THE
POLICY ON SEXUAL HARASSMENT
Division 1. Policy
Section
1. RATIONALE.
(a)
Sexual harassment is reprehensible and will not be tolerated by the
University. It subverts the mission of
the University, and threatens the careers, educational experience, and
well-being of students, faculty, and staff.
In both obvious and subtle ways, sexual harassment is destructive to
individual students, faculty, staff, and the academic community as a whole. When, through fear of reprisal, a student,
staff member, or faculty member submits, or is pressured to submit, to unwanted
sexual attention, the University's ability to carry out its mission is
undermined.
(b)
Sexual harassment is especially serious when it threatens relationships between
teacher and student or supervisor and subordinate. In such situations, sexual harassment
unfairly exploits the power inherent
in a faculty member's or supervisor's position.
A supervisor’s or instructor’s control of grades, compensation,
recommendations, promotions, and the like, can have a decisive influence on a
student's, staff member's, or faculty member's career at the University and
beyond.
(c)
Although sexual harassment most often takes place in situations where a power
differential exists between the persons involved, the University also
recognizes that sexual harassment may occur between persons of the same
University status. The University will
not tolerate behavior of a sexual nature by members of the University community
that creates an intimidating or hostile environment for employment, education,
on-campus living, or participation in a University activity.
Annotation: The Committee intended no substantive changes to the
Rationale, but made some minor edits for clarity.
Section
2. PROHIBITED CONDUCT – POLICY
STATEMENT.
The
University of Iowa forbids sexual
harassment by any member of the University community.
(a) Definition of Sexual
Harassment. For purposes of this Policy,
“Sexual Harassment” means persistent, repetitive or egregious conduct directed
at a specific individual or group of individuals that a reasonable person would
interpret, in the full context in which the conduct occurs, as harassment of a
sexual nature, when:
(1) Submission to such conduct
is made or threatened to be made explicitly or implicitly a term or condition
of employment, education, on-campus living environment, or participation in a
University activity;
(2) Submission to or rejection
of such conduct is used or threatened to be used as a basis for a decision
affecting employment, education, on-campus living environment, or participation
in a University activity; or,
(3) Such conduct has the purpose
or effect of unreasonably interfering with work or educational performance, or
of creating an intimidating or hostile environment for employment, education,
on-campus living, or participation in a University activity.
Annotation: In paragraph (a) the Committee adopted the
language from the Code of Iowa definition of sexual harassment because the
Committee felt this language was more precise in defining what type of conduct
constitutes harassment. In subparagraphs
(1) and (2) the “threatened to be made/used” language was added so it is clear
that the threat of taking such action, even if not carried out, is
harassment. In addition, the Committee
added “on-campus living environment” and “participation in a University
activity” to make clear that harassment is prohibited in those contexts as well
as in employment and educational contexts.
(b) Evidence of Sexual
Harassment. Behavior that may be
considered evidence of prohibited sexual harassment includes, without
limitation, the following:
(1) Physical assault;
(2) Direct or implied threats
that submission to sexual advances will be a condition of employment, work
status, promotion, grades, or letters of recommendation;
(3) Direct propositions of a
sexual nature;
(4) Subtle pressure for sexual
activity, an element of which may be repeated staring;
(5) A pattern of sexually
explicit statements, questions, jokes or anecdotes, whether made orally, in
writing, or through electronic media;
(6) A pattern of conduct
involving:
(a) Unnecessary touching;
(b) Remarks of a sexual nature
about a person’s clothing or body; or,
(c) Remarks relating to sexual
activity or speculations concerning previous sexual experience;
(7) A display of graphic sexual
material (not legitimately related to the subject matter of a course if one is
involved) in a context where others are not free to avoid the display because
of an employment or educational requirement or without surrendering a privilege
or opportunity that others may reasonably expect to enjoy in that location.
In determining whether alleged
conduct constitutes sexual harassment, the investigator will consider all
available evidence and the totality of the circumstances, including the context
in which the alleged incident(s) occurred.
Although repeated incidents generally create a stronger claim of sexual
harassment, a single serious incident can be sufficient. Determinations will be made on a case-by-case
basis. Conduct which constitutes a protected
exercise of an individual’s rights under the First Amendment to the United
States Constitution shall not be deemed a violation of this Policy.
Annotation: The Committee incorporated the former Section
3 into paragraph (b) of Section 2 because it helps to define further what
conduct is prohibited. The title of the
section was changed from “Examples” to “Evidence” of sexual harassment and the
introductory language was modified to make clear that this list is not intended
to identify conduct which will always per se constitute sexual harassment, but
identifies conduct which may be harassment depending on the context in which it
occurs. The list has been edited for
clarity. A reference to electronic media
was added to item (5) to include newly developed forms of communication. In addition, item (7) was added to describe
displays of graphic material that may be considered harassment.
The final
paragraph was added to emphasize further that each case will be decided on a
case-by-case basis considering the totality of circumstances involved, and that
speech protected by the First Amendment does not violate this Policy.
Division 2. Procedures
Section
3. BRINGING A COMPLAINT.
(a)
A complaint that this Policy has been violated may be brought through informal
or formal channels by any member of the University community, including a third
party, or by the University itself.
(b)
An informal complaint may be brought to an appropriate member of the University
community, including any academic or administrative officer of the University
such as the Director of Affirmative Action; the Vice President for Student
Services and Dean of Students; the Associate Provost for Faculty; the Vice
President for Finance and University Services; the Ombudsperson; any collegiate
dean, director, supervisor, department head, or advisor; and departments or
organizations such as the Women's Resource and Action Center and the Rape
Victim Advocacy Program.
(c)
A person to whom a complaint is brought will counsel the complainant as to the
options available under this Policy and, at the complainant's request, will (i)
help the complainant resolve the complaint informally and/or (ii) refer the
complainant to the Office of Affirmative Action so that the complainant may
choose either to pursue informal resolution through that office or to bring a
formal complaint.
(e)
When an informal complaint is brought, the person(s) charged in the complaint
will not ordinarily be informed of the complaint without the consent of the
complainant unless circumstances require (such as multiple complaints against
the same person). No disciplinary
action can be taken against a person charged in an informal complaint unless
the person is notified of the charges and given an opportunity to respond.
Annotation: In paragraph (a), the Policy now allows
complaints to be made by third parties or by the University itself. This change was made to increase the
reporting of harassment and enhance the University’s ability to pursue remedial
action even when the recipient of the behavior does not wish to make a
complaint. Recent legal and regulatory authority
have imposed liability on employers and Universities who had notice of sexually
harassing behavior and failed to act, even when the recipient of the behavior
did not bring a complaint.
The reference
to drafting a formal complaint was deleted from former paragraph (b), now
paragraph (c), because current practice does not require a written statement
other than a completed complaint form.
The Committee
added paragraph (d) to require consultation with the Office of Affirmative
Action whenever sexual harassment allegations are made known to an officer of
the University. This requirement is
intended to enhance the reporting of sexual harassment and the consistency in
enforcement of this Policy. It also
underscores the supervisor’s or administrator’s responsibility to take prompt
appropriate action to stop sexual harassment.
Paragraph (e)
was modified to allow notice to a person named in an informal complaint without
the complainant’s consent when circumstances warrant such disclosure. While confidentiality will be maintained
whenever possible, in some situations the University may need to take further
action to ensure that the behavior does not recur. The final sentence was added to clarify that
informal complaints do not result in disciplinary action unless the person
charged is informed of the complaint and given an opportunity to respond to the
allegations.
Section
4. INVESTIGATION OF FORMAL COMPLAINTS.
(a)
A formal complaint must be brought to the Office of Affirmative Action, which
will conduct an investigation.
(b)
The purpose of the investigation is to establish whether there is a reasonable
basis for believing that a violation of this Policy has occurred. In conducting the investigation, the Office
of Affirmative Action may interview the complainant, the respondent, and other persons
believed to have pertinent factual knowledge, as well as review any relevant documentary evidence. At all times, the Office of Affirmative
Action will take steps to ensure confidentiality to the extent possible.
(c)
When a formal investigation begins, the respondent will be informed of the
allegations, the identity of the complainant, and the facts surrounding the
allegations. The investigation will
afford the respondent a full opportunity to respond to the allegations.
(d) At the conclusion of the
investigation, the Office of Affirmative Action will issue a written finding
which will summarize the evidence gathered and state whether or not there are
reasonable grounds to believe that a violation of this Policy has occurred. Both parties to the complaint will receive a
copy of the written finding, which is to remain confidential as defined by
Section 10(b) of this Policy.
(e) If the Office of Affirmative
Action finds reasonable grounds to believe that a violation of this Policy has
occurred, the matter will be referred to the appropriate administrative
official for further consideration as outlined in Section 5 below.
Annotation: The changes in Section 4 are intended to
clarify current practice in the investigation of formal complaints. This section describes the role of the Office
of Affirmative Action in the investigation process. The new language in paragraph (c) was moved
from the former Section 14 (now Section 9). The former paragraph (d) has been
moved to Section 5(c) below, which describes the role of the administrative
authority in initiating disciplinary action based on a finding of sexual
harassment.
Section
5. PROCESS FOR FORMAL DISCIPLINARY ACTION.
(a)
The appropriate administrative official as defined in Subsection (b) of this
Section will review the finding of the Office of Affirmative Action and will
decide whether formal disciplinary action will be pursued.
(b)
The decision to initiate formal disciplinary action in cases in which:
(i) a faculty member or other instructional
personnel (except graduate assistants) is the respondent will be made by the
Office of the Provost;
(ii) a staff member is the respondent will be made
by the Vice President responsible for the unit employing the person charged, or
that person's designee;
(iii) a student is the respondent will be made by
the Vice President for Student Services and Dean of Students, or that person's
designee.
(iv) a graduate assistant is the respondent will be
made by the Dean of the Graduate College, or that person’s designee.
(c)
Possible outcomes are (i) a judgment that the allegations are not warranted;
(ii) a negotiated settlement of the complaint; or (iii) institution of formal
disciplinary action.
(d)
Violations of the Policy on Sexual Harassment may lead to disciplinary
sanctions up to and including termination or separation from The University of
Iowa.
Annotation: Section 5 has been revised to clarify the
role of the administrative authority after the Office of Affirmative Action
issues a finding. In paragraph (b), the
administrative authority in complaints filed against graduate assistants will
now be the Dean of the Graduate College rather than the Office of the
Provost. This change was required
because it is the Dean of the Graduate College that is involved in the graduate
assistant grievance procedures under the COGS contract; the Office of the
Provost has no direct role in that process.
Paragraph (c) was moved from Section 4 above. Paragraph (d) was added to state explicitly
that disciplinary sanctions may be imposed for violations of this Policy.
Section
6. APPLICABLE PROCEDURES.
Except
as specifically modified by other provisions of this Policy, formal
disciplinary action resulting from
violations of this Policy by:
(a)
faculty members will be governed by the Faculty Dispute Procedures (see Section
III.29,University Operations Manual)
and that portion of those procedures dealing with faculty ethics (Sec.
III.29.7).
(b)
staff members will be taken by the Vice President (or designee) responsible for
the unit employing the respondent.
Appeals from any formal disciplinary action against covered Professional
and Scientific staff members are governed by Section III.28.4 of the University Operations Manual as
applicable. Appeals from any formal
disciplinary action against an Exempt Merit staff member are governed by
Section III.28.1 of the University
Operations Manual. Organized Merit
Staff have access to a contractual grievance procedure, and non-organized merit
staff have a procedure available under Regents Merit System Rules;
(c)
graduate assistants, when dismissal is sought, will be governed by the
procedure for dismissal of graduate assistants (Sec. III.12.4, University Operations Manual). When disciplinary action other than dismissal
is taken by the Dean of the Graduate College, a graduate assistant may appeal
through any existing contractual grievance procedures;
(d)
students will be governed by Judicial Procedure for Alleged Violations of the
Code of Student Life. Both the Code of
Student Life and the Judicial Procedure are published and distributed to
students annually in the “Policies and Regulations Affecting Students.”
Annotation: Section 6 has been revised to reflect
accurately the various grievance and/or dispute procedures that will govern the
disciplinary process depending on the status of the respondent.
Section
7. ISOLATED BEHAVIOR.
(a)
Members of the University community who engage in isolated behavior of the kind
described in Section 2(b), which does not rise to the level of sexual
harassment but if repeated could constitute sexual harassment, demonstrate
insensitivity that may warrant remedial measures. When University administrators become aware
that such behavior has occurred in their areas, they should communicate to
those who have engaged in the behavior the potential consequences if such
behavior persists and should recommend, as appropriate, that they undertake an
educational program designed to help them understand the harm they are causing.
(b)
If a person continues to engage in the conduct described in Subsection 7(a), he
or she may be deemed to have engaged in sexual harassment.
(c)
This section addresses isolated behavior that does not rise to the level of a
violation of this Policy. However, it
should be understood that a single incident can under certain circumstances
constitute sexual harassment.
Annotation: Section 7 is based on former Section 4, and
is moved to Division 2 because it is part of the procedures for handling
specific situations rather than the definition of the underlying policy. This section indicates that when individuals
engage in isolated behavior which if repeated could constitute sexual
harassment, they should be counseled about their behavior and referred to
attend training on a voluntary basis, in an effort to prevent similar behavior
in the future. Paragraph (c) was added
to emphasize that in some circumstances, an isolated incident may constitute
sexual harassment.
Section
8. PROTECTION OF COMPLAINANT AND OTHERS.
(a)
The complainant will be informed fully of steps taken during the investigation.
(b)
Retaliation against a complainant and/or witnesses who provide information
during an investigation pursuant to this Policy is prohibited. All reasonable action will be taken to assure
that the complainant and/or witnesses will suffer no retaliation as the
result of their activities with regard to the process. Steps that may be taken to avoid retaliation
might include:
(i) lateral transfers of one or more of the parties in an employment
setting and a comparable move if a classroom setting is involved, and
(ii) arrangements that academic and/or employment
evaluations concerning the complainant or others be made by an appropriate
individual other than the respondent.
(c) Any retaliation against the complainant or witnesses
should be reported to the Office of Affirmative Action for further
investigation. If retaliation occurs, it
may result in disciplinary action against the person committing the retaliatory
act(s).
(d)
In extraordinary circumstances, the Provost, Dean, or a Departmental Executive
Officer (DEO) may, at any time during or after an investigation of a sexual
harassment complaint, suspend from teaching or supervisory responsibilities any
faculty member, teaching assistant, or other instructional personnel accused of
sexual harassment if the Provost, Dean, or DEO finds that it is reasonably
certain that (i) the alleged sexual harassment has occurred and (ii) serious
and immediate harm will ensue if the person continues to teach the class or
continues in his or her supervisory responsibilities.
Annotation: The first sentence in paragraph (a) regarding
complainant’s consent was deleted because recent legal developments have made
it clear that employers have an obligation to take prompt and effective action
to stop harassing behavior once the employer has notice of it. Therefore, in some circumstances, an
investigation or other action may need to occur even if the complaining party
does not wish for any action to be taken.
The first
sentence in paragraph (b) was added to strengthen the statement that
retaliation is prohibited. Also in that
paragraph, the language regarding “testifying” was deleted because there is no
sworn testimony taken during an investigation, although witnesses are
interviewed.
Paragraph (c)
was added to strengthen the prohibition on retaliation and make clear that
retaliation should be reported
Paragraph (d)
was modified to reflect current practices in removing instructional personnel
from the classroom pending an investigation in certain circumstances.
Section
9. PROTECTION OF THE RESPONDENT.
(a)
In the event the allegations are not substantiated, all reasonable steps will
be taken to restore the reputation of the respondent if it was damaged by the
proceeding.
(b)
A complainant found to have been intentionally dishonest in making the
allegations or to have made them maliciously may be subject to University
discipline.
Annotation: Throughout the Policy, references to
“accused” have been amended to “respondent” because “accused” is associated
with criminal proceedings. Former
paragraph (a) has been moved to Section 4(c) above.
Section
10. CONFIDENTIALITY.
(a)
In order to empower community members to voice concerns and bring complaints,
the confidentiality of all parties will be protected to the greatest extent
that is legally possible. However, legal
obligations may require the University to take some action once it is made
aware that sexual harassment may be occurring, even when the complainant is reluctant
to proceed. The Office of Affirmative Action will be consulted (see Section
3(d)) and information will be shared only with those individuals who need to
know it to implement this Policy.
Annotation: The Committee felt that the issue of
confidentiality was not addressed adequately in the existing policy. In paragraph (a), the Committee sought to
encourage individuals to bring complaints, while at the same time informing
readers that absolute confidentiality cannot be guaranteed. This paragraph informs readers that in some
situations the University may need to take action that the complainant does not
desire. Recent legal developments have
necessitated this change away from allowing a complainant to have absolute
control over whether an investigation is undertaken. However, the new paragraph also assures the
reader that information is only disclosed on a “need to know” basis.
Paragraph (b)
is intended to address questions that often are asked by parties during the
investigation process regarding their duty to maintain confidentiality. The University does not intend to restrict
parties from discussing the situation privately with their support network in
their efforts to deal with the emotions involved in such a situation. However, discussion of the matter in the work
or educational environment is prohibited to prevent the matter from unduly
disrupting the environment. In addition,
dissemination of documents other than through appropriate legal or
administrative channels is prohibited.
This information about confidentiality also will be included in written
findings that are issued to the parties.
Division 3. Educational Programs
Section
11. EDUCATION AS A KEY ELEMENT OF UNIVERSITY POLICY.
Educational
efforts are essential to the establishment of a campus milieu that is free of
sexual harassment. There are at least
four goals to be achieved through education: (a) ensuring that all victims (and
potential victims) are aware of their rights; (b) notifying individuals of
conduct that is proscribed; (c) informing administrators about the proper way
to address complaints of violations of this Policy; and (d) helping educate the
insensitive about the problems this Policy addresses.
Annotation: The reference to consensual relationships was
deleted due to the separation of the two policies.
Section 12. PREPARATION AND
DISSEMINATION OF INFORMATION.
(a)
The Office of Affirmative Action is charged with distributing information about
this Policy to all current members of the University community and to all those
who join the community in the future. An
annual notification from the Office of Affirmative Action is provided to all
faculty and staff to remind them of the contents of this Policy. A copy of the Human Rights Policy will be
included in student orientation materials, including those distributed to
students in professional schools. In
addition, information about that Policy will be made continually available at
appropriate campus centers and offices.
(b)
The Office of Affirmative Action offers courses for persons who are likely to
receive complaints that this Policy has been violated, including, but not being
limited to, such persons as residence hall resident advisors, academic
advisors, supervisors, department heads, faculty advisors, and University and
collegiate ombudspersons. Academic departments
are encouraged to provide training for graduate assistants and other
instructional personnel.
(c)
The Office of Affirmative Action offers courses designed to educate the
University community about sexual harassment prevention. The Office of Affirmative Action also offers
courses designed to inform those whose behavior does not rise to the level of a
violation of this Policy as defined in Section 2, but if repeated could rise to
the level of a violation, of the problems they create by their insensitive
conduct. The course may be recommended
for those described in Section 7 and may
be an element in the resolution of a complaint.
It also may be mandated for persons found to have violated this Policy.
Annotation: This section has been updated to reflect
accurately the current practices in disseminating information about the policy
and the educational programming available through the Office of Affirmative
Action. The reference to “mandated”
training for those individuals described in new Section 7 (Isolated Behavior)
has been changed to reflect that such educational programming will be
recommended but attendance is voluntary.