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Problem Resolution

The Office of EDC may not and does not provide legal advice or representation. Persons interested in obtaining advice or counsel with respect to the legal effects or implications of specific conduct should consult an attorney.

When a member of the university community initially brings a complaint or concern to the Office of EDC, an equity officer first informs him/her of all appropriate procedures and guidelines, and then listens, questions, and attempts to determine what kind of resolution the client is seeking. Then, considering the clients desires and the information he/she has initially provided, the equity officer discusses available and appropriate means to seek resolution. One goal of the Office of EDC is to resolve equity issues in a non-adversarial manner and setting. Resolution can be sought by various means.

Problem resolution options include:

Talk about a problem

The EDC Office provides a neutral and confidential starting place for obtaining information about equity issues. When feasible and appropriate, our staff works with clients on developing tools that will assist her/him to resolve workplace conflict issues. Sometimes it is simply helpful to talk to a neutral party who is trained in listening to harassment concerns.

Document

Sometimes a university member simply wants to have a complaint documented. The equity officer informs him/her that if they want a problem to stop or to be addressed and possibly rectified, there are numerous resolution means available to him/her.

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Discuss and brainstorm resolution options

There are numerous options available to resolve workplace harassment problems. It is frequently helpful for an employee to describe the problem he/she has encountered and explain what outcome is desired. If a student/employee has a concern or complaint, or if he/she plans to file a harassment complaint against another member of the university community, his/her first conversation should be with their immediate supervisor, if at all possible. If the complaint is about a supervisor, the first conversation could be with the equity officer if the employee is not comfortable with confronting the supervisor.

Supervisors can assist employees in handling most situations. However, EDC staff is available to employees to discuss various alternative problem resolution processes. Upon hearing a concern, the equity officer can discuss the various on and off-campus means to bring resolution to problems. A goal of the office is to assist ASU employees to address problems as informally, and in the least invasive manner, possible, yet resolve the conflict. This may include helping someone develop tools to effectively handle the issue independently or suggest creative solutions and approaches to deal with the problem. 

At times, the equity officer will work directly with the appropriate line administrators to best address issues. And sometimes we collaborate with other people from units and offices to coordinate problem solving in order to best meet the needs of all parties involved in a conflict. Facilitated communication and mediation are two additional alternative problem resolution means available to university community members. Each year, many students, staff, and faculty members choose one of these processes to resolve conflict with another such individual, and both have been very effective at reaching positive resolution.

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Referral

The Office of Equity, Diversity and Compliance staff refers clients to other campus units when another unit's resources or approach would better serve the clients' interests. A collaborative approach is often used to meet the needs of individual clients. Upon hearing the specific issues of a client, he/she may be completely referred to another unit; however, often two or more offices work together in order to effectively address concerns. Our staff members facilitate meetings with colleagues in other problem-solving units to collaborate in serving the needs expressed and agreed upon by employees. Units, offices, and organizations that we frequently collaborate with include, but are not limited to, are Human Resource Services, Business Affairs, the Deans' Offices, Counseling for Faculty & Staff, and the Office of Diversity.

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Facilitated communication

If both or all parties involved in a conflict mutually agree, a facilitated communication can be held. This type of communication is less formal than a mediation; however, it can be very effective when both parties agree to talk about issues in the presence of the equity officer, whose role is to remain neutral and facilitate a positive, focused discussion.

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Mediation

Appalachian State University supports employees and students resolving many workplace and learning environment differences through relatively informal university procedures. The university adopted an official Mediation Policy/Procedure for Faculty and Staff as an alternative dispute resolution process for issues that could lead to a grievance, as well as for day-to-day types of conflict that negatively affect employees and students in their working, learning, and living environments. If the nature of the concern or complaint is such that mediation could be indicated and agreed upon by each party, it can be an excellent option to resolve conflict.

The Associate Vice Chancellor of the Office of Equity, Diversity and Compliance is responsible for maintaining a list of approved, trained mediators and will facilitate the administration and coordination of the mediation process. Either or both parties to a dispute may request of the Associate VC that a mediation process be initiated. If both parties consent to engage in the process, the Associate VC will attempt to identify a mutually acceptable certified mediator from among personnel of Appalachian State University, another UNC institution, another North Carolina state agency, or the private sector. The process will begin as soon as is convenient for all concerned parties.

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Investigation

The university will conduct an investigation when a person is willing to sign a complaint alleging that he/she witnessed or was the victim of sexual harassment or any other form of harassment, or otherwise has credible, verifiable information that such harassment has occurred. It bears emphasizing that the complainant need not be the victim of the alleged harassment; the complainant might be a witness or friend of the victim. The issue is whether the information is credible, and that determination may require some preliminary investigation. The university has an obligation to investigate such allegations, and, if the facts warrant, to take appropriate remedial action that is reasonably likely to prevent the recurrence of such conduct.

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Complaint and Investigation Procedures

Investigation procedures and steps are thoroughly discussed with a university community member who brings an allegation of harassment to the attention of the Office of Equity, Diversity and Compliance. All EDC staff members are committed to confidentiality, and only those individuals who have a legitimate need or reason to know about the complaint are involved. The process of filing a complaint with the Office of EDC involves several steps that are outlined below.

  • If a university community member wants to file a written complaint, he/she is asked to prepare documentation as described in the Personal Narrative Guidelines.
  • Upon receipt of this narrative, the investigator often will conduct a preliminary investigation, including in-depth interviews of the complainant and perhaps one or more of the witnesses identified by the complainant.
  • If, at any stage of the process, the equity officer concludes that immediate action is necessary to protect any/all involved parties from harm, the appropriate supervisor is notified and actions deemed appropriate are taken.
  • The Office of EDC will move as quickly as possible to obtain statements from witnesses, along with other relevant evidence. Witnesses are advised that the investigation process is confidential and that they should not discuss the matter with others.
  • Once the preliminary investigation is completed, the investigator will make a determination as to whether there is substantial evidence to support a conclusion that harassment has occurred, and that the accused was the harasser.
  • If the investigator concludes that the evidence does not support the conclusion that the accused engaged in harassment within the meaning of the laws and ASU's policy, the investigator will so advise the accuser, and will also advise the accused that an allegation was made but that the preliminary evidence did not support the allegation, and that the matter has been closed.
  • If the investigator concludes that the preliminary evidence does support the conclusion that the accused engaged in harassment, and that further investigation is thus warranted, the accused person's supervisor is notified, and the accused person is then advised of the allegations, their rights and responsibilities, and asked to provide a written narrative in response to the complaint. (Complaint Response Guidelines)
  • The EDC staff then conducts a prompt, thorough, and impartial investigation in consultation with the appropriate supervisors.
  • Witnesses listed by both parties and others who may have information relevant to the complaint are interviewed.
  • The complainant and the accused are provided the opportunity to respond to the findings.
  • The investigator presents a summary report of the investigation to the appropriate administrator/supervisor. The summary report includes: the investigation background, application of university policies, and witnesses interviewed, along with key findings, conclusions, and recommended actions.
  • The equity officer may make recommendations to the administrator/supervisor, but the administrator/supervisor has the ultimate responsibility to make the decision if disciplinary sanctions are warranted based on the totality of the situation.
  • The equity officer follows up with both parties and the involved supervisor, who is responsible for monitoring progress.

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Important Complaint Filing Note:

Appalachian State University will address workplace harassment concerns and rectify problems as warranted even if the written complaint is brought forward to the attention of the Office of Equity, Diversity and Compliance after 30 days of an occurrence of such harassment or retaliation. However, in accordance with the North Carolina State Personnel Act and the North Carolina Office of State Personnel Policy on Unlawful Workplace Harassment, in order to protect their rights, an employee subject to the State Personnel Act, N.C.G.S. § 126-1, et sec. (an "SPA Employee"), must file a report of workplace harassment with their supervisor or the Office of EDC within 30 calendar days of the alleged harassing action.

Right to Appeal

Employees have the right to appeal the ultimate decision regarding their complaint under established Appalachian State University Grievance Policy and Procedures for staff.

In Unlawful Workplace Harassment Grievances:

  • If an SPA employee is not satisfied with the university's response to the complaint after the 60 calendar day response period has expired, the complainant may appeal directly to the North Carolina State Office of Administrative Hearings and the State Personnel Commission within 30 calendar days. Any complainant not subject to the State Personnel Act may, if not satisfied with the university's response, pursue such other administrative or judicial remedies ( e.g. grievance, lawsuit) as may be available.
  • A complainant has a right to file a simultaneous complaint under Title VII with the Equal Employment Opportunity Commission (EEOC).