This filing was published in the 05/15/2008, issue, Vol. 2008, No. 10, of the Utah State Bulletin.
Human Resource Management, Administration
Unlawful Harassment Policy and Procedure
NOTICE OF PROPOSED RULE
DAR File No.: 31208
Filed: 04/25/2008, 01:29
Received by: NL
Purpose of the rule or reason for the change:
Amendments update language with present terminology, remove redundancies, and reorder and outline information for better clarity concerning harassment and discrimination. Nonsubstantive changes are also made to comply with rulemaking style.
Summary of the rule or change:
Rule R477-15 is renamed Workforce Harassment Policy and Discrimination and the term "workforce harassment" replaces "unlawful harassment" where appropriate in the rule. Subsections R477-15-1(2), R477-15-2(1), and R477-15-2(3) are removed as they are redundant. In the new Subsection R477-15-2(2), the option of corrective action is removed from consequences for harassment and additional criteria are outlined. Subsections R477-15-2(5) and (6) and R477-15-3(2)(a) through (i) are removed because they are unnecessary. In Section R477-15-4, language is added to direct management in handling harassment complaints. In Subsection R477-15-4(2)(b) the word "verbal" is replaced by "oral". In Section R477-15-5 language is replaced with more succinct procedures for management to follow for investigative procedures. In Section R477-15-6 record keeping standards and procedures are revised and language subsections are reordered for clarity. Subsections R477-15-6(2) and R477-15-6(6) are removed because they are unnecessary.
State statutory or constitutional authorization for this rule:
Sections 67-19-6 and 67-19-18, and Governor's Executive Order on Prohibiting Unlawful Harassment, dated 12/13/2006
Anticipated cost or savings to:
the state budget:
The changes to this rule are administrative and present no direct impact to state budgets.
This rule only affects the executive branch of state government and will have no impact on local governments.
small businesses and persons other than businesses:
This rule only affects the executive branch of state government and will have no impact on other persons.
Compliance costs for affected persons:
This rule only affects agencies of the executive branch of state government.
Comments by the department head on the fiscal impact the rule may have on businesses:
Rules published by the Department of Human Resource Management (DHRM) have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. This act limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business. Jeff Herring, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:Human Resource Management
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY UT 84114-1201
Direct questions regarding this rule to:
Tina Sweet or J.J. Acker at the above address, by phone at 801-538-3761 or 801-537-9096, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at email@example.com or firstname.lastname@example.org
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
This rule may become effective on:
Jeff Herring, Executive Director
R477. Human Resource Management, Administration.
Unlawful] Harassment Policy and Procedure.
It is the State of
Utah's policy to[
] provide all employees a working
environment that is free from unlawful harassment
based on race, religion, national origin, color, sex, age, disability, or
protected activity under [ the
anti-discrimination statute; and (2) comply with state and federal laws regarding
discrimination based on unlawful harassment.]
(1) Unlawful harassment means discriminatory
treatment based on race, religion, national origin, color, sex, age, protected
activity or disability. Discrimination
based on unlawful harassment will not be tolerated. Violators shall be subject to corrective action or disciplined
and may be referred for criminal prosecution.
Discipline may include termination of employment. 2]) [ Unlawful] harassment includes the
(a) behavior or conduct in violation of [
R477-15-[ 2(1)] that is unwelcome, pervasive, demeaning,
ridiculing, derisive, or coercive, and results in a hostile, offensive, or
intimidating work environment;
(b) behavior or conduct in violation of [
R477-15-[ 2(1)] that results in a tangible employment action
being taken against the harassed employee.
(3) The imposition of corrective action and
discipline is governed by Section R477-10-2 and Rule R477-11. 4]) An employee shall be subject to [ corrective action or ]discipline
for [ unlawful]
harassment towards another employee[ , even if that harassment occurs outside
of scheduled work time or work location,] provided that the harassment
meets the requirements of [ Subs]ection R477-15-[ 2(2)][ .]
(5) Individuals affected by alleged unlawful
harassment may, but shall not be required to, confront the accused harasser
before filing a complaint. (6) Once a complaint has been filed, the accused
shall not communicate with the complainant regarding allegations of harassment.]
(1) No person may retaliate against any employee who opposes a practice forbidden under this policy, or has filed a charge, testified, assisted or participated in any manner in an investigation, proceeding or hearing under this policy, or is otherwise engaged in protected activity.
(2) Any act of retaliation toward the
complainant, witnesses or others involved in the investigation shall be subject
corrective action or ]disciplinary action.[ Prohibited actions include: (a) open hostility to complainant, participant
or others involved; (b) exclusion or ostracism of the complainant,
participant or others; (c) creation of or the continued existence of a
hostile work environment; (d) discriminatory remarks about the complainant,
participant or others; (e) special attention to or assignment of the
complainant, participant or others to demeaning duties not otherwise performed; (f) tokenism or patronizing behavior; (g) discriminatory treatment; (h) subtle harassment; or (i) unreasonable supervisory imposed time
restrictions on employees in preparing complaints or compiling evidence of
unlawful harassment activities or behaviors.]
R477-15-4. Complaint Procedure.
Individuals] affected by [ unlawful]
harassment [ may] file complaints and engage in an
administrative process free from bias, collusion, intimidation or retaliation.
(1) Individuals who feel they are being
subjected to [
unlawful] harassment should do the
(a) document the occurrence;
(b) continue to report to work; and
(c) identify a witness, if applicable.
(2) An employee
may file an oral or written complaint of [
harassment with their immediate supervisor, any other supervisor within their
direct chain of command, the [ agency human resource office or the]
Department of Human Resource Management.
(3) Any complaint of unlawful harassment shall
be acted upon following receipt of the complaint.
(b) Complaints may be made through either [
or written notification and shall be handled in compliance with confidentiality
(c) Any supervisor who has knowledge of [
harassment shall take immediate, appropriate action and document the action.
(4) If an immediate investigation by [
is [ not ]warranted, [ a meeting shall be held with the complainant, the
supervisor or manager of the appropriate division, and others as appropriate to
communicate the findings and management's resolution of the complaint.]
R477-15-5. Investigative Procedure.
The investigative procedures
established by agencies shall allow the complainant to make specific requests
relating to the investigation process and about the person or persons who will
conduct the investigation. The agency
shall attempt to comply with these requests, but may take whatever action
necessary and appropriate to resolve the complaint. (2) Preliminary reviews and investigations must
be conducted in accordance with procedures issued by the Department of Human
3]) Results of Investigation
(a) If the investigation [
disciplinary action is warranted, the] agency [ head] shall take appropriate
action [ as provided in] Rule R477-11.
(b) If an investigation reveals evidence of
criminal conduct in [
unlawful] harassment allegations,
the agency head or Executive Director, DHRM, may refer the matter to the[
Attorney General's Office or County or District Attorney as appropriate.]
an investigation of unlawful harassment reveals that the accusations are
unfounded,] the findings shall be documented[ , the investigation
terminated,] and appropriate parties notified.[ (d) Investigations shall be conducted by
qualified individuals based on DHRM standards.]
(1) A separate [
protected][ record] of all [ unlawful] harassment
complaints shall be maintained and stored in the agency[ 's] human
resource office, [ DHRM office ]or in the possession of an
authorized official.[ Removal or
disposal of records in the protected file may only be done with the approval of
the agency head or Executive Director, DHRM, and only after minimum timelines
specified herein have been met. Records
shall be kept for: a minimum of three
years from the resolution of the complaint or investigative proceeding.]
(2) Supervisors shall not keep separate files
related to complaints of unlawful harassment. 3]) All information contained in the complaint file shall be
classified as protected [ pursuant to] [ requirements of ]Section
63-2-304, Government Records Access and Management Act.
4]) Information contained in the [ unlawful]
harassment [ protected ]file shall only be released by the agency head or
Executive Director, DHRM, when [ in compliance with the requirements of] law.
5]) Participants in any [ unlawful]
harassment proceeding shall treat all information as
[ protected].[ (6) Final disposition of unlawful harassment
cases shall be communicated to appropriate parties.]
(1) Agencies shall comply with the [
Harassment Prevention Training Standards [ set] by
DHRM. As a minimum, these shall
(a) course curriculum standards;
(b) training presentation requirements;
(c) trainer qualifications; and
(d) training records management criteria.
KEY: administrative procedures, hostile work environment
Date of Enactment or Last Substantive
July 3, 2001]
Notice of Continuation: June 9, 2007
Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-18; Governor's Executive Order on Prohibiting Ulawful Harassment, December 13, 2006
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For questions regarding the content or application of this rule, please contact Tina Sweet or J.J. Acker at the above address, by phone at 801-538-3761 or 801-537-9096, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at email@example.com or firstname.lastname@example.org
For questions about the rulemaking process, please contact the Division of Administrative Rules (801-538-3764). Please Note: The Division of Administrative Rules is NOT able to answer questions about the content or application of these administrative rules.
Last modified: 05/14/2008 3:03 PM