Complaint Resolution: General
What happens after a report is made to OPHD?
Once a report has been filed, OPHD will reach out to the Complainant (the impacted person) via email, unless it is indicated in the report that a phone call is best, and invite them to an intake meeting. The outreach message will include information about the Complainant’s resources and options for complaint resolution. The Complainant is not required to respond, they can decide whether or not to respond to the outreach.
Please see the Complaint Resolution Process Overview page for more information.
What complaint resolution options are there?
For complaints of any form of discrimination and harassment, OPHD follows the resolution process that is established in the UC systemwide policy and corresponds to campus implementing procedure. There are many ways OPHD can respond to reports of discrimination and harassment (complaint resolution options). Please click on the linked items below to learn more about each complaint resolution pathway:
Regardless of the complaint resolution pathway selected, parties may also receive supportive measures as appropriate.
Not all of these complaint resolution options are appropriate and available in every case. To discuss the resolutions option(s) available, please contact the Office for the Prevention of Harassment and Discrimination (OPHD).
*Per the UC SVSH Policy, Alternative Resolution is not available when the complainant is a student and the respondent is an employee of the University. Alternative Resolution is also not available where an employee respondent is alleged to have engaged in sexual violence (including sexual assault and sexual battery), as defined in the SVSH Policy. Please see the Alternative Resolution page for more details.
How can a complaint be resolved informally (without an investigation)?
Reports made to OPHD are assessed to determine which resolution options are appropriate. Informal resolutions do not involve an investigation and cannot result in disciplinary action. The vast majority of cases OPHD closed in 2023-24 actually did not initiate an investigation.
In general, informal resolution options include:
- Alternative Resolution, which is a voluntary, formalized agreement made between the Complainant and Respondent that are intended to identify and remedy harm and prevent future harm.
- Case closure following initial assessment with one or more of the following:
- Targeted educational conversation, which is a meeting between an OPHD staff member and a person who has been identified as engaging in the alleged behavior, or a prevention education training provided to a group.
- Supportive measures for the Complainant, such as academic, workplace, or housing adjustments and referrals to resources.
- A No-Contact Directive is a supportive measure that directs an individual community member to have no direct or indirect contact with another individual community member.
If something is reported to OPHD, will there always be an investigation?
No. When a report is made to OPHD, a staff member will reach out to the Complainant (the person impacted by the alleged conduct) to share information about resolution options and to offer resources and support. The complainant will also be invited to an optional intake meeting with OPHD.
A Complainant can decide whether or not they want to participate in an investigation.
If the Complainant requests an investigation, OPHD will determine whether an investigation is appropriate. If so, the OPHD will proceed with the investigation.
If the Complainant requests that no investigation occur, OPHD will seriously consider that preference. In rare circumstances, OPHD may determine that an investigation is necessary to mitigate the risk of harm to the campus community.
Please visit the Investigation page for more information.
What does it mean when a case is closed following initial assessment?
When a report is received by OPHD, staff assess the case to determine whether or not it can be resolved through a resolution process, such as an investigation or an Alternative Resolution. If a case cannot be resolved through a resolution process, the matter will be closed.
Where OPHD did not have a basis for proceeding with a resolution, OPHD will do what they can to support impacted individuals; for example, connecting the Complainant with supportive resources, issuing no-contact directives, and/or providing targeted prevention education to individuals or groups.
Please visit the Closure Following Initial Assessment page for more information.
Why was a particular case closed followed initial assessment?
If you have questions about the resolution of a particular case, please contact OPHD directly via email at ask_ophd@berkeley.edu(link sends e-mail).
A case may be closed following initial assessment for various reasons, including, but not limited to, the following:
- Even if true, the behavior(s) alleged in the report does not rise to the level of a policy violation (does not meet the definition of Prohibited Conduct) according to the applicable policy.
- The behavior(s) alleged in the report is not covered under the applicable policy, such as the UC SVSH Policy or the UC Anti-Discrimination Policy. If the reported behavior could fall under a different policy, OPHD will refer the matter to another office for review and resolution.
- There is not enough information to carry out a resolution process (for example, the identities of the people involved is not known or OPHD did not receive a response from the complainant after multiple attempts to contact them).
- The complainant does not want OPHD services or the complainant requested that no investigation occur and OPHD determined that request could be honored. If the Complainant does not want an investigation, OPHD will seriously consider this preference. However, the Title IX Officer may determine an investigation is necessary to mitigate a risk to the campus community.
- There is not enough connection (referred to in University policy as a "nexus") between the reported conduct and the University to carry out a resolution process (for example, the conduct did not occur in the context of a University program or activity and involved only third parties). In other words, OPHD can only carry out a resolution process if they have the jurisdiction to do so.
Please visit the Closure Following Initial Assessment page for more information.
What is an Alternative Resolution?
Alternative Resolutions are a complaint resolution option that involves voluntary, formalized agreements made between the Complainant and Respondent that are intended to identify and remedy harm and prevent future harm.
In general, an Alternative Resolution (AR) is an alternative to a Formal Investigation. ARs do not involve an investigation and do not result in a determination of policy violation/s or formal disciplinary action. An AR will not lead to discipline.
Please visit the Alternative Resolution page for more information.
If an Alternative Resolution is unsuccessful, will OPHD investigate the allegations?
Most Alternative Resolutions are successful. If an alternative resolution is unsuccessful – i.e. parties could not come to an agreement on terms - an investigation may be initiated if appropriate.
What is Targeted Educational Conversation (TEC)?
A Targeted Educational Conversation is a type of informal resolution process in which OPHD meets with someone who has been identified as allegedly engaging in misconduct in order to address the alleged behavior, prevent it from recurring and/or escalating in the future, and reminding the person of the University's policies.
Please visit the Targeted Educational Conversations page for more information.
What resolution options are available if the Complainant wants the Respondent to receive disciplinary measures?
An investigation is the only OPHD resolution option that can result in disciplinary action for the Respondent. Any member of the University community who is found to have engaged in Prohibited Conduct (meaning they were found responsible for violationg a University policy) may be subject to disciplinary action, up to and including dismissal.
University investigations are not criminal proceedings. A criminal investigation is intended to determine whether someone violated criminal law. A University investigation is intended to determine whether someone violated University policy. The evidentiary standards for criminal and Title IX investigations are different. At the end of the criminal process, the person may be imprisoned or subject to criminal penalties. A University investigation cannot result in imprisonment or criminal penalties. Complainants are able to make a report to law enforcement and the University, and participate in both processes.
Are OPHD records kept private?
Campus policy and applicable law require that the campus protect the private, confidential records of faculty, students and staff. UC Berkeley cannot comment on specific cases regarding allegations of policy violations unless the case has concluded and has a finding of violation of UC Sexual Violence and Sexual Harassment Policy or the UC Anti-Discrimination Policy, and that case has resulted in disciplinary action.
A key exception involves student records, which remain private following adjudication and disciplinary action, under FERPA and UC policies.
For employee records, it is only when the formal investigation and adjudication have fully concluded that the university may disclose information about a misconduct matter pursuant to a California Public Records Act Request.
What is Retaliation?
Retaliation is conduct that would discourage a reasonable person from reporting harassment or discrimination to OPHD or from participating in an OPHD process, such as threats, intimidation, harassment, discrimination and coercion. Petty slights, minor annoyances, bad manners and trivial inconveniences are not considered retaliation.
OPHD determines whether retaliation has occurred by investigating the alleged retaliatory act or conduct. Included in that investigation is whether the person who engaged in the retaliation knew that a report of harassment or discrimination had been made to OPHD or that the person was involved in an OPHD process at the time the retaliatory conduct was alleged to have occurred.
Additional information on retaliation, please visit the Retaliation is Prohibited webpage.