Other Conduct of Concern

Anyone may report concerns or share information about OCC at CSUN, including students, faculty, staff, volunteers, and visitors. Employees and students who experience or witness OCC are encouraged to promptly discuss their experience with a supervisor or, if necessary, an administrator in human resources, faculty affairs, student affairs or another relevant department as appropriate. It is important that the university learns about the experience so that it can respond appropriately based on the facts and circumstances.

Threats of physical harm should be reported immediately to campus safety/security or 911.

Conduct that might be based on an individual’s protected status should be reported to the university office responsible for discrimination, harassment, and retaliation to evaluate whether the conduct implicates the CSU Nondiscrimination Policy. For all other conduct:

• Employees should notify a supervisor, human resources or faculty affairs professional, or an administrator charged with responding to OCC.
• Students should notify a dean (if the conduct occurred in the classroom), resident advisor (for conduct that occurs in the residence hall), dean of students or other student affairs professional.
• Volunteers or visitors may notify campus safety/security or human resources.

OCC may also be brought to the attention of CSUN's president, or any vice president, associate or assistant vice president, director-level manager, or administrator in any of the following offices:

If the conduct could potentially violate CSU’s Nondiscrimination Policy, the employee who receives the report must promptly engage with the office at their university responsible for addressing Discrimination, Harassment, and Retaliation (DHR).

The Title IX Coordinator or DHR Administrator will determine if the reported conduct, if substantiated, would violate CSU’s Nondiscrimination Policy. Following the conclusion of their assessment, if it is determined that the conduct constitutes OCC, or is governed by other university policies, the case will be referred back to the original administrator for resolution. In “mixed” cases, where some conduct would violate CSU’s Nondiscrimination Policy and other conduct constitutes OCC, the Title IX Coordinator or DHR Administrator will coordinate with the original administrator to ensure a thorough response to all reported conduct.

Any such referrals or coordinated efforts must be memorialized in writing and maintained in accordance with systemwide and university records retention policies.

Who is responsible for addressing OCC depends on the organizational structure of the university campus, how administrative responsibilities are assigned, and the nature and seriousness of the reported conduct. It is the responsibility of campus leadership to identify administrators who are responsible for receiving reports of OCC on each university campus. Campuses should provide employees, students and visitors with instructions about how to share concerns or information about OCC – and to whom. This information should be easy to find on relevant campus websites.

As a general rule, supervisors are responsible for responding to OCC reported by employees, and deans of student affairs are responsible for responding to OCC involving students. Appropriate administrators in human resources, faculty affairs and student affairs will provide direction and guidance as needed.

The supervisor or other administrator who receives the information about OCC will assess the extent and impact of the conduct and identify a range of appropriate resolutions. OCC includes a broad spectrum of conduct, and the necessary and appropriate response will depend on many factors, including the nature, frequency, and severity of the conduct. Considerations for assessing appropriate courses of action may include, but are not limited to:

• Could the conduct pose ongoing, imminent harm to community members, and does it need to be addressed immediately?
• Does the conduct potentially violate systemwide or campus policy?
• Is the conduct protected by principles of free speech or academic freedom? University Counsel should be consulted when the speech or conduct is, or might be, protected.
• Is the conduct subject to corrective action or formal discipline, or is it more appropriately resolved via education, coaching, mentoring, training, mediation, or other resolution process?
• Who is best positioned to address and resolve the conduct and/or provide support?
• Does the incident require further fact-finding? Should the supervisor or a campus administrator conduct fact-finding, or might a specially trained internal or external investigator be warranted?
• Might the provisions of a collective bargaining agreement apply?
• Can the conduct be reasonably addressed by an employee’s supervisor in the first instance?
• Can the conduct be reasonably addressed by a student’s academic advisor, resident advisor or dean, as appropriate?

Based on the roles of the parties or the nature of the conduct, representatives from human resources, faculty affairs, student affairs, and/or the Office of General Counsel should be consulted when evaluating these criteria and making determinations about how to proceed.

Some incidents involving OCC can be resolved promptly and without additional fact-finding. For example, the supervisor or administrator who is notified of the OCC might determine that the concern can be reasonably addressed through non-disciplinary measures such as mentoring, counseling, education, and/or training. In other cases, the supervisor or administrator may find it necessary to interview bystanders/witnesses and conduct fact-finding. In general, before beginning a fact-finding process, the supervisor should consult with human resources and/or faculty affairs. In cases where the supervisor is unable to resolve the matter through non-disciplinary measures or is considering issuing a letter of reprimand or counseling memo, they should promptly consult with human resources and/or faculty affairs.
 

OCC should be addressed as soon as possible. Unlike complaints that are governed by CSU’s Nondiscrimination Policy, the university’s response to reports of OCC is not governed by a specific process or timeline. The university’s response will depend on the specific circumstances of the conduct, including the nature of the conduct, the extent of fact-finding required, and the willingness of the involved parties to be reflective and self-aware. In all cases, the university’s goal is to remediate any harm, offer supportive measures to the affected individuals and the community, and prevent repetition or escalation of the same or similar conduct.

Supervisors are expected to promptly respond to and address a report of OCC. If there is an impediment to timely resolution, the supervisor must seek guidance from, or refer the matter to, an appropriate campus-designated administrator. As a general rule, students should report information about OCC to the Office of Student Affairs. If a CSU student worker is the subject of the concern, the campus must determine if the incident happened in the individual’s capacity as an employee or as a student. If it is found that the incident occurred while the student was working for the CSU, the matter will be referred to human resources.

Information about OCC should always be received and handled with care and sensitivity to all individuals involved. Those university representatives who are responsible for responding to OCC should promptly meet with the person who shared the information to hear concerns, assess the need for any time-sensitive intermediary actions, and discuss next steps. They should also discuss if and when other individuals impacted by the OCC will be notified of the report, including the individual who reportedly engaged in the conduct. Soon after the initial meeting, the supervisor or administrator should notify in writing the person who came forward about next steps, including whether they will take action themselves or will instead refer the report to another appropriate administrator on campus for response and action. Reports, notifications, and notes must be maintained in accordance with system and campus records retention policies.

The supervisor or administrator responding to the OCC should promptly identify any reasonable supportive or remedial measures available to assist the impacted parties. Examples of such measures include:

1. Encouraging open communication with the individuals involved in the report, facilitated by supervisors, human resources or faculty affairs, and/or student affairs representatives.
2. Providing information about how to access employee assistance programs or student counseling services to support the well-being of any person involved in the report during what can be a stressful period.
3. Considering temporary modified working/learning/living arrangements while the concern is being addressed.
4. Facilitating any necessary communications to maintain normal business operations between the parties and impacted witnesses while the concern is being addressed.

Supportive measures are intended to be reasonable temporary modifications tailored to each instance and designed to maintain a respectful and professional environment while reports of OCC are addressed. Determination of appropriate supportive measures should be ongoing while the incident of OCC is assessed. The campus should periodically reassess whether to take additional measures, alter existing measures, or end any measures. Supportive measures should be documented in writing by the supervisor or other appropriate administrator and will typically conclude at the point OCC is resolved. Records should be maintained in accordance with system and campus records retention policies.

Fact-finding is not required in every case of OCC. For example, if there is no factual disagreement about the incident, there would be no need for fact-finding (unless there is evidence of a pattern of similar conduct that warrants further review). When fact-finding is warranted, the extent of fact-finding and the process to be used during fact-finding will depend on the specific circumstances of the incident. Any OCC fact-finding should be undertaken by an individual who can gather and evaluate information objectively and impartially. The fact-finder should not be someone who witnessed the events leading up to the report. If the nature of the conduct is such that there is no risk of immediate physical harm or danger to an individual or the community, OCC fact-finding (that is not part of a broader investigation that is governed by the CSU Nondiscrimination Policy or other investigative process) may be completed by an employee’s supervisor, or in matters involving students, a professional in the Office of Student Affairs or resident advisor.

Although there is no timeline for completing OCC fact-finding, it should be completed as promptly as possible.

All individuals contacted in connection with any instance of OCC will be reminded that retaliation is prohibited by CSU's Nondiscrimination Policy and that all employees and students are expected to cooperate with fact-finding.

After any fact-finding is complete, the supervisor or administrator will recommend next steps, examples of which include discussions with the parties involved in the incident (separately or jointly, facilitated by a university representative), education, counseling, coaching, mentoring, training or corrective action. The processes used to address OCC are not governed by CSU’s Nondiscrimination Policy and will be determined on a case-by-case basis, in consultation with human resources, faculty affairs, student affairs, and/or the Office of General Counsel, as appropriate. Formal discipline can only be undertaken by administrators to whom the campus president has delegated such authority. As a result, it is important that these offices be engaged early in the resolution process if formal discipline is a potential outcome.

Regardless of how OCC is resolved, the concern, as well as any report and outcomes, should be documented in writing and retained in accordance with CSU and campus record retention procedures to allow for follow-up and monitoring. If an employee is determined to have engaged in OCC, this should be noted in the employee’s annual performance evaluation subject to any restrictions under any applicable law, policy or CBA.

Potential resolutions may include:

Education, Counseling, Coaching, Mentoring & Training

Education and training are reasonable and appropriate resolutions for less severe instances of OCC. For example, a responding party may need to be informed or reminded about the impacts of their behavior and expectations of professional behavior in the workplace. Training may be individualized, may use existing CSU resources or outside resources, and may be combined with other forms of resolution.

Restorative Processes

• In some situations, depending on the nature and/or severity of the OCC, a restorative process such as mediation may be appropriate. If both parties are receptive to such measures, this non-disciplinary method may help establish or reestablish healthy relationships and communication. Restorative processes are facilitated by a supervisor or professional trained in conflict resolution. Restorative processes are voluntary for all involved and should not go forward without consultation with an appropriate administrator in human resources, academic affairs or student affairs, or if any party expresses reluctance or a concern about the voluntariness of their participation.

Corrective Action or Discipline

• A person who engaged in OCC may be counseled either verbally or in writing about their conduct and the impact on others. Counseling, followed my a written memo, may be appropriate in some cases, and in others a formal written reprimand or other corrective action may be warranted. Formal discipline in the CSU refers to suspension, demotion, or dismissal. University Counsel should always be consulted before initiating formal discipline.

The authorities that govern corrective action/discipline for employees are outlined below:

Note: Non-faculty probationary employees are not subject to the formal discipline process set forth in the CBA; therefore, as a general rule, probationary employees can be released from employment at any time. Recommendations regarding probationary employees should be made to HR.

Violation of Student Conduct Code

• If the administrator determines that a student may have violated the Student Conduct Code, the administrator will refer the matter to the campus Student Conduct Administrator for further handling in accordance with CSU policy.

The extent and level of detail in documenting incidents of OCC will be commensurate with the scale and scope of the conduct. The nature of the concern and the outcome and any findings should always be documented. The content and detail of any written report of fact-finding may vary but should include a summary of the concerns, the positions of the parties, evidence considered, findings of fact, and any policies violated. Such documentation should normally be placed in the employee’s personnel file (subject to the requirements or restrictions in any applicable CBAs). If formal discipline is warranted, the report of findings should be prepared with the expectation that they will be attached to a notice of discipline. If formal discipline is not warranted, the findings and any outcomes should be documented in writing and preserved in accordance with applicable document retention policies; these findings should only be accessible to those charged with taking appropriate follow-up actions, to monitoring the situation or with another need-to-know justification or rationale.

All parties should be informed when the university’s response is complete. Where corrective action or discipline is issued, notice will be given in accordance with the Education Code, the applicable collective bargaining agreement, and CSU policies and practices. In the event that disciplinary action is taken, the person impacted by the OCC will be informed when the disciplinary process has concluded. However, unless otherwise required by law or the CSU Nondiscrimination Policy, the impacted person will not be informed of any confidential personnel actions, student sanctions or specific outcomes of the process. When appropriate, witnesses may be informed that the matter is concluded but information regarding outcomes will not be shared. Notification that the matter has concluded helps individuals understand that the university took responsive action and appropriately addressed and resolved the report.

Fact-finding can be disruptive and stressful to employees, and tensions sometimes remain after the matter is resolved. Regardless of the outcome, reasonable supportive measures should always be considered so that a culture of trust, accountability, and care is maintained. Supervisors and administrators must maintain effective communication, monitor the workplace, take reasonable steps to prevent recurrence, and address any ongoing concerns. They must also convey to all parties that retaliation for reporting instances of OCC is expressly prohibited in CSU’s Nondiscrimination Policy and will not be tolerated. If the person impacted by the OCC is a student, the administrator responsible for responding to OCC should work with student affairs to ensure the student receives appropriate and reasonable ongoing support.

Employees responding to OCC should treat the report as confidentially as possible. Information may only be shared with supervisors or administrators who have a responsibility for responding to OCC or university officials with a business “need to know.” Subject to privacy considerations, all relevant parties should be informed when a report of OCC is concluded. However, the outcome of the report and details related to any corrective action, disciplinary process, student sanction, or other consequences should be kept private (unless disclosure is otherwise required by law or the CSU Nondiscrimination Policy).

Educational initiatives regarding university and campus values are an important means of maintaining a culture of respect and professionalism. Campuses are expected to provide ongoing education and awareness programs to maintain a culture of care and community and to prevent misconduct. In addition to trainings required by California law (including training required by Cal Govt Code section 12950.1), additional prevention efforts may include trainings on subject such as:

• Understanding and applying policies and procedures governing workplace conduct
• Recognizing and reducing implicit bias
• Healthy relationships
• Effective communication
• Effective conflict resolution
• Effective performance management
• Having difficult conversations

To ensure that concerns about OCC are fully addressed, each CSU university is responsible for:

1. Explaining how members of the university community should share information about OCC with university representatives, and how the university will respond. Such information should be prominently placed on campus human resources, faculty affairs, student affairs, Title IX/DHR/Whistleblower-related web pages.
2. Prominently disclosing the contact information for all administrators (other than supervisors, faculty and resident advisors) responsible for responding to OCC for all populations of the CSU community on campus human resources, faculty affairs, student affairs, Title IX/DHR/Whistleblower-related web pages.
3. Providing all parties involved in incidents involving OCC with reasonable supportive measures as determined by the supervisor or appropriate administrator in consultation with human resources during any fact-finding process.
4. Making all parties involved in incidents involving OCC aware of relevant CSU policies, including prohibitions against retaliation.
5. Maintaining appropriate records and documentation that are accessible to all with a business need to know to allow for appropriate follow-up, monitoring and potential future need to address or report on the matter.

• CSU Policy Prohibiting Discrimination, Harassment, Sexual Misconduct, Sexual Exploitation, Dating Violence, Domestic Violence, Stalking and Retaliation (Nondiscrimination Policy)    
• Complaint Procedures for Protected Disclosure of Improper Governmental Activities and/or Significant Threats to Health or Safety
• Complaint Procedures for Allegations of Retaliation for Having Made a Protected Disclosure under the California Whistleblower Protection Act

• “Recognizing and Addressing Micro-Behaviors in the Workplace,” CSU Learn Training Module
• “Principles of Supervision,” a training for new supervisors, offered by Systemwide Learning and Development
• “Chairing for Success,” a training for new department chairs, offered by Systemwide Learning and Development
• CSU Academy, a training for emerging leaders in higher education, offered by Systemwide Learning and Development
• The Deans’ Academy, a training for new deans, offered by Systemwide Human Resources

• Cal. Education Code section 89535
• Collective Bargaining Agreements
• Title 5, Cal. Code Regs., Section 42723 (a)

Additionally, guidance on the following subjects is available from the Chancellor’s Office. Requests should be made to the Senior Systemwide Director for Academic and Staff Human Resources.

1. Centralized and Coordinated Structure Models and Reporting Expectations
2. Assessment Practices
3. Fact-finding Practices
4. Documentation Practices and Standards
5. Case Studies