No. 39322 (Amendment): Rule R477-15. Workplace Harassment Prevention

(Amendment)

DAR File No.: 39322
Filed: 04/30/2015 10:08:07 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this amendment is to provide consistency in terms and phrases and to clarify existing rules.

Summary of the rule or change:

The changes add protected classes consistent with S.B. 298 from the 2015 General Session, Anti-discrimination and Religious Freedom Amendments; change wording to remove redundancies; and clarify the rule.

State statutory or constitutional authorization for this rule:

• Section 67-19-6
• Section 67-19-18
• Section 34A-5-102
• Section 34A-5-104
• Section 34A-5-107
• Section 34A -5-106

Anticipated cost or savings to:

the state budget:

These changes are administrative and do not directly impact state budgets.

local governments:

This rule only affects the executive branch of state government and will have no impact on local government.

small businesses:

This rule only affects the executive branch of state government and will have no impact on small businesses.

persons other than small businesses, businesses, or local governmental entities:

This rule only affects the executive branch of state government and will have no impact on other persons. This rule has no financial impact on state employees.

Compliance costs for affected persons:

There is no direct compliance cost for these amendments.

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.

Debbie Cragun, 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
Administration
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY, UT 84114-1201

Direct questions regarding this rule to:

• Greg Hargis at the above address, by phone at 801-891-5680, by FAX at , or by Internet E-mail at [e-mail]

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:

06/15/2015

Interested persons may attend a public hearing regarding this rule:

• 06/02/2015 10:00 AM, Senate Building, 420 N State Street, Copper Room, Salt Lake City, UT

This rule may become effective on:

07/01/2015

Authorized by:

Debbie Cragun, Executive Director

RULE TEXT

R477. Human Resource Management, Administration.

R477-15. Workplace Harassment Prevention.

R477-15-1. Policy.

It is the policy of the State of Utah['s policy] to provide a work environment free from discrimination and harassment based on race, religion, national origin, color, [gender ]sex, age, disability, pregnancy, sexual orientation, gender identity, or protected activity or class under state [and ]or federal law.

(1) Workplace harassment includes the following subtypes:

(a) conduct in violation of Section R477-15-1 that is unwelcome, pervasive, demeaning, ridiculing, derisive, or coercive, and results in a hostile, offensive, or intimidating work environment;

(b) conduct in violation of Section R477-15-1 that results in a tangible employment action against the harassed employee.

(2) An employee may be subject to discipline for workplace harassment, even if:

(a) the harassment is not sufficiently severe to warrant a finding of unlawful harassment, or

(b) the harassment occurs outside of scheduled work time or work location.

(3) Once a complaint has been filed, the accused may not communicate with the complainant regarding allegations of harassment.

 

R477-15-2. Retaliation.

(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, or is otherwise engaged in protected activity.

 

R477-15-3. Complaint Procedure.

Management shall permit [individuals affected by]employees who allege workplace harassment, retaliation, or both to file complaints and engage in [an administrative]a review process free from bias, collusion, intimidation or retaliation. Complainants shall be provided a reasonable amount of work time to prepare for and participate in internal complaint processes.

(1) [Individuals]Employees who feel they are being subjected to workplace harassment, retaliation, or both should do the following:

(a) document the occurrence;

(b) continue to report to work; and

(c) identify a witness(es), if applicable.

(2) An employee may file an oral or written complaint of workplace harassment, retaliation, or both with their immediate supervisor, any other supervisor within their direct chain of command, or the Department of Human Resource Management, including the agency human resource field office.

(a) Complaints may be submitted by any [individual]employee, witness, volunteer or other [employee]individual.

(b) Complaints may be made through either oral or written notification and shall be handled in compliance with investigative procedures and records requirements in Sections R477-15-5 and R477-15-6.

(c) Any supervisor who has knowledge of workplace harassment, retaliation, or both shall take immediate, appropriate action in consultation with DHRM and document the action.

(3) All complaints of workplace harassment, retaliation, or both shall be acted upon following receipt of the complaint.

(4) If an immediate investigation by agency management is deemed unwarranted, the complainant shall be notified.

 

R477-15-4. Investigative Procedure.

(1) [Formal]When warranted investigations shall be conducted [by qualified individuals ]based on DHRM standards and business practices.

(2) Results of Investigation

(a) If the investigation finds the allegations to be sustained, agency management shall take appropriate administrative action. [under Rule R477-11.]

(b) If an investigation reveals evidence of criminal conduct in workplace harassment allegations, the agency head or Executive Director, DHRM, may refer the matter to the appropriate law enforcement agency.

(c) At the conclusion of the investigation, the [findings shall be documented and the appropriate parties notified ]appropriate parties shall be notified.

 

R477-15-5. Workplace Harassment Records.

(1) A separate confidential file of all workplace harassment and retaliation complaints shall be maintained and stored in the agency human resource field office, or in the possession of an authorized official.

(a) Removal or disposal of these files shall only be done with the approval of the agency head or Executive Director, DHRM.

(b) Files shall be retained in accordance with the retention schedule after the active case ends.

(c) All information contained in the complaint file shall be classified as protected under Section 63G-2-305.

(d) Information contained in the workplace harassment and retaliation file shall only be released by the agency head or Executive Director, DHRM, when required by law.

(2) Supervisors may not keep separate files related to complaints of workplace harassment or retaliation.

(3) Participants in any workplace harassment or retaliation proceeding shall treat all information pertaining to the case as confidential.

 

R477-15-6. Training.

(1) [Agencies]DHRM shall [ensure]provide employees [receive ]training, including additional training for supervisors, on the prevention of workplace harassment.

(a) The curriculum shall be approved by DHRM and the Division of Risk Management.

(b) [After initial training all a]Agencies shall ensure updated or refresher training is provided to employees every two years.

(c) Training shall be developed and provided by qualified individuals.

(d) Training records shall be maintained, including who provided the training, who attended the training and when they attended it.

 

KEY: administrative procedures, hostile work environment

Date of Enactment or Last Substantive Amendment: [July 1, 2014]2015

Notice of Continuation: February 3, 2012

Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-18; 63G-2-305; [Governor's Executive Order on]E.O. No. 12 "Prohibiting Unlawful Harassment" [, ] (December 13, 2006) [, Number 2006/0012]

 

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