OF
RECORD
Dear
Penn Faculty, Students and Staff:
The
University is committed to maintaining a productive, civil
and respectful learning, working and living environment
for all faculty, students, staff, and visitors. Trust and
civility are cornerstones of our community and, consistent
with this, sexual harassment will not be tolerated at Penn.
As a premier educational institution and employer, the
University is committed to eradicating sexual harassment and
continues to undertake various efforts to address this
issue in our community. Some of these measures include:
Providing
Information, Counseling, and Support. The University
resources that offer information, counseling, and
support about the University's Sexual Harassment Policy
are listed in the Policy reprinted below. Deans, chairs,
directors, administrative unit heads, managers, and
supervisors should provide information to their respective
faculty, staff, and students about the policy.
Providing
Education and Training. Penn provides training
and education to students, faculty, and staff on sexual
harassment issues. Deans, department chairs, and heads
of administrative units are encouraged to discuss
the policy and issues of sexual harassment with faculty
and staff and provide additional educational opportunities
as needed. Similarly, students should receive information
about sexual harassment from residential advisors
and house deans. The Office of Affirmative Action
and Equal Opportunity Programs, the Division of Human Resources,
and the Penn Women's Center are some of the resources
available to provide training and education to the
community.
Addressing
and Resolving Complaints. There are many informal
and formal mechanisms available to faculty, staff,
and students to address complaints of sexual harassment.
All members of the Penn community are encouraged to
use the resources listed in the policy to address
allegations of sexual harassment. We take all allegations
of sexual harassment very seriously and will take
appropriate actions to address them.
Central
Reporting Form. To aid in the reporting of complaints,
and with the complainant's consent, all offices described
in Sections III.A. and III.B. of the policy should
complete the Sexual Harassment Policy Central Reporting
Form and forward it to the Ombudsman's office. Please
see Section III.D. of the policy for further details
on the use of this form.
Maintaining
our status as a premier research and educational institution
and an employer of choice depends on valuing the contributions
and diversity of all members of our Penn family. We encourage
all members of our community to increase their understanding
and awareness of issues of sexual harassment and continue
to undertake efforts to strengthen civility and respect
for all members of our community.
--Judith
Rodin, President
--Robert
L. Barchi, Provost
--Clifford
Stanley, Executive Vice President
Sexual
Harassment Policy
I.
Conduct
Our
community depends on trust and civility. A willingness
to recognize the dignity and worth of each person at the
University is essential to our mission.
It
is the responsibility of each person on campus to respect
the personal dignity of others. We expect members of our
University community to demonstrate a basic generosity
of spirit that precludes expressions of bigotry.
Penn
properly celebrates the diversity of its community. We
come to Penn from many different backgrounds and include
different races, religions, sexual orientations, and ethnic
ancestries. Learning to understand the differences among
us, as well as the similarities, is an important dimension
of education, one that continues for a lifetime. Tolerance
alone, however, is not enough. Respect and understanding
also are needed. We should delight in our differences,
and should seek to appreciate the richness and personal
growth which our diversity provides to us as members of
this community.
The
University is committed to freedom of thought, discourse
and speech, and the attainment of the highest quality of
academic and educational pursuits and daily work. Policies
and regulations implementing this commitment include the
Statement on Academic Freedom and Responsibility, the Guidelines
on Open Expression, and the Code of Academic Integrity.
The
University also has established policies on behaviors that
interfere with these freedoms. Foremost among these policies
is the University's Statement on Non-Discrimination, which
prohibits discrimination on the basis of race, color, sex,
sexual preference, religion, national or ethnic origin,
handicap or disability.
The
University also has adopted the following policy concerning
sexual harassment. The terms "harassment " and "sexual
harassment" as used throughout, are defined as a matter
of University policy, and are not necessarily identical
or limited to the uses of that term in external sources,
including governmental guidelines or regulations.
II.
Purposes and Definitions
A. Purpose
For
many years the University has stressed that sexual harassment
is not tolerated at Penn. As an employer and as an educational
institution, the University is committed to eradicating
sexual harassment.
Sexual
harassment in any context is reprehensible and is a matter
of particular
concern to an academic community in which students, faculty,
and staff must rely on strong bonds of intellectual trust
and dependence.
B.
Definition
For
the purposes of University policy, the term "sexual
harassment" refers to any unwanted sexual attention
that:
1. Involves
a stated or implicit threat to the victim's academic or
employment status;
2. Has
the purpose or effect of interfering with an individual's
academic or work performance; and/or;
3. Creates
an intimidating or offensive academic, living, or work
environment.
The
University regards such behavior, whether verbal or physical,
as a violation of the standards of conduct required of
all persons associated with the institution. Accordingly,
those inflicting such behavior on others are subject to
the full range of internal institutional disciplinary actions,
including separation from the University. Likewise, acts
of retaliation will be subject to the same range of disciplinary
actions.
As
noted in the Handbook for Faculty and Academic Administrators,
Policies and Procedures, the Academic Bulletin, and
other University publications, persons engaged in such
harassment within the University setting are subject to
the full range of internal institutional disciplinary actions,
including separation from the institution.
Not
every act that might be offensive to an individual or a
group necessarily will be considered as harassment and/or
a violation of the University's standard of conduct. In
determining whether an act constitutes harassment, the
totality of the circumstances that pertain to any given
incident in its context must be carefully reviewed and
due consideration must be given to the protection of individual
rights, freedom of speech, academic freedom and advocacy.
III.
Resources
School
and administrative units should make known to all of their
members the available resources and the informal and formal
procedures for resolving complaints of sexual harassment
within the unit or at the University level. These resources
include the following:
A. Information,
Counseling, and Support
The
following University resources are available to members
of the University community who seek information and counseling
about University policies on sexual harassment, standards
of behavior, informal and formal mechanisms for resolving
complaints and resources for complainants and respondents.
Deans
and directors may also make referrals to these resource
offices:
- Office
of Affirmative Action and Equal Opportunity Programs
- African
American Resource Center
- PBH
Employee Assistance Program
- Lesbian
Gay Bisexual Transgender Center
- Office
of Labor Relations
- Office
of the Ombudsman
- Office
of Staff Relations
- Special
Services
- Penn
Women's Center
- Student
Health Services
- Counseling
and Psychological Services
- Office
of the Vice Provost for University Life
B. Informal
Mechanisms for Mediation and Resolution
The
Ombudsman, the Office of Affirmative Action, the Penn Women's
Center, all other offices named as resource offices in
this policy, the Office of Student Conduct, the Office
of Residential Living, department chairs, deans and administrative
directors, the provost, and the senior vice president are
available to assist in the informal resolution of complaints.
C. Formal
Mechanisms for Resolution and Adjudication
When
informal resolution is not chosen or is unsatisfactory,
complainants are urged to use appropriate formal mechanisms
described below:
1. Complaints
of sexual harassment against a faculty member, instructor,
or teaching assistant may be brought by a student, staff,
or faculty member to the department chair or dean of the
faculty member. The department chair or dean who receives
a complaint is then charged with pursuing the matter. While
the process depends on the particulars of the complaint,
normally the department chair or dean interviews the faculty
member. If the matter is not resolved informally, the department
chair or dean either conducts an investigation or requests
that the Ombudsman, the Office of Affirmative Action, the
Office of Staff Relations, or the Office of Labor Relations
do so. If the results of the investigation persuade the
dean or department chair that sanctions are warranted,
he/she consults with faculty members--without disclosing
the identity of the individuals involved--to aid in determining
an appropriate sanction, including whether there is substantial
reason to believe that just cause exists for suspension
or termination. If it is determined that action should
be taken to suspend or terminate, the dean should refer
the matter to the Committee on Academic Freedom and Responsibility
of the school in accordance with the procedures set out
in section II. E.16 of the Handbook for Faculty and
Academic Administrators (see www.upenn.edu/assoc-provost/handbook/ii_e_16.html).
2. Complaints
of sexual harassment against a staff member may be brought
by a student, staff member or faculty member to the supervisor
of the person complained against. The supervisor who receives
the complaint is then charged with pursuing the matter.
While the process will depend on the particulars of the
complaint, normally the supervisor interviews the staff
member. If the matter is not resolved informally, the supervisor
either conducts an investigation or requests that the Ombudsman,
the Office of Affirmative Action, the Office of Staff Relations,
or the Office of Labor Relations do so. If the result of
the investigation persuades the supervisor that sanctions
are warranted, he or she consults with his or her colleagues
or supervisor--without disclosing the identity of the individual(s)
involved to aid in determining an appropriate sanction.
A staff member who believes that his or her rights have
been violated directly by another staff member or administrator
may file a grievance by contacting the Office of Staff
Relations within the Office of Human Resources under the
University of Pennsylvania Staff Grievance Procedure.
3. Complaints
by students of sexual harassment may be made to the Office
of the Vice Provost for University Life. Grievances associated
with sexual harassment in student employment may also fall
within the purview of the Vice Provost for University Life.
4. A
complaint of sexual harassment may be brought against a
student by filing a complaint under the Charter of the
University Student Judicial System, or, if the respondent
is a graduate or professional student enrolled in a school
which has established a hearing board or other decision-making
body, with that body.
5. A
tenured or untenured faculty member, whether full or part
time, who believes she or he has been subjected to sexual
harassment by a faculty member or by an academic administrator
may file a grievance under the Faculty Grievance Procedure, Handbook
for Faculty and Academic Administrators, part II E.
12, (see www.upenn.edu/assoc-provost/handbook/ii_e_12.html)
provided the complaint constitutes a grievance as defined
in Section I of the Procedure. This procedure is administered
by the Faculty Grievance Commission. The panel makes its
recommendations to the provost. In cases that involve reappointment,
promotion or tenure, and in which the provost has declined
or failed to implement the recommendations of the panel
to the satisfaction of the grievant, the grievant may obtain
a hearing before the Senate Committee on Academic Freedom
and Responsibility on the actions of the provost.
6. If
the matter has not previously been referred to a different
panel or committee, a student or staff member who believes
that she or he has been subjected to sexual harassment
by a faculty member, and whose complaint has not been resolved
through the mechanisms listed above, may bring the matter
to the Faculty Senate Committee on Conduct. This committee
is a standing committee of the Faculty Senate. At meetings
with the Committee, the student or staff member may be
accompanied by an advisor who is a member of the University
community (student, faculty or staff). The findings and
recommendations of the Committee shall be advisory and
shall be submitted to the provost for her or his decision
and implementation.
D. Central
Reporting
of Sexual Harassment
1. A
decentralized system of resources encourages the reporting
and resolution of complaints of sexual harassment. To that
end, and with the consent of the complainant, those offices
described in Sections III.A and III.B of this policy that
have handled through mediation or counseling a complaint
that was not submitted to a formal hearing board should
forward to the Ombudsman a report (see www.upenn.edu/almanac/v48pdf/020108/SH-form.pdf) of
the matter as soon as it is received. Such reports should
not include the names of the persons involved. They should
include, however, a description of the complaint, the schools
or administrative units with which the complainant and
respondent are affiliated, and the disposition of the complaint.
In the case of a large department in a large school, the
department also should be identified. Reports from decentralized
areas will enable the Ombudsman to identify patterns in
a particular location and the frequency of such incidents
in a given area. Such information can then be transmitted
to the appropriate dean or administrative supervisor. The
reports will also enable the Ombudsman to act on behalf
of the community and to conduct whatever investigation
he or she deems necessary to determine whether University
regulations are being violated.
2. Summary
reports of formal charges of sexual harassment that have
been adjudicated and records of their disposition should
be forwarded to the Ombudsman's Office as a matter of information
by the resource offices named in this policy.
3. Based
on the information forwarded to her or him during the previous
year, the Ombudsman shall submit to the president on an
annual basis a summary report of the number and type of
formal and informal charges of sexual harassment and their
resolution by September 15 of the academic year. This report
will be shared with the University community early in the
semester.
E.
Education and Prevention
The
prevention of sexual harassment and the establishment of
effective procedures with due concern for all parties require
a thoughtful educational program.
1. University
resource offices will provide to the community information
on: (a) available mediation and resolution resources; and
(b) sources of support and information for victims and
respondents.
2. Deans
and heads of major administrative units are encouraged
to discuss this policy and issues of sexual harassment
at meetings of faculty and staff.
3. Training
programs for residential advisors, senior administrative
fellows, those who meet students in crisis situations and
others serving in an advisory capacity to students will
include training about referrals, resources, and methods
for handling instances of sexual harassment.
4. An
overall educational program for students that addresses
issues of peer sexual harassment and also provides information,
definition, support, and the identification of sexual harassment
resources has been developed by the Office of the Vice
Provost for University Life, the Office of Affirmative
Action, and the Penn Women's Center in conjunction with
the Office of Residential Living, the Council of College
House Masters, and the Council of Senior Faculty Residents
involved with the Freshman Year Program. Such an educational
program is directed toward new undergraduate and graduate
and professional students.
5. The
University will publish annually the operative portions
of this policy statement, including information about the
resources available to advise, counsel, and assist in the
mediation of sexual harassment allegations. Information
will explain how and where to contact University-wide and
school-specific resources and will be posted in conspicuous
locations. All members of the University should feel a
responsibility to try to prevent sexual harassment whenever
they observe it. Community members should report sexual
harassment to appropriate University resources promptly
for appropriate action.
F. Exit
Interviews
Deans
and administrative directors will periodically survey departing
students, faculty and staff to measure the existence and
frequency of reports of sexual harassment. Based on the
data yielded by these surveys and the annual reports of
the Ombudsman, the University administration will determine,
in consultation with the University Council, whether there
is a need for further efforts to be taken on the issue
of sexual harassment.
G. Implementation
Deans
and administrative directors will be responsible for the
implementation of this policy. The provost and senior vice
president will oversee the performance of deans and directors
in the implementation of this policy.
Almanac, Vol. 49, No. 18, January 21, 2003
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