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  Other College Policies

Determining the policy of College or University is often complicated.  The Students Active for Ending Rape (SAFER) recently created a databse, the Policies Database Project which provides concrete examples of acceptable College/University policies regarding sexual assault policies.  This database appears to be looking for how colleges deal with rapes on campus and they look to counseling resources available, confidentiality requirements, risk reduction programs, awareness and prevention activities.  While the UW does have policies identifying who to contact when you are being sexually harassed, they do not provide much information as to what will happen once your report. In an effort to provide you with some ideas of the possible responses available to students dealing with sexual harassment, we have looked at other schools' policies and summarized some of those policies.

 

Cornell

Cornell has a particularly detailed policy available at http://www.policy.cornell.edu/CM_Images/Uploads/POL/vol6_4.pdf . Their policy provides a detailed explanation of the reporting procedures, and the availability of counseling and other support services.   It explains that it first starts out with an informal resolution effort and if the student wishes to pursue the matter further, it will be referred to another office and a harassment advisor or ombudsman is available to accompany a student or group during the complaint investigation.  It also makes it clear that if the student doesn't wish to pursue the matter and wants to remain anonymous, they anonymity will be protected, but the information will be recorded for statistical purposes.  Nevertheless, in extraordinary circumstances, the school may determine on its own to investigate particularly serious (such as, coerced sexual acts) and prima facie, well-founded allegations, even when the complaining party does not wish to pursue such charges. If they pursue this route, the school is committed to taking interim steps, to protect the safety and well-being of members of the university
community.

The complaint must describe in writing the alleged act or acts, identify the person or persons purportedly responsible, and indicate the date or approximate date on which the discriminatory or harassing act or acts occurred.
    Complaints must be filed within six months of the alleged discriminatory or harassing behavior. However, for students bringing a complaint against faculty in the context of a subordinate supervisory relationship between the faculty member and the student (such as in relation to teaching, advising, research, and thesis or dissertation supervision), this deadline may be extended to one year after the student is no longer under the faculty member’s supervision, or three years from the date of the alleged behavior, whichever is earlier.
    If, after its initial review, WDELQ determines that the complaint appears to have merit, it will notify the “accused” that he or she has been named in a complaint.  When a complainant does not pursue a complaint that he, she, or it has filed, WDELQ will maintain confidentially materials obtained during the complaint filing for at least three years, or until any external agency investigation or legal action is concluded, whichever is later. These records cannot be considered for any purpose in the mediation, investigation, or adjudication of future discrimination or harassment cases.

 

Columbia

Columbia Outlines the process that will occur in investigating sexual harassment claims.  Their policy can be found at: http://www.columbia.edu/cu/vpaa/eoaa/docs/discrim_sexharass.html.

 

Preliminary Review

Individuals may contact the Office of Equal Opportunity and Affirmative Action to discuss issues relating to discrimination or sexual harassment, with or without filing a grievance. The Associate Provost, or a designee, may conduct a preliminary fact-finding review. At its conclusion, the Associate Provost will inform the complainant of the options available to that person. These include seeking a mediated solution to the problems the complainant has encountered or conducting a full investigation. Based upon the facts of the case, the Associate Provost may also advise the complainant that his or her case is more suitable for adjudication by another entity within the University. Anyone who decides to mediate their claims of discrimination or sexual harassment may reconsider up until a final agreement is signed and ask the Associate Provost to commence an investigation, provided that the intervening period of time does not exceed the deadline for making such requests. Regardless of the recourse chosen, the Associate Provost is not authorized to address matters outside of the scope of the specific allegation of discrimination or sexual harassment, except that she will investigate claims of retaliation arising out of those allegations.

To request any action under the University’s Discrimination and Sexual Harassment Complaint Procedure, an individual must contact the Associate Provost within 180 working days* of the date of the incident. The Associate Provost may extend that deadline, and any others specified in this procedure, when she determines that circumstances justify an extension. As the Associate Provost has the authority and responsibility to gather information from all sources that she deems necessary for a fair resolution of the complaint, absolute confidentiality cannot be guaranteed. However, all parties and witnesses involved in an investigation will be urged to maintain confidentiality.

Individuals may also ask the Associate Provost to take no further action. However, the University reserves the right to proceed with an investigation on its own. 

A. Mediation

Individuals who believe they have been discriminated against or sexually harassed may choose to resolve their complaints through mediation by the Office of Equal Opportunity and Affirmative Action. Mediation is an informal and confidential process where parties can participate in a search for fair and workable solutions. Mediation requires the consent of both parties and suspends the complaint procedure for up to thirty (30) working days, which can be extended, at the discretion of the Associate Provost, upon consent of both parties. 

By mutual agreement, the two parties may elect to have their concerns mediated by the Mediation Clinic at Columbia Law School instead of the Office of Equal Opportunity and Affirmative Action. Guidelines for mediation with the Clinic are published separately and are available in the Office of Equal Opportunity and Affirmative Action or on the University Web site at http://www.columbia.edu/cu/vpaa/eoaa/. The Clinic is staffed by trained students, working under the supervision of certified instructors, who endeavor to reach mutually acceptable closure on outstanding conflicts.

Complaints that are addressed through mediation are not required to be made in writing. The parties may agree upon a variety of resolutions such as modification of work assignment, training for a department, or an apology. Parties may agree to a resolution that is oral or embodied in a written agreement. The final resolution is confidential; however, the parties may elect to file a written agreement with the Office of Equal Opportunity and Affirmative Action should enforcement be necessary. Because mediation is a fully voluntary process, formal disciplinary action cannot be imposed against the accused. Once both parties reach an informal agreement, it is final and not appealable.

The Associate Provost or either party may at any time, prior to the expiration of thirty (30) working days, declare that attempts at mediation have failed. Upon such notice, the Associate Provost may proceed to an investigation.

 

B. Investigation

The procedure described below is applicable only to those individuals who have elected to pursue their remedies by investigation through the Office of Equal Opportunity and Affirmative Action.

Filing a Complaint

Any individual who is employed by or enrolled at Columbia University may file a complaint with the Associate Provost of Equal Opportunity and Affirmative Action to request an investigation of an incident of alleged discrimination or sexual harassment by an individual who is a student or an employee of Columbia University with respect to an allegation arising out of the scope of their employment or education. Complaints filed by individuals who are not students or employees of the University will be accepted if the accused is a student or employee.

Complaints by a student or employee against a person who is not a student or employee will be accepted, but cannot proceed without the cooperation of the accused. A written complaint should be filed as soon as possible following the alleged incident, but not later than one hundred and eighty (180) working days after the incident or not later than thirty (30) working days following an unsuccessful attempt at informal resolution. The Associate Provost has the discretion to extend these deadlines.

The complaint must be signed by the complainant and include the following information:

  1. the identity and status (e.g., employee, student) of the complainant and accused;

  2. details concerning the incident(s) or conduct that gave rise to the complaint, date(s) of the incident(s), and location(s) of the incident(s);

  3. the identity and status of any witness(es) to the incident(s) with telephone numbers, e-mail addresses, and street addresses if known; and

  4. the action(s) requested to resolve the complaint.

Assignment of Investigator

Within fifteen (15) days working days following the filing of the complaint, or following failed attempts at mediation, the Associate Provost will designate herself, a staff person, or a committee to investigate and hear the case (the “investigator”). The decision as to who shall be designated as the investigator shall be within the sole discretion of the Associate Provost and shall be based upon her assessment of the facts, nature, and complexity of the case.

In the event of an alleged conflict of interest with the assigned investigator, either the complainant or the accused may make a written request to the Associate Provost within five (5) working days of learning the identity of the investigator to appoint an alternate. The Associate Provost’s decision on whether to grant such a request is final. If an alternate investigator is appointed, the timelines associated with this policy and procedure will be suspended pending the appointment.

The Provost shall at the same time designate a senior officer of the University (the “Appeal Officer”) to whom any appeal of the investigator’s decision may be brought. The Provost may designate himself in the role of the Appeal Officer. The Associate Provost will inform both the complainant and accused of the identity of the Appeal Officer in writing.

Withdrawal of Complaint

Individuals may seek to withdraw requests for investigations or, where appropriate, ask to have their case transferred to another forum by writing to the Associate Provost within seven (7) working days of filing their complaints. However, the University reserves the right to continue with an investigation on its own initiative.

Notifying the Accused and Supervisor

The investigator will provide a copy of the formal complaint to the accused and, at the same time, notify the accused individual’s supervisor about the complaint. The supervisor may take temporary actions pending the completion of the investigation (such as reassignment or paid leave of absence for either the complainant or accused) in consultation with the Associate Provost. The goal of such temporary actions would be to alleviate conflict pending a final resolution of the claims and all efforts would be made to create an environment where both parties can continue their work or education, if possible. The investigator will not consider any such action as evidence regarding the merits of the complaint.

Responding to the Complaint

The accused is not required to participate in the investigation of the complaint. Non-participation will not be taken as an indication of guilt, but it will also not prevent the investigation from proceeding. The investigator will continue to evaluate the complaint and reach a decision on the basis of the available information.

An accused who decides to participate in the investigation should send the investigator a written response to the complaint within seven (7) working days of receiving a copy of the complaint. A copy of the response shall be provided to the complainant.

The Investigative Process

Within ten (10) working days after being designated, the investigator will begin to interview the complainant, the accused, and any other persons with relevant information about the alleged incident. The investigator may also review personnel records and other documents deemed relevant to the complaint. The complainant and the accused may suggest witnesses the investigator should interview and written information the investigator should consider. However, the investigator has complete discretion as to the witnesses and the documents reviewed. During the investigation process no party is permitted to be represented by legal counsel. Members of collective bargaining units are entitled to union representation.

Hearing

At the sole discretion of the Associate Provost, at any time a committee of three individuals may be convened to conduct a hearing on the merits of a complaint. When selecting members of the committee, the Associate Provost will take into consideration the particulars of the complainant and the nature of the claims. A hearing may take place over one or more sessions, as needed. During a hearing, both parties have the right to be present during the testimony of the opposing party or other witnesses but not the right to cross-examine them. However, either party may suggest questions to the committee and request that the questions be asked of the committee or witnesses, and will be provided with explanations if the questions are not posed. Both parties also have the right to review any documents or other evidence considered by the committee and to rebut any evidence presented as part of his or her defense. The Associate Provost may assist the committee in the hearing process, but will not take part in the deliberations.

Investigative or Hearing Findings and Disciplinary Recommendations

The investigator is expected to complete the investigation and submit a decision to the Associate Provost within forty-five (45) working days from the filing of the complaint. The Associate Provost may authorize an extension of that deadline. The investigator’s determination will be made on the basis of the preponderance of the evidence, taken in its totality, and considering any attendant circumstances. 

If the investigator finds that the accused has violated the University’s Discrimination and Sexual Harassment Policy, the decision will be accompanied by a recommendation of the discipline that should be imposed. In making such a recommendation, the investigator shall consider properly established records of previous conduct and the seriousness of the violation, the totality of the information available, including the investigative records, and any extenuating or aggravating circumstances the investigator deems relevant.   

If the investigator finds that there has been discrimination, harassment, or retaliation, the Associate Provost shall forward the determination and disciplinary recommendations to the complainant, the accused, and the supervisor of the accused.

Appeal of Determination and Disciplinary Recommendations

The accused or the complainant may file an appeal of the investigator’s determination and/or disciplinary recommendations. The appeal must be in writing, should identify the specific portions of the determination appealed, and must be delivered to the Associate Provost within fifteen (15) working days of receiving notice by mail of the investigator’s determination and/or disciplinary recommendations. Issues not appealed in this time frame shall be deemed to be conceded. The Associate Provost will forward the appeal to the Appeal Officer for a final decision.

The Appeal Officer may conduct such proceedings as he or she deems appropriate, but will not normally hear the testimony of witnesses. The role of the Appeal Officer is to determine if the investigation and/or hearing was conducted in a fair manner, if the determination is consistent with the evidence, and if the disciplinary recommendations are commensurate with the charges.

The Appeal Officer will render a written decision within thirty (30) working days following receipt of the appeal, or as soon thereafter as practicable, and he or she will forward a recommendation to the Provost for approval. Once approved by the Provost, the decision will be sent to the Office of Equal Opportunity and Affirmative Action which will provide notice to the parties of the final disposition of the complaint. Such notification shall be in writing and provided to the parties within fifteen (15) working days following receipt of the Appeal Officer’s decision.

Once approved by the Provost, the decision of the Appeal Officer is not subject to further review other than the reserved right of the President and the Trustees of the University to review any decision affecting matters of overall University policy.

Disciplinary Action

The supervisor of the accused and the Associate Provost shall be responsible for acting on the disciplinary recommendations of the investigator. Within thirty (30) working days of receiving the investigator’s report (or as soon thereafter as is practicable), the supervisor and the Associate Provost shall meet to discuss the recommendations and disciplinary and/or corrective action. Following the deadline for filing an appeal or the determination on an appeal, the disciplinary recommendations will be imposed according to the appropriate University disciplinary procedure. Discipline may range from periodic monitoring of the accused by his/her supervisor to termination, where warranted, and may include required attendance at counseling or training.

Independent Investigation

The University, at the discretion of the General Counsel, may conduct an investigation independent of or in addition to the procedure provided herein at any time. The investigation may involve complaints or allegations concerning discrimination or sexual harassment against the University or any of its employees or students.

 

 

 

University of Colorado Policies

Procedures

Reports or complaints pursuant to this Policy will be addressed and resolved as promptly and as practicable after the complaint or report is made. Ordinarily, investigations will be concluded and reports submitted to the standing review committee no later than 90 days following the receipt of a complaint. Ordinarily, the final report will be sent to the Chancellor no later than 30 days after the standing review committee’s receipt of the draft report of the investigation.

  1. Investigation Process

    1. The DH Officer shall determine the most appropriate means for addressing the report or complaint. Options include but are not limited to: (1) investigating the report or complaint in accordance with paragraphs A.3. through A.7. below; (2) with the agreement of the parties, attempting to resolve the report or complaint through a form of alternative dispute resolution (e.g., mediation); or (3) determining that the facts of the complaint or report, even if true, would not constitute a violation of this Policy.

      The DH Officer may designate another individual (either from within UCB, including an administrator, or from outside UCB) to conduct or assist with the investigation or to manage an alternative dispute resolution process. Outside investigators shall have relevant training, qualifications and experience. Anyone designated to address an allegation must adhere to the requirements of this Policy and confer with the DH Officer throughout the investigation.

    2. All reports or complaints shall be made as promptly as possible after the occurrence. A delay in reporting may be reasonable under some circumstances; however, an unreasonable delay in reporting is an appropriate consideration in evaluating the merits of a complaint or report.

    3. If an investigation is conducted, the complainant and respondent shall have the right to:

      1. Receive written notice of the report or complaint, including a statement of the allegations, as soon after the commencement of the investigation as is practicable and to the extent permitted by law;

      2. Present relevant information to the investigator(s); and

      3. Receive, at the conclusion of the investigation and appropriate review, a copy of the investigator’s report, to the extent permitted by law.

    4. The Chancellor, the respondent’s appointing authority/disciplinary authority and the respondent’s supervisor shall be notified that an investigation is taking place. The DH Officer shall advise the respondent’s supervisor whether the respondent should be relieved of any supervisory or evaluative authority during the investigation. If the respondent’s supervisor declines to follow the recommendation of the DH Officer, s/he shall send a letter explaining the decision to the Chancellor with a copy to the DH Officer.

    5. At the conclusion of an investigation, the investigator shall prepare a written report that shall include a statement of factual findings and a determination of whether this Policy has been violated. The draft report shall be presented for review to the standing review committee.

    6. The standing review committee may consult with the investigator, consult with the parties, request that further investigation be done by the same or another investigator, or request that the investigation be conducted again by another investigator. The standing review committee may adopt the investigator's report as its own or may prepare a separate report based on the findings of the investigation. The standing review committee may not, however, conduct its own investigation or hearing. Once the standing review committee has completed its review, the investigator shall send the final report to the complainant and respondent, to the extent permitted by law. The final report shall also be sent to the respondent’s supervisor, appointing authority/disciplinary authority and the Chancellor.

    7. The appointing authority/disciplinary authority must initiate formal action against that individual if s/he was found to have violated this Policy or acted inappropriately or unprofessionally. The appointing authority/disciplinary authority, Office of Judicial Affairs, and other administrators with a need to know, may have access to the investigative records and may consult with the investigator in order to take appropriate action. The appointing authority/disciplinary authority shall inform, in writing, the DH Officer and the Chancellor of the action taken against the individual(s) who have violated this Policy or who have behaved inappropriately or unprofessionally. If no disciplinary action is taken, the DH Officer shall inform the Chancellor.

    8. In all cases, the DH Officer shall retain the investigator’s report for a minimum of three (3) years or for as long as any administrative or legal action arising out of the complaint is pending. In the case of a student respondent(s), records will be retained according to policies administered by the Office of Judicial Affairs.

    9. All records of discrimination, harassment and related retaliation reports and investigations shall be considered confidential and shall not be disclosed publicly except to the extent required by law.

  2. Complaints Involving Two or More University of Colorado Campuses

    When an alleged Policy violation involves more than one University of Colorado campus, the complaint shall be handled by the campus with disciplinary authority over the respondent. The campus responsible for the investigation may request the involvement or cooperation of any other affected campus and should advise appropriate officials at the affected campus of the progress and results of the investigation.

  3. Complaints By and Against University Employees and Students Arising in an Affiliated Entity. 

    UCB employees and students sometimes work or study at the worksite or program of another organization affiliated with UCB. When a Policy violation is alleged by or against UCB employees or students in those circumstances, the complaint shall be handled as provided in the affiliation agreement between UCB and the other entity. In the absence of an affiliation agreement or a provision addressing this issue, UCB may, in its discretion, choose to: (1) conduct its own investigation; (2) conduct a joint investigation with the affiliated entity; (3) defer to the finding of an investigation by the affiliated entity where the University has reviewed the investigative process and is satisfied that it was fairly conducted; or (4) use the investigation and findings of the affiliated entity as a basis for further investigation.

  4. No Limitation on Existing Authority 

    No provision of this Policy shall be construed as a limitation on the authority of an appointing authority/disciplinary authority under applicable policies and procedures to initiate appropriate action. If an individual is disciplined for conduct that also violates this Policy, the conduct and the discipline imposed shall be reported to the appropriate DH Officer. If an investigation is conducted under this Policy and no Policy violation is found, that finding does not prevent discipline of the respondent for inappropriate or unprofessional conduct under other applicable policies and procedures.

  5. Annual Report

    The DH Officers shall maintain an annual report documenting: (1) the number of reports or complaints received pursuant to this Policy; (2) the categories of those involved in the allegations; (3) the number of Policy violations found; and (4) examples of sanctions imposed for Policy violations.

  6. Education

    UCB will broadly disseminate this Policy, distribute a list of resources available to respond to concerns of Protected Class discrimination, harassment and related retaliation and develop and present appropriate educational programs for students and employees.

 

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