HANDLING SEXUAL HARASSMENT COMPLAINTS

The University has established guidelines for addressing and resolving complaints of unlawful discrimination and harassment and rape/sexual assault, which apply to sexual harassment complaints. These guidelines address only the available University procedures, and do not include other processes that may be available under federal, state, or local law. The University guidelines are set forth below.

I. Introduction

The purpose of this section is to clarify the University's policy and procedures for responding to sexual harassment and community members' options in the event an incident occurs. As explained below, the University provides community members with two types of resources: confidential counseling and reporting offices. Each type is offered at several different locations within the University.

A community member may seek confidential counseling; opt to make a report and seek informal resolution; file a complaint and seek formal resolution; or pursue any combination of the three foregoing options. Counseling is considered to be confidential and will not, by itself, trigger further University action. Reports, on the other hand, will be kept confidential only to the extent consistent with the University's obligation to investigate and address complaints. These points are explained in greater detail below. In addition, this guidance lists the counseling and reporting offices of the University available to community members.

Community members also are advised to refer to the University's Sexual Harassment Policy, most recently republished in the March 15, 2005 Almanac (vol. 51, no. 24). The University's Acquaintance Rape and Sexual Violence Policy is available online at http://www.vpul.upenn.edu/osl/acqrape.html .

II. University Resources

All members of the University community should be aware of the many University resources available to victims of unlawful discrimination or harassment or sexual assault. These are internal to the University, and they fall into two categories: confidential counselors and reporting offices. They are described below.

Community members also should be aware that similar resources are available to all victims of unlawful discrimination or harassment, not just sexual harassment. Discrimination or harassment on the basis of race, national origin, religion, sexual orientation, gender identity, or any other characteristic protected by applicable law is against University policy.

• A. Confidential Counselors

Faculty, staff, and students who believe that they, or someone they know, have been a victim of discrimination, harassment, or rape/sexual assault may seek advice, counseling, or support from any of the resources listed below. Conversations with these offices are considered confidential, to the extent permitted by law. These offices may provide support, information, options, and counseling. To protect the confidential nature of these discussions, all parties should be aware that discussing a matter with any of these offices is not considered a report to the University or a request that any action be taken by the University in response to any allegation.

Representatives of these offices, moreover, should advise any person initiating the discussion that in order to trigger University action or a response, the person must report the incident to one of the reporting offices listed below. A confidential counselor may also support the community member throughout any aspect of the reporting processes described below.

In any case involving an allegation of rape/sexual assault, the Special Services Unit, Department of Public Safety, should always be involved. The Unit's role includes explaining options available through the criminal process.

• B. Reporting Offices

Any community member may seek advice from one of the confidential counselors listed above. To seek redress, however, either the community member or his or her confidential counselor (with the individual's consent or upon the individual's request) must report the incident to a person or office which has the responsibility to take further action. These persons and offices are listed below.

These reporting offices will keep reports confidential, but only to the extent consistent with the University's need to investigate the allegations and to take remedial action, if appropriate.

Not all reporting offices will actually conduct investigations, nor are all empowered to take remedial action. Once it is made aware of a complaint, however, it is a reporting office's responsibility to ensure that appropriate action is taken by the office best able to handle the particular matter. For example, Department Chairs, directors, and supervisors should contact their Dean's office or the Office of Staff and Labor Relations for advice on how to proceed.

After making a report, the community member may pursue informal or formal resolution, or both. What constitutes informal resolution and formal resolution is described below.

III. Resolution of Reports

• A. Informal Resolution

If the community member wants to resolve the matter informally, the reporting office may arrange for mediation or negotiation or some other form of voluntary resolution. Certain reporting offices, to the extent consistent with University policy and practice, may also issue sanctions or discipline.

Any reporting office identified above may be involved in informal resolution. Where appropriate, the reporting office may ask another reporting office to investigate or resolve the matter. In the usual case, the appropriate Dean or Deans of the school or schools involved should be advised of the matter.

• B. Formal Mechanisms for Complaint Resolution

If a faculty member, student or staff member chooses not to pursue informal resolution, or if informal resolution fails, then the community member may pursue formal action. Formal action is initiated by filing a written complaint with a reporting office. The community member must sign the complaint and include in it what he or she believes to be the relevant facts. The University will investigate the complaint, which may include advising persons named in the complaint, and will take remedial action, if appropriate.

The University must ensure that investigations conform to University policy. The process must also be fair to both the person filing the complaint and any person(s) named in the complaint. The Office of General Counsel is available for consultation regarding the law and University policy.

While procedures may vary depending on the particular case, the usual practice will be as follows:

a. If the formal complaint is against a faculty member, it should be referred to and handled by the Dean or the Department Chair, in consultation with the Dean. The Dean or Department Chair may also involve other offices such as the Ombudsman, the Office of Affirmative Action, or the Office of Staff and Labor Relations. All actions taken must be consistent with “The Procedures Governing Sanctions Against the Members of the Faculty,” which are set forth in the Faculty Handbook.

b. If the Formal Complaint is against an undergraduate student, the Office of Student Conduct will handle the Complaint in accordance with the procedures set forth in the PennBook.

c. If the Formal Complaint is against a graduate student, the procedures followed by the school of that student will govern. Those procedures are available from the Office of the Dean or the school's designated Affirmative Action Officer.

d. If the Formal Complaint is against a staff member, the Office of Staff and Labor Relations and/or the Office of Affirmative Action will handle the Complaint, in accordance with the University's nondiscrimination, affirmative action, and Human Resources policies and procedures.

 

IV. Non-Retaliation

The University will not tolerate retaliation against an individual who in good faith reports, complains about, or participates in an investigation into an allegation of unlawful discrimination or harassment or sexual assault. Any member of the community who believes that he or she has been retaliated against should file a complaint with a reporting office.

V. Confidentiality

As the division of the University's resources into two groups – confidential counselors and reporting offices – makes clear, there are two levels of confidentiality that can apply to a discrimination, harassment, or sexual assault issue.

Conversations with confidential counselors, identified above, afford the community member the highest level of confidentiality under University policy. Members of the community who wish only to talk about their experience, gather information, learn about their options, or seek support may use the resources of these confidential counselors. The University ordinarily will not investigate statements in such conversations without the community member's consent.

A complaint made to a reporting office, on the other hand, will be confidential, but only to the extent that such confidentiality does not affect the University's investigation into and/or response to the complaint. The reporting offices' responsibility is to make sure that the University responds promptly and fairly to complaints and takes appropriate remedial action. These offices can respond to questions; provide information, support, and guidance; discuss options; and, when appropriate, refer community members to other offices.

The University always reserves the right to take any appropriate action whenever it believes there to be a substantial risk to any community member's health or safety, or to disclose information required by law or legal process.