File No. 33613
This rule was published in the May 15, 2010, issue (Vol. 2010, No. 10) of the Utah State Bulletin.
Human Resource Management, Administration
Workplace Harassment Prevention Policy and Procedure
Notice of Proposed Rule
DAR File No.: 33613
Filed: 04/30/2010 12:18:27 AM
Purpose of the rule or reason for the change:
Unnecessary terms are removed in several places. The terms "prevention" and "retaliation" are placed to accentuate and clarify provisions.
Summary of the rule or change:
"Prevention" is added to the title of the rule. Unnecessary terms are removed in several places. The term "retaliation" is inserted in several places to accentuate a current leading category of harassment. In Subsection R477-15-4(2)(b), a reference to records requirements is inserted.
State statutory or constitutional authorization for this rule:
- Section 67-19-18
- Section 67-19-6
- Gov.'s Exec. Order on Prohibiting Unlawful Harassm
- Section 63G-2-3
Anticipated cost or savings to:
the state budget:
These changes are administrative and do not directly impact state budgets.
This rule only affects the executive branch of state government and will have no impact on local governments.
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.
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
450 N MAIN ST
SALT LAKE CITY, UT 84114-1201
Direct questions regarding this rule to:
- J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at email@example.com
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.
R477-15. Workplace Harassment Policy and Procedure.
It is the State of Utah's policy to
provide all employees a working environment that is free from[
discrimination and] harassment based on race, religion,
national origin, color, gender, age, disability, or protected
under state and 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.
(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
R477-15-4. Complaint Procedure.
Management shall permit individuals affected by workplace harassment to file complaints and engage in an administrative 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 who feel they are being subjected to workplace harassment should do the following:
(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 workplace harassment 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, witness, volunteer or other employee.
(b) Complaints may be made through either
oral or written notification and shall be handled in compliance
(c) Any supervisor who has knowledge of workplace harassment shall take immediate, appropriate action and document the action.
(3) All complaints of workplace harassment 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.
R477-15-5. Investigative Procedure.
Preliminary reviews and f]ormal 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 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.
(1) A separate confidential file of all workplace harassment 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 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.
(3) Participants in any workplace harassment proceeding shall treat all information pertaining to the case as confidential.
(1) Agencies shall comply with the Workplace Harassment Prevention Training Standards established by DHRM. As a minimum, these shall contain:
(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 Amendment: [
July 1, 2009]
Notice of Continuation: June 9, 2007
Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-18; 63G-2-3; Governor's Executive Order on Prohibiting Unlawful Harassment, December 13, 2006
The Portable Document Format (PDF) version of the Bulletin is the official version. The PDF version of this issue is available at https://rules.utah.gov/publicat/bull-pdf/2010/b20100515.pdf. The HTML edition of the Bulletin is a convenience copy. Any discrepancy between the PDF version and HTML version is resolved in favor of the PDF version.
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For questions regarding the content or application of this rule, please contact J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at firstname.lastname@example.org.