PART II.
COMMUNITY POLICIES
DIVISION I HUMAN RIGHTS, AFFIRMATIVE ACTION, AND EQUAL EMPLOYMENT
(Written to
conform to Regents Procedural Guide 3/74; amended 9/93; 10/95; 9/97)
CHAPTER
5: SEXUAL HARASSMENT COMPLAINT PROCEDURES
(12/91)
5.1 PREAMBLE.
a. The University of
b. In furtherance of this commitment, the University recognizes the
need to codify procedures governing sexual harassment complaints filed under
the policy. The distribution of such procedures will ensure that those persons
involved in sexual harassment complaints know what to expect from the complaint
process. The University is particularly concerned that potential complainants
know that they have recourse in this community.
c. To these ends, the Office of Affirmative Action established
University-wide procedural guidelines for the processing of sexual harassment
complaints so that the person handling such complaints at the administrative
level, as well as the parties to the complaint, are aware of the process. These
procedures are based upon the University's sexual harassment policy.
5.2 SEXUAL HARASSMENT AND CONSENSUAL RELATIONSHIPS.
The
The University has written a policy prohibiting sexual harassment and
vigorously enforces it. Persons who are accused of sexual harassment should
thoroughly read and understand the policy. The University's Policy on Sexual
Harassment and Consensual Relationships is set forth in II-4 and in the Code
of Student Life. Copies of the policy, as well as copies of these
procedures, are available upon request from the University's Office of
Affirmative Action.
5.3 PROHIBITED CONDUCT.
a. Sexual Harassment Defined. The University's policy defines sexual
harassment as unwelcome advances, requests for sexual favors, or other verbal
or physical conduct of a sexual nature when:
(1) Submission to such conduct is made explicitly or implicitly a term
or condition of an individual's employment or status in a course, program, or
activity;
(2) Submission to or rejection of such conduct is used as a basis for
an employment or educational decision affecting an individual; or
(3) Such conduct has the purpose or effect of unreasonably interfering
with an individual's work or educational performance or of creating an
intimidating, hostile, or offensive environment for work or learning.
b. Examples of Sexual Harassment. Sexual harassment may take many forms
and includes any sexual attention that is unwanted. The following types of
conduct are given as examples of sexual harassment in the policy:
(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
conduct such as repeated and unwanted staring;
(5) A pattern of conduct (not legitimately related to the subject
matter of a course if one is involved) intended to discomfort or humiliate, or
both, that includes one or more of the following:
(a) comments of a sexual
nature; or
(b) sexually explicit statements, questions, jokes,
or anecdotes;
(6) A pattern of conduct that would
discomfort or humiliate, or both, a reasonable person at whom the conduct was
directed that includes one or more of the following:
(a) unnecessary touching, patting, hugging, or
brushing against a person's body;
(b) remarks of a sexual nature about a person's clothing or body; or
(c) remarks about sexual activity or speculations about previous sexual
experience.
5.4 PARTIES.
Under The University of Iowa's Policy on Sexual Harassment and Consensual
Relationships, any student, staff member, or faculty member may bring a sexual
harassment complaint against any other member of the University community who
is believed to have violated the policy.
5.5 PERSONS AUTHORIZED TO RECEIVE COMPLAINTS.
The University's sexual harassment policy provides that a complaint alleging a
violation of the policy may be brought to any appropriate member of the
University community, including:
a. any academic or administrative officer of the
University;
b. any collegiate dean, director, supervisor, department head,
ombudsperson, or adviser;
c. the following persons or organizations;
(1) the Director of
Affirmative Action;
(2) the Vice President for Student Services and Dean
of Students,
(3) the University Ombudsperson;
(4) the Associate Provost for Faculty;
(5) the Associate Vice President/Director of Human
Resources; and
(6) departments or organizations like the Women's
Resource and Action Center and the Rape Victim Advocacy Program.
All persons authorized to receive complaints are
expected to participate in training related to the procedures to be used for
handling sexual harassment complaints. This training is provided by the Office
of Affirmative Action.
5.6 AVAILABLE OPTIONS.
A person wishing to make a sexual harassment complaint has the following
options under the policy:
a. Informal resolution of the
complaint
(1) by the complainant directly with the accused
party;
(2) with the assistance of the person to whom the complaint was
initially brought; or
(3) with the assistance of any appropriate member of the University
community as set forth above to whom the complainant wishes the complaint to be
referred, including the Director of the Office of Affirmative Action; or
b. Filing a formal complaint with the Office of
Affirmative Action.
c. The complainant should also be informed that a decision to proceed
informally at this point does not preclude the filing of a formal complaint at
some later point prior to the completion of the informal complaint process and
that the filing of an informal complaint is not a prerequisite to a formal
complaint. However, a complainant should not simultaneously maintain complaints
arising from the same occurrence with more than one office.
5.7 PROCEDURES FOR INITIAL INTAKE OF COMPLAINTS.
a. Discussion of relevant considerations. In addition to outlining for
the complainant the options available under the sexual harassment policy, the
person to whom the complaint is initially brought should also discuss with the
complainant other relevant considerations such as:
(1) the details of the complaint process;
(2) the issues involved in the complaint;
(3) possible resolutions;
(4) provisions in the policy for protection of the complainant's
interests (e.g. confidentiality; need for truthfulness by both parties; keeping
complainant fully informed of steps taken during the process; protection of
complainant and witnesses against retaliatory action; accused party cannot be
informed of the filing of an informal complaint without the consent of
complainant); and
(5) provisions in the policy for protection of the interests of the
accused (e.g. confidentiality; need for truthfulness by both parties; right to
be notified of existence of any formal complaint; opportunity to respond to the
complainant's allegations).
The person to whom the complaint is brought should provide the
complaining party with a copy of the sexual harassment policy and these
procedures.
b. Determination as to Further Action. Once all of the above
information has been discussed with the complainant, the complainant may then
determine whether to pursue the complaint and, if so, by what process.
5.8 INFORMAL COMPLAINTS.
a. Referral. In the event the complainant wishes to
pursue informal resolution of the complaint, he or she may do so either with
the person to whom the complaint was initially brought or with another person
authorized under the policy to receive such complaints and to whom the
complainant wishes the complaint to be referred. The person selected by the
complainant to process the complaint will follow the procedures set forth in
the following subsection relating to processing informal complaints.
Similarly, if the complainant elects to file a formal complaint with
the Office of Affirmative Action, or if the complainant wishes to convert an
existing informal complaint to a formal complaint at any point prior to
completion of the informal complaint process, the person to whom the complaint
was initially brought will refer the complainant to the Office of Affirmative
Action for that purpose. Any assistance the complainant may need in filing the
complaint or in contacting the Office of Affirmative Action will be provided by
the person making the referral.
b. Procedures for Informal Complaints. If the complainant wishes to
pursue informal resolution of the complaint, the following procedures are
applicable:
(1) Notice of Complaint to Office of Affirmative
Action. Within seven work days of receiving an informal complaint, the person
pursuing the complaint with the complainant will notify the Office of
Affirmative Action in writing of the existence of the complaint and will
provide a summary of the allegations. Situations in which the complainant has
requested his or her name not be disclosed or no action be taken and those in
which the complainant has not consented to informing the accused party of the
action should be reported without disclosing information which would identify
the parties. The information reported will be treated confidentially by the
Office of Affirmative Action.
This information is required to be reported for data collection
purposes and to assure compliance with the sexual harassment policy and with
applicable federal and state law on sexual harassment. Additionally, the Office
of Affirmative Action will use this information to monitor repeated complaints
within the same department/unit or against the same individual, where
appropriately identified, to assure that such claims are adequately handled.
(2) Notice to the Accused. In the context of an informal complaint, the
sexual harassment policy provides that the accused party will not be informed
of the complainant's action without the consent of the complainant. For
purposes of documentation, this consent should be provided in writing. The
complainant should of course be informed that no disciplinary action can be
taken against the accused on the basis of an informal complaint of which the
accused party has not been made aware.
(3) Inquiry/Investigation Into Circumstances of Complaint. The person
handling the informal complaint should follow the procedures for investigation
of formal complaints set forth below.
(4) Time Period for Investigating Complaint. Informal complaints should
be concluded within 30 days of their inception. Where this is not reasonably
possible, the person processing the complaint should notify the complainant in
writing that conclusion of the complaint will be delayed and indicate the
reasons for the delay.
(5) Notice of Conclusion of Investigation. Within seven work days of
concluding the investigation of an informal complaint, the person handling the
complaint will notify the Office of Affirmative Action in writing that the
complaint has been concluded and of the resulting outcome.
(6) Possible Actions Upon Conclusion of Informal Investigation.
(a) Resolution of Complaint. The person
handling the complaint will attempt to resolve it to the satisfaction of the
parties involved.
(b) Where Resolution of Complaint is Not Possible. Where the person
handling the complaint is unable to resolve it, the complainant should be
advised of the option of filing a formal complaint based on the same occurrence
with the Office of Affirmative Action and the existence of options outside the
University that may be pursued, i.e., filing with the federal Equal Employment
Opportunity Commission, the Iowa Civil Rights Commission, the federal
Department of Education (Office of Civil Rights), etc.
5.9 FORMAL COMPLAINTS.
a. Referral to the Office of Affirmative Action.
Either when the complainant elects to file a formal complaint, or at any point
prior to completion of the informal complaint process when a complainant elects
to convert an existing informal complaint to a formal complaint, the
complainant may invoke the procedures used in the formal context. If this
occurs, the person handling the complaint should refer the complainant to the
Office of Affirmative Action for filing of the formal complaint. Any assistance
the complainant may need in contacting the Office of Affirmative Action or in
filing the complaint should be provided by the person making the referral.
b. Procedures for Formal Complaints.
(1) Filing With the Office of Affirmative Action.
The sexual harassment policy provides that formal complaints of sexual
harassment will be filed in writing with the Office of Affirmative Action.
(2) Determination of Method of Formal Investigation. The Office of
Affirmative Action will then consult with the appropriate administrative
officer to determine the method by which the formal investigation will be
conducted. The Office of Affirmative Action will be responsible for the
investigation with the assistance of the department or unit involved and will
keep the administrative officer informed as to its progress.
(3) Notice to the Accused. At the commencement of the investigation of
a formal complaint, the accused party will be informed of the identity of the
complainant, of the allegations of the complaint, and of the facts surrounding
the allegations of sexual harassment, as required by II-4.3f(1).
(4) Investigation of Formal Complaint.
(a) Purpose of Investigation. The purpose of the
investigation is to establish whether there is a reasonable basis for believing
that the alleged violation(s) of the sexual harassment policy has/have
occurred.
(b) Authorization to Investigate. Because the information provided by
the complainant is confidential, it is necessary to obtain the complainant's
written authorization to discuss the information with others during the course
of the investigation. The written documentation of the complainant's consent to
investigate should specify that the investigator is authorized to discuss the
information provided with other persons having pertinent factual knowledge of
the circumstances of the complaint and authorized to collect and examine any
and all records and other documentation relative to the complaint.
(c) Persons to Be Interviewed. The person conducting the investigation
should interview the complainant, the accused, and any other persons believed
to have pertinent factual knowledge of the allegations. The sexual harassment
policy specifically provides that the accused be afforded a full opportunity to
respond to the allegations. Throughout the investigation and at all other
times, the person conducting the investigation will take steps to preserve the
confidentiality of all persons involved.
(d) Matters to Be Investigated Include:
(i)Whether the specific conduct constitutes sexual
harassment, including the type(s) of conduct; frequency of occurrence; date(s)
on which or time period over which the conduct has occurred; location of
alleged occurrence(s); and all factual circumstances upon which the complaint
is based.
(ii) The specific relationship of the accused party to the complainant
(e.g., professor-student, supervisor-employee, etc.).
(iii) The effect of the accused party's conduct on the complainant,
including any consequences that may be attributed to the conduct.
(iv) Whether the accused party is aware of the complainant's concern.
(v) Whether the department head or supervisor is aware of the
complainant's concern, and if so, how he or she became aware of the concern.
(vi) The names, addresses, and telephone numbers of all persons
believed to have pertinent factual knowledge of the circumstances surrounding
the complaint.
(vii) Whether any prior steps were taken to resolve the complaint.
(viii) Whether there are any additional resources that may be helpful
to resolve the complaint.
(ix) Whether the complainant is receiving appropriate emotional support
and/or services.
(5) Possible Outcomes of Investigation.
(a ) The possible outcomes of the investigation are:
(i) a finding that there is a reasonable basis for
believing that the alleged violation occurred;
(ii) a finding that there is no reasonable basis for believing that the
alleged violation occurred; or
(iii) a negotiated settlement of the complaint.
(b) Where the Office of
Affirmative Action has determined that the allegations are founded, there are
two further possibilities:
(i) a negotiated settlement of the complaint, or
(ii) where a negotiated settlement is not possible, institution of
formal action/sanctions.
(6) Time Period for Investigating Complaint. Investigations
of formal complaints should be concluded within 45 days of their inception.
Where it is not reasonably possible to conclude the complaint within that
amount of time, the Office of Affirmative Action will notify the complainant in
writing that conclusion of the complaint will be delayed and indicate the
reasons for the delay.
(7) Written Report of Findings. Upon conclusion of the investigation of
a formal complaint, the Office of Affirmative Action will prepare a written
summary of the findings. This report will then be provided to the appropriate
administrative official.
(8) Notice to Parties. At the conclusion of the investigation, the
Office of Affirmative Action will promptly inform both the complainant and the
accused party of the outcome and of the facts developed relevant to the
complaint. In the event the investigation has revealed no reasonable basis for
believing sexual harassment has occurred under the policy, the investigator
will also advise the complainant of the existence of options outside the
University that may be pursued.
(9) Formal sanctions.
(a) Decision to Impose Sanctions. If after reviewing
the report of the Office of Affirmative Action, the appropriate administrative
official concludes that there is a reasonable basis for believing that the
alleged violation of the policy has occurred, and if a negotiated settlement of
the complaint has not been achieved, formal sanctions will be imposed.
(b) Persons Responsible for Decision. The decision to impose formal
sanctions will be made by one of the following persons:
(i) in cases involving a
faculty member, graduate assistant, or other instructional personnel as the
charged party, by the chief academic officer of the University (currently the
Provost or that person's designee);
(ii) in cases involving a staff person as the
charged party, by the vice president or provost responsible for the unit
employing the charged party or by that person's designee, following
consultation with the Vice President for Finance and University Services or
that person's designee; and
(iii) in cases involving a student, by the chief
administrative officer of the University in charge of student affairs
(currently the Vice President for Student Services and Dean of Students or that
person's designee).
(c) Sanctions. Where an allegation of sexual
harassment is founded, appropriate corrective measures may range from verbal
reprimand up to and including separation of the offending party from the
University, in accordance with established University procedures.
(d) Governing Provisions. Violations of the sexual harassment policy
are governed by the following procedures:
(i) in cases involving
faculty members, by the General Faculty Dispute Procedures (III-29) and that
portion of those procedures dealing with faculty ethics (III-29.7);
(ii) in cases involving graduate assistants, by the
procedure for dismissal of graduate assistants (III-12.4); and
(iii) in cases involving staff members, appeals from
any formal disciplinary action taken are governed by the following:
(A) for professional and scientific staff (III-28.4);
(B) for organized merit staff, by procedures available under the
Regents' Merit System Rules; and
(C) for nonorganized merit staff, by procedures available under the Regents'
Merit Rules.
(iv) in cases involving
students, by the Judicial Procedure for Alleged Violations of the Code of
Student Life (published in Policies and Regulations Affecting Students).
(10) Final Report to the Office of Affirmative
Action. Within seven work days of the conclusion of any formal action, a
written report summarizing any such action taken and the outcome of any appeal
therefrom will be submitted to the Office of Affirmative Action by the
administrative official responsible for the decision on formal action. This
written report is used by the Office of Affirmative Action for data collection
and compliance purposes only.
(11) Complainant's Options Upon Unfavorable Resolution. Where the
complainant is not satisfied with the outcome of the formal action process, the
administrative official responsible for the decision on any formal action taken
should inform the complainant of the existence of procedures available in III-31 and options
outside the University that may be pursued.
5.10 PRESENCE OF SUPPORT PERSONS.
If the complainant so desires, he or she may be accompanied at the initial
interview (and subsequently as appropriate) by a friend, family member, or
other individual of the complainant's choice whose presence is necessary to
provide emotional support and/or clarification of the facts related to the
complaint.
5.11 REVISIONS.
These procedures are subject to revision by the Office of Affirmative Action as
necessary or desirable in view of experience, changes in the law, or University
policy.
5.12 RIGHTS OF THE ACCUSED.
At the commencement of the investigation of a formal complaint, the accused
will be informed of the identity of the complainant, the allegations of the complaint,
and the facts surrounding the allegations. The accused will be given an
opportunity to respond fully to the allegations and will be notified of the
outcome of the investigation.
5.13 CONFIDENTIALITY.
The Office of Affirmative Action treats as confidential all information
received in connection with the filing, investigation, and resolution of
complaints. It is anticipated and expected that the parties to a particular
complaint will observe the same standard of strict confidentiality. It should
be emphasized that this practice is in the best interests of all parties to the
complaint. Failure to respect confidentiality may be regarded as retaliation.