATION, it reasonably appears that a violation of a Policy has occurred, the matter will be referred to the appropriate University official or department, if any, for further action, which may include termination of a contract, visitor status, business relationship or other action as the University deems appropriate.

II. OTHER UNIVERSITY POLICIES

Some reported conduct may result in separate and/or additional proceedings under one or more University policies.  At all times, it is within the University’s discretion to determine which policies and procedures apply to reported conduct.  In such instances, the reported conduct may be referred to another University department or office for further review and possible action, referenced in an INVESTIGATOR’S report, and/or jointly investigated by the OEO and another University department or office.

III. ALTERNATIVE PROCEDURES

  • Students: Complaints against students shall be handled in accordance with provisions set forth in Students Rights and Responsibilities in the University General Catalog and the Student Conduct Code.

IV. DEFINITIONS

The definitions contained in the Policies shall apply to these Procedures. Capitalized terms used in these Procedures signify defined terms in these Procedures or in the Policies.

  • Complaint: A COMPLAINT is a written document requesting University action on allegations contained within the COMPLAINT by one or more COMPLAINANT(S) that one or more RESPONDENT(S) has engaged in one or more DISCRIMINATORY ACTS OR POLICIES against the COMPLAINANT(S) occurring in the context of employment or in CSU’s education programs, events or activities. COMPLAINANTS are advised that there are some instances in which the University has a responsibility to act, even if the COMPLAINANT requests that no action be taken, such as, for example, where other members of the University community may be at risk. There are two types of COMPLAINTS:
  • Informal Complaint: INFORMAL COMPLAINTS are governed by the procedures established in Section IX and involve an attempt to facilitate informal resolution by OEO. Resolutions of INFORMAL COMPLAINTS are not intended to result in outcomes involving disciplinary measures. The attempt to resolve an INFORMAL COMPLAINT is a voluntary process.
  • Formal Complaint: The COMPLAINANT may designate a COMPLAINT as formal. FORMAL COMPLAINTS are governed by the procedures established in Section X and involve an investigation of the allegations contained in the COMPLAINT and may result in a determination of the RESPONDENT(S) responsibility for a DISCRMINATORY ACT OR POLICY.
  • Discriminatory Act or Policy: An act or policy that violates state or federal law or University policy with regard to DISCRIMINATION, HARASSMENT or RETALIATION. Pursuant to state and federal law, individuals are protected against DISCRIMINATION and HARASSMENT on the basis of race, age, creed, color, religion, national origin, ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, gender identity or expression, or pregnancy.
  • Investigator: An impartial fact finder who is trained in conducting workplace discrimination investigations.
  • Preponderance of the evidence: A standard of proof that means that the evidence presented, when taken as a whole, is “more likely than not” to establish that conduct occurred in violation of the Policies.
  • Reply: The RESPONDENT’S written response to a COMPLAINT.
  • Vexatious: Allegations made with the primary purpose of harassing another individual, are patently without merit, have already been adjudicated, and/or are not made in good faith to resolve a legitimate issue.

V. CORE PRINCIPLES, PROCESSES AND EXPECTATIONS

  • Impartiality: OEO staff, including INVESTIGATORS, shall be impartial and neutral in carrying out their responsibilities and duties as set forth in the Policies and these Procedures.
  • Conflicts of Interest: If an OEO staff member, INVESTIGATOR, COMPLAINANT, or RESPONDENT is aware that a conflict of interest exists or may exist that could impact the fairness and impartiality of the process covered by these Procedures, as soon as practicable, such person(s) shall notify the Executive Director of Civil Rights Compliance in writing of the alleged conflict or bias. A review of the concern will occur by the appropriate level of University leadership.  If a conflict of interest is determined to exist, OEO may assign a new individual to investigate or facilitate the resolution of the COMPLAINT.

 Similarly, from time to time, conflicts of interest may arise during this process that are unforeseen until later stages.  Should conflicts of interest arise, the University reserves the right to address them at the time they become known and will notify the appropriate parties in writing of the conflict and the University’s approach to resolving the conflict.

  • Presumption of Good Faith Reporting: The University presumes that reports of violations of the Policies are made in good faith.
  • False Statements: A person who makes a materially false statement in bad faith during the course of the proceedings set forth in these Procedures may be subject to disciplinary action.
  • Confidentiality: In order to maintain the integrity of the process, it is critical that all individuals involved in the process should maintain discretion and confidentiality to the extent possible.
  • University-Initiated Investigation: On its own accord and in its sole discretion, the University may initiate an investigation in response to reported concerns or allegations regarding DISCRIMINATION, HARASSMENT or RETALIATION. In such instance, the Procedures for investigating a FORMAL COMPLAINT as set forth in Section X shall be followed to the extent practicable. The Investigative Report generated from a University-Initiated Investigation may be appealed in accordance with these Procedures.
  • Assignment of Investigator: Notwithstanding any conflicts of interest, the INVESTIGATOR assigned to investigate a FORMAL COMPLAINT or University- Initiated Investigation is chosen at the discretion of OEO. Generally, the INVESTIGATOR will be an OEO staff member.  However, from time to time, an INVESTIGATOR from outside of OEO will be selected and assigned.  In this circumstance, the INVESTIGATOR may be either from another University department or unit or a third-party external to the University.  
  • Expectations of Complainant, Respondent and Witnesses: The COMPLAINANT, RESPONDENT, witnesses and others sharing information in relation to the proceedings set forth in these Procedures are expected to provide all relevant information when requested, including at the time of submission of a COMPLAINT, a REPLY, other written statement, their interview, or as soon as otherwise practicable, and to be truthful and complete in their responses throughout the process.
  • Even if a COMPLAINANT or RESPONDENT declines to participate, the University may nevertheless determine that it is necessary to continue with the proceedings. Non-participation by a party or witness may impact the outcome of any proceeding under these Procedures. Coercing any party or witness not to participate constitutes RETALIATION and violates University policy.
  • Deadlines: All parties should strive to meet the deadlines contained in these Procedures.  If, however, a party needs to seek an extension, such request shall be made to OEO in writing, explaining the reason for seeking an extension.  OEO may grant or deny a request for good cause in its discretion. OEO may extend all other deadlines as deemed appropriate.
  • Modifications: From time to time, due to specific circumstances presented by a matter, these Procedures will require modification.  Such modifications are at the discretion of the University and shall only be made for good cause. If a modification is deemed necessary, OEO will notify the parties in writing, identifying the modification.

VI. STRUCTURE OF THE COMPLAINT

To file either an INFORMAL or FORMAL COMPLAINT, a prospective COMPLAINANT must submit a written, signed and dated COMPLAINT intake form with additional documentation to OEO containing the following information:

  • Identification of the COMPLAINANT and RESPONDENT(S) and the nature of their relationships to the University, if known;
  • The type of DISCRIMINATION, HARASSMENT and/or RETALIATION alleged, as applicable;
  • A detailed description of the circumstances of the alleged DISCRIMINATION, HARASSMENT and/or RETALIATION, including the dates(s) and location(s), witnesses, and supporting documents, if available, and the resolution sought; and,
  • A designation of whether the complaint is INFORMAL or FORMAL.

VII. TIME RESTRICTION AND CONDITIONS FOR FILING EITHER AN INFORMAL OR FORMAL COMPLAINT

  • Both INFORMAL and FORMAL COMPLAINTS shall be submitted to OEO within one hundred and eighty (180) calendar days from the time the COMPLAINANT becomes aware of the alleged DISCRIMINATION, HARASSMENT or RETALIATION. OEO has the discretion to consider a complaint outside this time frame for compelling reasons.
  • OEO shall , within ten (10) working days after the filing of an INFORMAL or FORMAL COMPLAINT, or as soon as practicable, review the COMPLAINT and determine whether the COMPLAINT is accepted.
  • If the COMPLAINT is accepted, OEO will certify in writing to the COMPLAINANT the acceptance of a filed COMPLAINT. Within a reasonable time after certification of the COMPLAINT, OEO shall notify RESPONDENT(S) of the COMPLAINT and its contents.
  • In its discretion, OEO may dismiss a COMPLAINT for reasons set forth in Section VIII.

VIII. COMPLAINT DISMISSAL

OEO’s responsibility is to resolve or investigate COMPLAINTS submitted pursuant to the Policies and these Procedures.  However, OEO may, in its discretion, dismiss a COMPLAINT at any time for any of the following reasons:

  • The COMPLAINT was not submitted within the time limits required by the Policies and these Procedures and OEO has determined there is no compelling reason to further consider the COMPLAINT.
  • OEO determines that, even if all of the allegations contained in the COMPLAINT are true, the alleged conduct would not constitute a violation of the Policies.
  • The RESPONDENT(S) identified in the COMPLAINT are no longer employed by or affiliated with CSU.
  • OEO determines that, based on the nature of the allegations and/or known circumstances, the COMPLAINT is VEXATIOUS.
  • OEO determines that specific circumstances exist that make resolving or investigating the COMPLAINT impracticable or impossible.

If OEO determines that a COMPLAINT should be dismissed, OEO shall notify the COMPLAINANT in writing that the COMPLAINT has been dismissed and shall state the specific basis for the dismissal.

At the discretion of the University, a COMPLAINT that has been dismissed may be referred to another CSU department or office for further review and possible action.

IX. RESOLUTION OF INFORMAL COMPLAINTS

Informal resolution of COMPLAINTS is encouraged whenever possible. For an INFORMAL COMPLAINT to proceed, all parties must voluntarily agree to participate. If the COMPLAINANT designates in writing that they wish to seek an informal resolution to their COMPLAINT, the COMPLAINANT thereby requests OEO to review and attempt to conciliate the matter with the RESPONDENT.

Resolutions of INFORMAL COMPLAINTS are not intended to result in outcomes involving disciplinary measures or determinations of a DISCRIMINATORY ACT OR POLICY.

It is not necessary to file an INFORMAL COMPLAINT prior to filing a FORMAL COMPLAINT; however, should a COMPLAINANT originally designate a COMPLAINT as an INFORMAL COMPLAINT, COMPLAINANT may change an INFORMAL COMPLAINT to a FORMAL COMPLAINT at any time during the process outlined in this Section or within thirty (30) calendar days after the completion of the process outlined in this Section, if unresolved, even if this extends beyond the time limit of one hundred eighty (180) calendar days established in Section VII. Failure to file a FORMAL COMPLAINT within this time frame will constitute a waiver of the right to file a FORMAL COMPLAINT absent compelling circumstances, at the sole discretion of OEO.

When an INFORMAL COMPLAINT is received and accepted by OEO, the following steps shall be completed:

  • OEO staff shall meet with the COMPLAINANT.

OEO staff shall notify each RESPONDENT in writing that an INFORMAL COMPLAINT has been filed against them and arrange for a meeting with each RESPONDENT who agrees to participate to review the allegations contained within the INFORMAL COMPLAINT, these Procedures, and terms of resolution sought by COMPLAINANT. RESPONDENT will be given an opportunity to submit a REPLY to the INFORMAL COMPLAINT and terms of resolution. If there are multiple RESPONDENTS named within a COMPLAINT, separate meetings will occur.

  • OEO staff may collect and preserve relevant information including but not limited to witness statements, HR records, and electronic and other available evidence.
  • After OEO staff conducts the above review of information, the staff member will attempt to negotiate a resolution of the matter in a manner satisfactory to all parties. Possible outcomes of an informal resolution may include, but are not limited to, an explicit written understanding about future conduct, educational training, or changes in workplace assignment.

Any written understanding that is created to resolve an INFORMAL COMPLAINT requires voluntary, mutual acceptance by the COMPLAINANT, the RESPONDENT(S), the OEO, and relevant supervisory officials, if deemed necessary by OEO. Such a written understanding shall state that the acceptance of the document by the parties does not imply an admission of wrongdoing. It shall also state which issues, applicable to which parties, are being resolved by the document and which issues, applicable to which parties, remain unresolved, if any. Only issues that remain unresolved may be raised later in a FORMAL COMPLAINT.

  • If an informal resolution is not achieved, the OEO shall notify all parties in writing that the informal process has terminated without a resolution. The COMPLAINANT shall have thirty (30) calendar days from the date that this notification is received to file a FORMAL COMPLAINT.
  • A brief summary of the informal process shall be kept on file in the archives of the OEO and it shall be considered to be part of the personnel files of the COMPLAINANT and RESPONDENT(S) and will be maintained pursuant to applicable record retention policies. If an informal resolution is achieved, the summary shall include the allegations of the COMPLAINT, conditions sought by the COMPLAINANT, and conditions of the resolution, including any written understandings. If a resolution is not achieved, the summary shall include a statement to this effect.

X. RESOLUTION OF FORMAL COMPLAINTS

  • Initiation of Formal Complaint: When a FORMAL COMPLAINT is filed within the allowed time frame (see Sections VII and IX), OEO shall send a written acknowledgment to the COMPLAINANT and provide a copy of the FORMAL COMPLAINT to each RESPONDENT within five (5) working days, or as soon as practicable, after certification of the complaint as set forth in Section VII. OEO may redact portions of the COMPLAINT for good cause before providing a copy to RESPONDENT(S), including but not limited to, portions of the COMPLAINT that may not be applicable to a particular RESPONDENT when multiple RESPONDENTS are identified.
  • Respondent’s Reply: Each RESPONDENT shall have the opportunity to submit a REPLY to the COMPLAINT to OEO within fifteen (15) working days from the date of receipt. A copy of each REPLY shall be sent to the COMPLAINANT by OEO within five (5) working days from the date of receipt, or as soon as practicable. OEO may redact portions of the REPLY for good cause before providing a copy to the COMPLAINANT.
  • Complaint and Reply: The COMPLAINT and the REPLY shall define the issue(s) to be addressed through the investigation, which must be specific to DISCRIMINATION, HARASSMENT, and/or RETALIATION.
  • Interim Measures: At the discretion of the University, appropriate interim and/or supportive measures designed to address safety or RETALIATION concerns may be implemented while the investigation process is pending. When considering interim measures, OEO may consult with the relevant party’s supervisor, the Office of the General Counsel, Human Resources or other appropriate University offices or departments before any such measures are implemented. Interim measures may include, but are not limited to, paid administrative leave, an institutional order of no contact, no trespass order, parking accommodations, transportation assistance or security escorts, and temporary changes in or relocation of workspace or schedules, among other options.
  • Investigative Period: Investigative interviews of the COMPLAINANT and RESPONDENT(S) shall be conducted by the INVESTIGATOR. The INVESTIGATOR may also interview applicable witnesses and review submitted and/or requested documentation and evidence. OEO shall instruct individuals that RETALIATION is prohibited and is a violation of university policy and the law. OEO shall also instruct individuals about the confidentiality and privacy parameters of the investigation. The timeframe allowed for this step is contingent on a variety of factors including but not limited to, availability and number of witnesses, complexity of the issues, number of factual allegations, documentation, and the availability of the INVESTIGATOR. In the event the RESPONDENT is no longer subject to the University’s jurisdiction (g., the individual’s employment terminates), OEO may discontinue the investigation, in its discretion.
  • Support Person: COMPLAINANT and RESPONDENT(S) each shall be permitted to have a support person of their choosing present during investigative interviews. The support person may be a member of the university community, an attorney, or another individual, but shall not be someone who is a witness or potential witness to the investigation. The support person may not speak on behalf of COMPLAINANT or RESPONDENT(S), as applicable, and is not entitled to review documentation in the matter. The COMPLAINANT and RESPONDENT(S) may choose, on their own, to share information with their respective support person with the understanding that the information and/or documentation shall not be shared further with others.
  • Investigative Report: The INVESTIGATOR shall prepare a written report that summarizes the allegations and associated findings of the investigation. The outcome of an investigation is to identify if, by a PREPONDERANCE OF THE EVIDENCE, there has been conduct that violates applicable Policy. The finalized written report shall be distributed, as appropriate, to the COMPLAINANT and RESPONDENT(S) and those individuals within appropriate chains of leadership who have the authority to review and implement appropriate action, if any. OEO may redact or anonymize portions of the report for good cause before providing a copy to the parties.
  • Outcomes of Formal Investigation: Investigative findings under the FORMAL COMPLAINT process may result in disciplinary action, in the discretion of appropriate supervisory officials. OEO will not recommend whether disciplinary action is necessary nor shall it recommend specific disciplinary action, however, OEO may serve in a facilitative role to supervisory officials when the FORMAL COMPLAINT process closes and intervention with employee performance or disciplinary action is determined to be appropriate. The Academic Faculty & Administrative Professional Manual or the State Personnel Board Rules, as applicable, shall be considered in implementing disciplinary action.
  • The COMPLAINANT and RESPONDENT(S) will be informed of the outcome of the investigation in writing, within fifteen (15) days of the completion of the report and review by supervisory officials, if appropriate. Notwithstanding the appeal procedures described in Section XI, decisions by OEO regarding FORMAL COMPLAINTS are final and not subject to re-investigation.

XI. APPEALS AND ADMINISTRATIVE REVIEW

  • Appeals of Investigative Findings: If either the COMPLAINANT or any RESPONDENT wishes to appeal investigative findings, the party must file such an appeal in writing with OEO within ten (10) working days of the receipt of the investigative report. OEO may permit the filing of appeals beyond the ten (10) working-day limit with good cause, as determined by OEO.

The grounds for appealing the findings, by either the COMPLAINANT or RESPONDENT(S), may be for only these reasons and must be specified in the appeal:

  • Material procedural irregularities occurred during the investigation that prevented or impeded a fair process or investigation; and/or
  • New evidence has been discovered that was not available during the investigation and may have a substantial impact on the outcome of the investigation.
  • Administrator’s Appellate Review of Investigative Report: Within ten (10) working days of receipt of the Appeal (subject to good-cause extensions), OEO shall forward the Appeal and the investigative report to an appropriate administrator within the appellant’s supervisory chain for review and decision. The review typically should be completed within twenty (20) working days. The decision from this appellate review is final. Each party shall be provided with the written result of the appellate review, specifying in writing the reasons for support or modification of the investigative findings.
  • Administrative Action Following Appellate Review of Investigative Report: If a policy violation is found or maintained, the appropriate administrator, in consultation with Human Resources and/or the Office of the General Counsel, will work with the RESPONDENT’S supervisor to implement remedial measures. The Academic Faculty & Administrative Professional Manual or the State Personnel Board Rules, as applicable, shall be considered in implementing any disciplinary action.

These Discrimination Complaint Procedures were last revised and placed into effect August 22, 2025 and supersede any and all prior versions.