Resident and Fellow Policy ManualUniversity Policies - Harassment and Discrimination:The University of Rochester Personnel Policy/Procedure Policy: 106 Revised: 2/07 Applies to: All Faculty, Staff and Students I. Preamble and Equal Opportunity Statement The success of the University of Rochester depends on an environment that fosters vigorous thought and intellectual creativity. It requires an atmosphere in which diverse ideas can be expressed and discussed. The University of Rochester seeks to provide a setting that respects the contributions of all the individuals composing its community, that encourages intellectual and personal development, and that promotes the free exchange of ideas. To help establish and perpetuate an inclusive and open environment, all members of the University community are expected to support the University’s Equal Opportunity Statement:
II. Policy Against Discrimination and Harassment Any behavior, including verbal or physical conduct, that constitutes discrimination against or harassment of any student, faculty or staff member of the University community in any form is prohibited. Retaliation is prohibited in any form against a person because he or she complained about conduct reasonably believed to be discrimination or harassment. III. Policy Enforcement All members of the University community (including faculty, staff and students) and all visitors (including patients and vendors) to University facilities and property (including, but not limited to, the campus, Medical Center campus including Strong Memorial Hospital, Eastman School of Music, Memorial Art Gallery and offsite offices of faculty physicians) and at University sponsored activities must comply with this Policy Against Discrimination and Harassment while on University premises or at University events. The University is committed to preventing unlawful discrimination, harassment and retaliation. Upon learning that such conduct has occurred, the University will take the necessary corrective action to prevent such conduct from reoccurring in the future. Violation of the Policy may result in disciplinary action up to and including separation from the University and/or exclusion from University programs and facilities. Individuals who complain about conduct reasonably believed to be an act of discrimination or harassment will be protected from retaliation for making a complaint. The University can only act to prevent unlawful discrimination, harassment and retaliation from reoccurring in the future if it is aware of such conduct. Therefore, each member of the University community must report discrimination, harassment or retaliation in accordance with the procedures described in Section V. The Policy is not intended to regulate the content of speech, discussion and debate in the classroom, on Campus or in any University forum. It is not intended to regulate artistic and visual arts expression. The University will protect academic freedom and artistic expression in administering the Policy. Using speech to discriminate against those protected by this policy or speech that creates a hostile learning, working or campus living environment for those protected by this policy is prohibited. IV. Definitions/Examples
Discrimination is (1) any conduct (2) that adversely affects or impacts an individual’s or group’s ability to function and participate as a member of the University community (3) because of their age, color, disability, ethnicity, marital status, military status, national origin, race, religion, sex, sexual orientation, veteran status, or other status protected by law, or because of their perceived or actual affiliation or association with such individuals or groups. Discrimination includes any behavior that is unlawful discrimination under applicable New York State and/or federal law. Examples of prohibited discrimination include, but are not limited to, exclusion from or denial of access to services and/or resources on the grounds of a person’s age, color, disability, ethnicity, marital status, military status, national origin, race, religion, sex, sexual orientation, or veteran status.
Harassment is (1) any unwanted conduct (2) that is intended to cause or could reasonably be expected to cause an individual or group to feel intimidated, demeaned, abused or fear or have concern for their personal safety (3) because of their age, color, disability, ethnicity, marital status, military status, national origin, race, religion, sex, sexual orientation, veteran status, or other status protected by law or because of their perceived or actual affiliation or association with individuals or groups identified by such characteristics and (4) that could reasonably be regarded as so severe, persistent, or pervasive as to disrupt the living, learning, and/or working environment of the individual or group. Harassment includes any behavior that is unlawful harassment under applicable New York State and/or federal law. Examples of harassment can include, but are not limited to, unwanted physical contact or threats of physical contact, intimidation, stalking, degrading and derogatory words, graffiti, pictures, jokes, epithets, statements or stereotyping activities as well as other forms of verbal, visual or written messages of intimidation.
Sexual Harassment is Harassment as defined in B that involves unwelcome conduct of a sexual nature. Depending on the circumstances, the following types of behavior may constitute Sexual Harassment:
Section III C. of the Faculty Handbook deals with Consensual Relations and reads: “The University of Rochester strongly discourages any sexual or amorous relationships between members of the University community and those students over whom they have a direct, current supervisory or evaluative relationship. Such relationships, even when consensual, are problematic because they may result in favoritism or the perception of favoritism, which imperils the integrity of the educational environment. Such relationships may also lead to charges of sexual harassment.”
Retaliation is any materially adverse action by the University that punishes a person for complaining about discrimination or harassment. To be prohibited retaliation the action must (i) have occurred because of the complaint and (ii) would dissuade a reasonable person from complaining about harassment or discrimination. Examples of retaliation can include, but are not limited to, the following actions by the University when taken to punish or disadvantage an individual who has complained about discrimination or harassment to the University:
V. Procedures
The University takes all complaints of unlawful discrimination, harassment or retaliation very seriously. The University will take appropriate measures to prevent unlawful discrimination, harassment or retaliation. A person who believes he or she has experienced harassment, discrimination or retaliation or is aware of such conduct occurring to another must report it and may choose formal or informal means to address the issue (described in the following sections.) However, only the formal resolution process, initiated by filing a formal complaint, can result in disciplinary action taken by the University against another individual. No one will be required to make complaints under this Policy to anyone who may be the subject of a complaint or with whom the individual making the complaint is otherwise uncomfortable. A supervisor or person with managerial authority who observes or learns of alleged unlawful harassment, discrimination or retaliation must inform Human Resources if the alleged conduct was by a staff member, the relevant Dean if the conduct was by a faculty member, or the applicable Dean of Students Office if by a student.
University Intercessors are counselors available to students, staff, or faculty to discuss complaints or questions about discrimination, harassment, retaliation and related issues and to educate the University community about such matters. An intercessor may be consulted to help further direct an individual with a complaint or mediate or otherwise informally resolve an issue of possible discrimination, harassment or retaliation. Intercessors may help mediate or facilitate an informal resolution of a problem. However, Intercessors do not have the power themselves to take corrective action. Speaking to an Intercessor, although perhaps very helpful in resolving an issue, cannot result in disciplinary or corrective action taken against another individual. Speaking to an Intercessor does not constitute making a formal complaint and is not official notice to the University that there is a potential problem – that can only be done by means of the formal complaint process described in the next section. Intercessors will, to the extent permitted by law, honor requests to keep matters confidential and take no further action, but if the Intercessor determines that there may be threat of future harm or a pattern of discriminatory or harassing behavior, he or she must report the incident to responsible University Official with the authority to investigate and take corrective action.
Any University employee, faculty member or student who believes that he or she has experienced or knows of conduct reasonably believed to be discrimination, harassment or retaliation as defined in this policy should make a formal complaint to the University. To do so, he or she must fill out a complaint form or ask an Intercessor, Human Resources, Dean or Department manager to fill out and process a complaint on their behalf. Complaint forms are available on the University’s Human Resources web page or from any Human Resources, Intercessor or Dean’s Office. The completed form must be given to one of the following: (1) any part of the Human Resources Office (2) any Dean’s Office (3) the Provost’s Office, (4) any Dean of Students Office or (6) an Intercessor. If the complaint is received by an administrator who is not the relevant administrator to process the complaint, the administrator promptly shall convey the complaint to the appropriate responsible Official (see following paragraph). A responsible Official (“the Official”) will act on all formal complaints that allege conduct reasonably believed to be unlawful discrimination, harassment or retaliation in as timely a manner as possible under the circumstances. If the complaint is against a staff person, the Official will be the Dean is employed in a school, the Director if employed in LLE and MAG, the CEO of Strong Memorial Hospital if employed in the hospital, or the Vice-President of the division if employed in an administrative unit (if the complaint is against the relevant Official, the Provost will appoint a Vice-President without a conflict to act as the Official to consider the complaint). If the complaint is against a faculty member or concerns a faculty process or department, the Official will be the Dean of the school where the faculty member complained about holds a primary appointment or where the process occurred or department resides (if the complaint is against the Dean, the Provost will be the Official to consider the complaint). If the complaint is against a student, the Official will be the Dean of Students or other administrator designated as responsible for student discipline in the school where the student is enrolled (if the complaint is against the Dean of Students or administrator so acting, the Official to consider the complaint will be the Dean of the relevant school). The Deans of Students (or administrator designated to handle student discipline) will follow established student disciplinary procedures to resolve complaints against students. The University can and will take whatever immediate, temporary actions it deems necessary under the circumstances to prevent any harm or further misconduct while an investigation of a complaint is being conducted. When a complaint is against staff or faculty, as promptly as possible under the circumstances after receiving the written complaint, the Official should forward the complaint to Human Resources and to the Office of counsel. Office of counsel will assign an Investigator, a neutral staff member who is charged with responsibility for conducting an impartial investigation of the facts underlying the complaint. The Investigator will provide a copy of the complaint to the respondent and will give him or her an opportunity to present information to the Investigator. The Investigator will interview the complainant and the respondent and will speak with such other people and review such information as the Investigator deems relevant. The Investigator, as the agent of the Responsible Official, may require staff, faculty and students to answer questions and give information. The Investigator will ask the complainant, the respondent and any witnesses to sign written statements. The Investigator also may interview other people who the complainant or the respondent believes have knowledge of facts and circumstances relevant to determining the issue raised in the complaint. Generally within 45 business days after receiving the complaint from the Official, the Investigator will make a written report of findings to the Official. The Investigator’s role is not to recommend a response to the complaint or a sanction, but to present the facts based on the investigation, including a full copy of any written statements gathered. The Official may ask the Investigator to find further facts, or may make a decision based on the Investigator’s report (generally within five business days of receiving it), and in most cases, will share the report and decision, including any intended corrective action, with both the complainant and respondent. The decision must be communicated in writing to both the complainant and the respondent, even if it is also communicated orally. Either the respondent or the complainant may appeal the Official’s decision within 15 business days of that decision. Appeals for cases in which the accused is a staff member are to the Vice Presdient/Secretary of the University. Appeals for cases in which the accused is a faculty member are to the Provost. The puyrpose of the appeal is not to have a second investigation or review all the facts, but is limited to considering (1) evidence not previously available to the Investigator or the Official; (2) material defects in the process leading to the Official’s decision; or (3) severity or appropriateness of the Official’s intended corrective action. An appeal must take the form of a written request delivered to the Vice President/Secretary or the Provost stating the basis for the appeal. The Vice President/Secretary or Provost will obtain the written record of the investigation and decision from the deciding Official. A decision on the appeal will be issued in writing normally within 15 business days after the day the appeal document is received. The decision of the Vice President/Secretary or the Provost, as the case may be, shall be final. A copy of the decision on the appeal will be given to the respondent, the complainant, the Official who made the original decision, Human Resources, the Office of Counsel and any person with a need to know for purposes of implementing the decision. Staff and faculty may not use the Human Resources Grievance Procedure (policy 160) or the Faculty Handbook grievance procedures to complain about harassment, discrimination or related retaliation or to challenge a decision on such matters by the Official, the vice President and Secretary or Provost. All complaints involving harassment, discrimination or related retaliation are to be handled under the processes set forth in this Policy. However, no faculty member’s tenure can be revoked or contract abrogated without following the tenure revocation process outlined in the Faculty Handbook. Confidentiality University administrators and staff dealing with allegations of harassment, discrimination or retaliation understand the importance of confidentiality and will not disclose information learned in connection with an allegation or investigation except on a need to know basis in order to investigate and resolve the allegations or complaint. University administrators and staff, however, have a duty to investigate an allegation of discrimination, harassment or retaliation that comes to their attention and investigations generally require obtaining information from people who know about the alleged event. Individuals who want to discuss a possible incident of discrimination or harassment with more assure of confidentiality should contact:
These counseling sources do not have the authority to investigate or officially take action to resolve complaints. Individuals who want to discuss a possible incident of discrimination, harassment or retaliation in order to determine whether to report the incident for investigation may want to contact an Intercessor. Intercessors are counselors who understand the importance of confidentiality and who will, to the extent permitted by law, honor requests to take no further action. However, if the Intercessor determines that there may be some threat of future harm or a pattern of discriminatory or harassing behavior, he or she may report the incident to a University Official with the authority to take corrective action. Intercessors do not themselves investigate complaints or take corrective action, although they can mediate resolutions between involved parties with the parties assent. Records The Office of Human Resources (HR) is charged with the responsibility to keep written records of all formal complaints alleging harassment or discrimination against staff and faculty and their resolution. Such records will be kept in a confidential file, separate from the respondent’s personnel or department file. The University Investigator must provide a copy of his or her written findings to HR. The Official and, if there is an appeal, the Vice President/Secretary or Provost must also provide HR with a copy of their written decisions. If disciplinary action is taken, the personnel file will reflect that action. Records of formal complaints against students will be kept in a confidential file in the office of the administrator in the relevant school charged with oversight of student affairs. Records will be maintained for six years. Time Limits and Temporary Protection Remedies Where specific times are mentioned in this Policy within which actions are to occur, the specific times are not meant to be rigid limits. Variations in the time it takes to handle or decide matters may occur for different reasons, depending on availability of witnesses, information, or other valid factors. All personnel charged with acting on complaints under this policy shall use good faith to accomplish their work as quickly as time and circumstances allow. If final resolution of a complaint is delayed or if under the circumstances it appears more prudent in order to protect the working, learning or living environment for the complainant, the respondent or others, temporary actions or arrangements may be put in place by the relevant Official or the administrator in the school charged with oversight of student affairs during the period after the incident through the final determination of the complaint which include, but not limited to, placing the respondent on temporary leave of absence, changing working, learning or living arrangements, or imposing conditions on the complainant, the respondent or others involved in the relevant University environment. Harassment or Discrimination by Non-University Personnel The Director’s Office at Strong Memorial Hospital will investigate, make decisions and take appropriate corrective action in the event that a patient or visitor to the hospital is accused of discrimination or harassment against University staff, faculty or students. The Sr. Vice President for Finance and Administration will investigate, make decisions and take appropriate corrective action in the event that a visitor or vendor is accused of discrimination or harassment against University staff, faculty or students. The University has the right to remove individuals from University property and events and to bar individuals from future access to University property or attendance at University events. This right includes, but is not limited to, circumstances in which the individual has been accussed of, or found responsible for, discrimination or harassment while on University property or in attendance at a University event.
The Committee on Inclusion and Diversity is an ad hoc committee that can be convened by the President in response to apparent incidents of discrimination or harassment. The membership of this Committee normally includes people from the following list: Intercessor, Representative of the Dean or Director of the division in which the alleged incident occurred or to which the individuals involved are most closely related, Associate Vice President for Human Resources, Human Resources Manager for Diversity and Inclusion, Chair of the College Diversity Roundtable (if the event involves the College) or person holding a similar position in another School, Vice Provist for Faculty Development and Diversity, Chair of the Campus Safety Advisory Committee, Director of the Interfaith Chapel, Director of University Facilities and Services and such other individual student, staff or faculty representatives as the President considers appropriate to the specific circumstances. The Committee can meet with interested members of the University community to provide an opportunity for those who wish to express publicly their concerns and reactions to the incident, to decide if a community response is appropriate and to recommend such response, and to make a report to the President and the greater University community. The report may include recommendations for educational programs and efforts to facilitate understanding of the issues and circumstances that can lead to discrimination, harassment and misunderstanding in our diverse University environment and other initiatives to advance the Institution’s educational mission and an inclusive environment. Referral of an incident to the Committee will occur only with the consent of the complaintant(s) involved or following the incident becoming a matter of widespread community knowledge and concern. Consideration by the Committee will not replace or limit the University investigation and action on the complaint pursuant to this Policy. See also Policies: #154 Corrective Discipline #160 Grievance Procedure
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