Information About the Complaint Process
For Complainants and Respondents
Thank you for cooperating with the Office of Compliance and Equity Management (OCEM) as
we look into this formal complaint. Information below details our protocol and provides helpful
guidelines that may be of assistance to you.
Prepping for the investigation
 The individual who filed the complaint is the “complainant” and the person who was
filed against is the “respondent.”
 The investigator(s) is a neutral fact finder and is not representing or advocating for any of
the parties involved.
 As a member of the University community, your full cooperation with all OCEM
inquiries is expected. This means that full, complete and truthful responses are expected.
It also means that you should comply with any request for materials. This is the case even
if you are directed to do otherwise by a supervisor. If you have been directed not to
cooperate in any way, you should inform the investigator(s) immediately. If you have
related information that is not covered during the interview, you should feel free to bring
that information forward.
 The investigator(s) will record the meeting and will take written notes throughout. You
are welcome to do the same. Please inform the investigators if you are planning to record
the meeting in some way other than via written notes.
 OCEM has a compelling interest in protecting the integrity of its investigations. We have
a strong desire to protect all participants from harassment, intimidation and retaliation’ to
keep evidence from being destroyed; to ensure that testimony is not fabricated; and to
prevent issues from being covered up or ignored. To that end, we ask that you assist in
our efforts by maintaining confidentiality in regard to this case.
 If you become aware of new details or concerns, it is expected that you will share that
information with the investigator(s) in a timely fashion.
 You are welcome to bring a single individual with you on visits to OCEM. You may
bring someone from your Union, someone to support you, or legal counsel. If, however,
you choose to bring legal counsel, you must inform OCEM ahead of the meeting so that
the University Counsel can be scheduled into the meeting as well.
Guidelines for Union-covered employees regarding representation
o If you are a Union-covered employee (Faculty or AFSCME), you are entitled to
representation during the interview. If you would like to have representation at
any meeting but have not scheduled such, you may coordinate that with the
representation and OCEM.
 Your Union representation has the right to be informed of the meeting’s
subject matter, and may provide you advice on how to answer questions.
 You and/or your Union representation may request to caucus at any time
during the meeting and may leave the meeting space to do so.
 Your Union representation may request clarification of questions you may
better understand, and also may give additional information to the
investigator at the end of the questioning.
 It is OCEM’s expectation that all of this will be done without disruption to
the meeting.
 You may be asked to meet with the investigator(s) more than once. The investigator(s)
may call you later to confirm details and/or gather additional information. If you receive
a call and would rather meet in person, please inform the investigator(s) and a meeting
will be scheduled. You are welcome to bring your representative.
 Questions are welcomed at any time during the meeting and you are always welcome to
follow up later with questions or concerns to our office at 3-2846. Questions about
scheduling meetings or about the investigation should be addressed to the investigator(s).
Questions about the process or outcome should be addressed by Leah Gutknecht,
Assistant to the President for Compliance and Equity Management.
The investigation
 The investigator(s) will be interviewing you and all pertinent witnesses. The
investigator(s) reserve the right to determine which witnesses are pertinent. You will be
given an opportunity to name witnesses you believe have information relating to the
claims you have made. It is important that you not seek to pressure witnesses before or
after the investigation.
 The investigator(s) will provide an opportunity for the respondent to respond to the
complainant’s allegations. Similarly, the complainant will be allowed to respond to
allegations made by the respondent.
 The investigator(s) will have a series of questions for you and may sometimes need to ask
questions that make you uncomfortable. This is not done to make you uncomfortable, but
you should recognize that the investigator(s) is/are trained to pose questions that help
him/her determine the veracity of your statements, and/or the subject matter of the
investigation may require these types of questions.
 The investigator(s) will review all pertinent documents, materials and files. If you have
any such materials, you should let the investigator(s) know. Again, the investigator(s)
reserve the right to determine which materials are pertinent.
 Retaliation against you because of your cooperation with this process is prohibited by
University policy. If you believe you have been retaliated against, you should let our
office know immediately. Likewise, please take care not to take retaliatory actions
against anyone else you believe may be involved during this investigation.
After the investigation
 The Assistant to the President for Compliance and Equity Management will receive a
report of the investigation from the investigator. S/he will render a finding of sufficient or
insufficient evidence that policy has been violated. Determining that sufficient evidence
exists is not the same as “guilty,” but essentially indicates that the available evidence
indicates policy was violated. A finding that there is insufficient evidence to determine a
violation occurred is not the same as “innocent,” but indicates that the available evidence
does not make it possible to determine there was a violation. This determination will be
based upon the evidence obtained as a result of the investigation process. Both parties
will be notified of the findings in writing. The respondent’s department head/director,
dean, vice president, and the president will also be notified.
 In the event that there is a finding of a violation of University policy, the respondent’s
vice president will determine appropriate disciplinary sanctions based on the
recommendation from the Office of Compliance and Equity Management, and will, in
writing, notify the respondent and the Office of Compliance and Equity Management of
his/her decision.
 You may contact the Assistant to the President for Compliance and Equity Management
with any questions about the investigation and final report.
I hereby verify that I understand the above information regarding the Office of Compliance and
Equity Management’s process related to this situation, and my participation in and
responsibilities related to that process.
________________________________________________
_________________________________
Signature
Date
 Complainant/Respondent have been provided business cards of investigator(s).
OCEM 2/2016
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