Attachment 3

(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.

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.

(b) Evidence of Sexual Harassment. Behavior that may be considered evidence of prohibited sexual harassment includes, but is not limited to, the following:

(2) Direct or implied threats that submission to sexual advances will be a condition of employment, work status, promotion, grades, letters of recommendation, or participation in a University activity;

(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 (See also the Acceptable Use of Information Technology Resources policy, Section II.19, University Operations Manual);

(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.

(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. A third party complaint must state specific and credible allegations to warrant an investigation.

(b) Substantial weight will be given to the wishes of a complainant when determining whether to investigate a complaint, but the University may investigate a complaint even without the complainant’s consent if circumstances warrant (such as when there are multiple complaints against the same person or allegations that are particularly egregious).

(c) Persons who wish to consult with someone about a specific situation on a confidential basis or learn more about enforcement of the Policy on Sexual Harassment may contact any of the following offices or organizations:

These offices are exempt from the reporting requirements set forth in Section 4(d) of this Policy. Other offices may be required to report allegations as described in Section 4(d).

Annotation: The changes to this section address a number of concerns that were voiced after the first round of proposed revisions. The addition to (a) sets a standard for the type of information required to bring a third party complaint, making clear that mere rumors will not be enough to bring a complaint and instigate an investigation. Paragraph (b) was added to reaffirm that a complainant’s wishes will be taken into consideration, but also to make clear that when appropriate, the University may investigate without a complainant’s consent. Paragraph (c) was added to list those offices and resources available to individuals for confidential consultation.

(a) A complaint may be brought informally to any academic or administrative officer of the University. For purposes of this Policy, “academic or administrative officer” means any collegiate dean, any faculty member with administrative responsibilities at the level of Departmental Executive Officer (DEO) or above, or a student’s advisor; the Director of Affirmative Action, any Vice President, or the Provost; and any director, supervisor, or human resources representative.

(b) 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. The Office of Affirmative Action is available to assist persons to whom complaints are brought in determining whether there is a potential policy violation and whether reporting pursuant to paragraph (d) below is required.

(c) When a complaint is brought informally, 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 when there are multiple complaints against the same person or allegations that are particularly egregious). No disciplinary action can be taken against a person charged in an informal complaint, and there will be no record of the complaint in the person’s employment file or student disciplinary file, unless the person is notified of the charges and given an opportunity to respond.

(d) Any academic or administrative officer of the University who becomes aware of specific and credible allegations of sexual harassment, whether through the report of a complainant, the report of a third party, or otherwise, shall promptly report the allegations to the Office of Affirmative Action (except for allegations against a student regarding conduct occurring in the residence halls, which shall be reported to the Office of the Vice President for Student Services) for assistance in evaluating the situation and determining an appropriate course of action, even if the complainant has requested that no action be taken. The initial report may be made by telephone, but a written report also must be made using the Office of Affirmative Action Report of Informal Sexual Harassment Complaint form, which requires disclosure of the employment or student status of the parties, the department(s), a summary of the allegations, and a description of the steps taken to resolve the complaint. If the respondent is informed of the existence of the informal complaint, the names of the parties must be provided. If the respondent is not informed of the complaint, then the names of the parties shall not be provided.

(e) Whether or not the Office of Affirmative Action can be consulted immediately, the academic or administrative officer shall take appropriate action, which may include those actions described in Section 9, to address the alleged behavior.

Annotation: The new Section 4 provides a separate section to address informal complaint procedures. The revisions to paragraph (a) provide a definition for “academic and administrative officer,” to clarify who may receive an informal complaint and who has the obligation to report allegations to the Office of Affirmative Action (OAA) in paragraph (d). The addition to paragraph (b) advises individuals that the OAA is available for consultation with regard to whether an allegation constitutes an informal complaint and requires such reporting. The revision to paragraph (c) is intended to alleviate concerns about possible records of informal complaints when a respondent was not informed of the complaint. In paragraph (d), the “specific and credible” standard was added to indicate that mere rumors need not be reported. The parenthetical was added because complaints from the residence halls are already required to be reported to the Office for Student Services so there is no need for those to also be reported to OAA immediately. The description of the OAA reporting form is intended to clarify what information must be reported to OAA and how. The final two sentences were added to address the concerns that were voiced about the existence of records in the OAA naming a respondent who was not informed of the complaint. Under this standard, if the respondent was not informed, OAA will not be given the parties’ names. Therefore, there should be no records in OAA naming a respondent unless that respondent is aware of the complaint.

(a) A formal complaint pursuant to this Policy 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. All parties to the complaint will receive a copy of the written finding, which is to remain confidential as defined by Section 11(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 6 below.

(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 to pursue formal disciplinary action.

(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 office of the Vice President or Dean responsible for the unit employing the person charged;

(iii) a student is the respondent will be made by the Office of the Vice President for Student Services and Dean of Students;

(iv) a graduate assistant is the respondent will be made by the Office of the Dean of the Graduate College.

(c) The administrative official may (i) determine that the allegations are not warranted; (ii) reach a negotiated settlement of the complaint; or (iii) initiate 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.

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 Dean (or designee) responsible for the unit employing the respondent. Appeals of any formal disciplinary action against covered non-organized Professional and Scientific staff members are governed by Section III.28.4 of the University Operations Manual as applicable. Appeals of any formal disciplinary action against an Exempt Merit staff member are governed by Section III.28.1 of the University Operations Manual. Staff covered by a collective bargaining agreement should refer to the relevant contract for any contractual grievance procedure. 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.”

(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 which if repeated could constitute sexual harassment, demonstrate insensitivity that may warrant remedial measures. When academic or administrative officers become aware that such behavior has occurred in their areas, they should communicate to those who have engaged in the behavior that the behavior is not acceptable and should cease, and 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 8(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.

(a) Complainants will be informed fully of steps taken during the investigation.

(b) Throughout the investigation and resolution of a complaint, steps will be taken to protect complainants, witnesses, and others from harm caused by continuation of the alleged harassing behavior.

(c) Retaliation against complainants and/or witnesses who provide information during an investigation pursuant to this Policy is prohibited. All reasonable action will be taken to assure that complainants and/or witnesses will suffer no retaliation as the result of their activities with regard to the process.

(d) Steps that may be taken to protect complainants, witnesses, and others from continued harassment and/or 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.

(e) Any retaliation against complainants 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).

(f) In extraordinary circumstances, the Provost, a Dean, a (DEO), or any Vice President may, at any time during or after an investigation of a sexual harassment complaint, suspend or restrict from employment any employee accused of sexual harassment if the Provost, Dean, DEO, or Vice President 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 his or her employment. Similarly, if the respondent is a student, interim sanctions may be imposed pursuant to Section 10 of the Judicial Procedure for Alleged Violation of the Code of Student Life.

Annotation: The revisions to this section are intended to emphasize that efforts will be made to protect against continued harassment, in addition to those efforts to guard against retaliation for bringing a complaint. Paragraph (f) was expanded to reflect that any member of the University community may be subject to interim suspension or restriction of their employment pending an investigation, if circumstances warrant, without limiting that provision to instructional personnel.

(a) This Policy shall not be used to bring knowingly false or malicious charges. Bringing such a charge may subject the complaining party to remedial and/or disciplinary action up to and including termination or separation from the University.

(b) 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.

(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 4(d)) and information will be shared only with those individuals who need to know it to implement this Policy.

(b) The parties to a complaint are expected to maintain confidentiality as well. Parties are not prohibited from discussing the situation with persons who make up their personal support network, such as family, friends, and counselors outside of the work or educational environment. However, the matter should not be discussed with or disclosed to others in the work or educational environment. Dissemination of documents relating to a complaint and/or investigation, other than as necessary to pursue an appeal, grievance, or other legal or administrative proceeding, is prohibited. Failing to maintain confidentiality may be considered to be a form of retaliation in violation of Section 9(c) of this 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.

(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 available continually 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 limited to, such persons as residence hall resident advisors, academic advisors, supervisors, DEO’s, and faculty advisors. Academic departments are encouraged to provide training for graduate assistants and other instructional personnel with assistance from the Office of Affirmative Action.

(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 8 and may be an element in the resolution of a complaint. It also may be mandated for persons found to have violated this Policy.