Chapter 4 – Sexual Harassment

(President 7/28/86; 12/91; 7/1/02; 3/21/05; 12/05; 11/09; 1/18/11; 8/13; 7/15)

For additional policies and procedures that apply to sexual harassment involving students, see IV-2 Sexual Misconduct, Dating/Domestic Violence, or Stalking Involving Students.

4.1 Policy

  1. Policy and Rationale.
    1. Sexual harassment subverts the mission of the University and threatens the careers, educational experience, and well-being of students, faculty, and staff. The University will not tolerate sexual harassment, nor will it tolerate unwelcomed behavior of a sexual nature toward members of the University community when that behavior creates an intimidating or hostile environment for employment, education, on-campus living, or participation in a University activity.
    2. Sexual harassment is especially serious when an instructor harasses a student or a supervisor harasses a subordinate. In such situations, sexual harassment unfairly exploits the power inherent in an instructor's or supervisor's position. However, while sexual harassment often takes place in situations where there is an abuse of a power differential between the persons involved, the University recognizes that sexual harassment is not limited to such situations. Sexual harassment can occur when a student harasses an instructor, when a subordinate harasses a supervisor, or between persons of the same University status.
  2. Prohibited conduct. The University of Iowa forbids sexual harassment by any member of the University community.
    1. 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; or
      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.
    2. Evidence of sexual harassment. Behavior that may constitute, or be evidence of, prohibited sexual harassment includes, but is not limited to, the following:
      1. Physical assault;
      2. Direct or implied threats that submission to sexual advances will be a condition of, or that failure to submit to such advances will adversely affect, employment, work status, promotion, grades, letters of recommendation, or participation in a University activity;
      3. Direct propositions of a sexual nature or persistent unwelcomed efforts to pursue a romantic or sexual relationship, including subtle pressure for sexual activity, an element of which may be repeated staring;
      4. A pattern of unwelcomed sexually explicit gestures, statements, questions, jokes, or anecdotes, whether made physically, orally, in writing, or through electronic media (see also II-19 Acceptable Use of Information Technology Resources);
      5. A pattern of unwelcomed conduct involving:
        1. Unnecessary touching;
        2. Remarks of a sexual nature about a person's clothing or body;
        3. Remarks relating to sexual activity or speculations concerning previous sexual experience; or
        4. Stalking another person who reasonably perceives the stalker is pursuing a romantic and/or sexual relationship. Stalking of a sexual nature that is directed at a specific person that would cause a reasonable person to feel fear.
      6. A display of graphic sexual material (not legitimately related to the subject matter of a course, if one is involved, or to job requirements) 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;
      7. Domestic/dating violence.
    3. In determining whether alleged conduct constitutes sexual harassment, the investigator will consider all available information and will review 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.
    4. Expression that constitutes a protected exercise of an individual's free speech rights under the First and Fourteenth Amendments to the United States Constitution shall not be deemed a violation of this policy.
    5. Isolated behavior of the kind described in II-4.1b(2) that does not rise to the level of sexual harassment but that, if repeated, could rise to that level, demonstrates insensitivity that may warrant remedial measures. Academic or administrative officers who become aware of such behavior in their areas should counsel those who have engaged in the behavior. Such counsel should include a clear statement that the behavior is not acceptable and should cease, information about the potential consequences if such behavior persists, and a recommendation, as appropriate, to undertake an educational program designed to help the person(s) understand the harm caused by the behavior.
  3. Definitions of other terms used in this policy:
    1. "Academic or administrative officer" includes the following:
      1. Collegiate deans (including associate deans and assistant deans),
      2. Faculty members with administrative responsibilities at the level of departmental executive officer (DEO) or above,
      3. Any staff member whose primary job responsibility is to provide advice regarding a student's academic pursuits or other University-related activities,
      4. Any faculty or staff member serving as departmental (or collegiate) director or coordinator of undergraduate or graduate studies, or as a director or coordinator of any departmental, collegiate, or University off-campus academic program (including any study-abroad program),
      5. The President, Director of Equal Opportunity and Diversity, Sexual Misconduct Response Coordinator, vice presidents (including assistant and associate vice presidents), and Provost (including assistant and associate provosts), and those persons' designees,
      6. Directors and supervisors in an employment context, including faculty and staff who supervise student employees, in relation to matters involving the employees they supervise (other than Department of Public Safety personnel when receiving criminal complaints or reports), and
      7. Human resource representatives (including all central University Human Resources staff).
    2. "Alleged victim": a person who allegedly has been harassed or subjected to unwelcomed sexual behavior.
    3. "Complainant": the person who makes a report or brings a complaint alleging unwelcomed sexual behavior or sexual harassment, who could be an alleged victim, a third party, or an academic or administrative officer of the University.
    4. "Domestic/dating violence" is coercive, abusive, and/or threatening behavior toward a current or former intimate or romantic partner. These behaviors may include physical, sexual, emotional, economic, or psychological actions or threats of actions that intimidate, manipulate, humiliate, isolate, frighten, terrorize, coerce, threaten, or injure the victim/survivor. 
    5. "Graduate assistant": a graduate student employed by the University as a research assistant or teaching assistant.
    6. "Human resources representative": an individual designated as a unit's authority on human resource policies and procedures, and all central University Human Resources staff.
    7. "Instructor": a person engaged in teaching students or in evaluation or supervision, direct or indirect, of a student's academic work.
    8. "Member of the University community": any University student, or faculty or staff member.
    9. "Protected interests": University employment, education, on-campus living, or participation in a University activity.
    10. "Respondent": a person who has been accused of unwelcomed sexual behavior or sexual harassment.
    11. "Specific and credible allegations": allegations that provide factual details such as, but not limited to, time, place, actions, participants, and witnesses. Allegations do not have to be based on firsthand observation of events to be "specific and credible," but direct observation normally results in greater specificity and credibility than indirect knowledge.
    12. "Stalking" includes but is not limited to:
      1. Non-consensual communication including in-person communication, telephone calls, voice messages, text messages, email messages, social networking site postings, instant messages, postings of pictures or information on websites, written letters, gifts, ordering goods or services, or any other communications that are undesired and/or place another person in fear;
      2. Following, pursuing, waiting, or showing up uninvited at a workplace, place of residence, classroom, or other locations frequented by a complainant;
      3. Monitoring online activities, surveillance, and other types of observation, whether by physical proximity or electronic means, attempts to gather information about the complainant;
      4. Vandalism, including attacks on data and equipment;
      5. Direct physical and/or verbal threats against a complainant or a complainant's family, friends, co-workers, and/or classmates, including animal abuse;
      6. Gathering of information about a complainant from family, friends, co-workers, and/or classmates;
      7. Manipulative and controlling behaviors such as threats to harm oneself, or threats to harm someone close to the complainant;
      8. Defamation or slander against the complainant, posting false information about the complainant and/or posing as the complainant to post to websites, newsgroups, blogs, or other sites that allow public contributions, encouraging others to harass the complainant;
      9. Posing as someone other than oneself to initiate transactions, financial credit, loans, or other contractual agreements;
      10. Arranging to meet complainant under false pretenses.
    13. "Supervisor": a person who has authority either: 1) to undertake or recommend tangible employment decisions (those that significantly change an employee's employment status, such as, but not limited to, hiring, firing, promoting, demoting, reviewing performance, reassigning, and compensation decisions) affecting an employee, or 2) to direct the employee's daily work activities.
    14. "Third-party complainant": a person who makes a report or brings a complaint alleging that someone else has been subjected to unwelcomed sexual behavior or sexual harassment.

4.2 Scope of Policy

  1. Acts by employees or students. The University's prohibition of sexual harassment applies to acts of faculty, other instructors, staff, or students occurring in one or more of the following circumstances:
    1. on property owned or controlled by the University or by a student organization; or
    2. at any location, including through electronic media such as email or social networking websites, and involving any University faculty, staff, or students, provided that:
      1. the incident occurs at a University-sponsored activity or during an event sponsored by an organization affiliated with the University, including a student organization;
      2. the accused or the complainant was acting in an official capacity for the University during the incident;
      3. the accused or the complainant was conducting University business during the incident;
      4. the conduct has the purpose or reasonably foreseeable effect of substantially interfering with the work or educational performance of UI students, faculty, or staff,
      5. the conduct creates an intimidating or hostile environment for anyone involved in or seeking to participate in University employment, education, on-campus living, or other University-sponsored activities; or
      6. the conduct demonstrates that the individual poses a reasonable threat to campus safety and security.
  2. Acts by persons other than employees or students. The University will make reasonable efforts to address sexual harassment of its faculty, other instructors, staff, or students by persons participating in University-related programs or activities, conducting business with the University, or visiting the University, even if such persons are not directly affiliated with the University. Reports of sexual harassment by visitors to campus and other persons not directly affiliated with the University should be made to an academic or administrative officer, to the Office of the Sexual Misconduct Response Coordinator (319-335-6200), or to the Office of Equal Opportunity and Diversity (319-335-0705).
  3. In addition to being subject to this policy, students who engage in sexual harassment are subject to discipline under the provisions of the Code of Student Life and IV-2 Sexual Misconduct, Dating/Domestic Violence, or Stalking Involving Students.

4.3 Reports or Complaints

  1. Individuals who have experienced unwelcomed sexual behavior or sexual harassment are encouraged to report it, even if they are not certain whether a violation of this policy has occurred.
    1. Allegations of unwelcomed sexual behavior may be addressed through the informal process set out in II-4.5c of this policy even if no prohibited conduct has occurred.
    2. During formal investigations and disciplinary proceedings, the provisions of II-4.1b, including the definition of sexual harassment in that section, will be used to determine whether alleged unwelcomed sexual behavior constitutes sexual harassment in violation of this policy.
    3. Substantial weight will be given to the wishes of the alleged victim when determining how to respond to a report or complaint. However, the University may investigate the allegations, even without the alleged victim's consent, if circumstances warrant (such as when the allegations are particularly egregious or there are multiple reports of harassment involving the same person).
    4. A report or complaint must state specific and credible allegations of sexual harassment to warrant a formal investigation. There is no time limit for making allegations; however, it may be difficult to substantiate the allegations if they are made after significant time has passed. Therefore, prompt reporting is strongly encouraged.
  2. Reporting criminal activity.
    1. In addition to violating University policy, some forms of sexual harassment may constitute criminal activity. Individuals are encouraged to inform law enforcement authorities about instances of unwelcomed sexual behavior that involve violence, threatening behavior, or physical assault. Individuals are encouraged to contact law enforcement whenever they believe a crime may have been committed.
    2. The UI Department of Public Safety (319-335-5022) should be notified immediately if individuals believe there is a threat of physical harm to themselves, to other members of the University community, or to anyone on University property or attending a University-sanctioned event.
  3. Reports and complaints concerning sexual harassment of students.
    1. Students should make reports or complaints about unwelcomed sexual behavior or sexual harassment to the Office of the Sexual Misconduct Response Coordinator (319-335-6200).
    2. Any member of the University community, or a third party, may also make a report or complaint that a student has been the victim of unwelcomed sexual behavior or sexual harassment by contacting the Office of the Sexual Misconduct Response Coordinator.
    3. No University employee is authorized to investigate or resolve allegations of unwelcomed sexual behavior or sexual harassment of a student without the involvement of the Office of the Sexual Misconduct Response Coordinator.
    4. Students who would like to discuss their situations in a private environment, and share or seek information about a sexual harassment issue without making a report or complaint should consider utilizing any of the options discussed in  IV-2 Sexual Misconduct, Dating/Domestic Violence, or Stalking Involving Students, at IV-2.8 Confidentiality, and in paragraph II-4.3g of this policy.
  4. Reports and complaints concerning sexual harassment of non-student employees of the University (including any member of the faculty or staff).
    1. Employees should make reports or complaints about unwelcomed sexual behavior or sexual harassment to the Office of the Sexual Misconduct Response Coordinator, to the Office of Equal Opportunity and Diversity, or to any academic or administrative officer of the University, as defined in II-4.1c(1).
    2. Any member of the University community or a third party may also make a report or complaint that an employee has been the victim of unwelcomed sexual behavior or sexual harassment by contacting the Office of the Sexual Misconduct Response Coordinator, the Office of Equal Opportunity and Diversity, or any academic or administrative officer of the University.
    3. No University employee is authorized to investigate or resolve allegations of unwelcomed sexual behavior or sexual harassment of a University employee without the involvement of the Office of the Sexual Misconduct Response Coordinator or the Office of Equal Opportunity and Diversity.
    4. Employees who would like to discuss their situations in a private environment, and share or seek information about a sexual harassment issue without making a report of sexual harassment to the University, should consider utilizing any of the options discussed below in paragraph II-4.3g of this policy.
  5. Any academic or administrative officer of the University who observes sexual harassment or unwelcomed sexual behavior, or who becomes aware of allegations of unwelcomed sexual behavior or sexual harassment through the report of a complainant (including a third party) shall take the actions described in this section, even if the alleged victim does not wish any action to be taken.
    1. In any case in which the alleged victim of the behavior is a student the academic or administrative officer must
      1. inform the complainant that certified victim advocacy services are available from the Rape Victim Advocacy Program or the Domestic Violence Intervention Program, and
      2. refer the complainant to the Office of the Sexual Misconduct Response Coordinator, and
      3. notify the Office of the Sexual Misconduct Response Coordinator of the allegations within two business days.
    2. In any case in which the alleged victim is a non-student employee of the University (including any member of the faculty or staff), the academic or administrative officer must
      1. inform the complainant of the options available under this policy (i.e., informal resolution or formal investigation) and that certified victim advocacy services are available from the Rape Victim Advocacy Program or the Domestic Violence Intervention Program and,
      2. provide notice of the allegations to the Office of the Sexual Misconduct Response Coordinator or the Office of Equal Opportunity and Diversity within two business days, and
      3. provide notice of the allegations to the Senior Human Resources Leadership Representative of the unit in which the alleged behavior occurred or, when incidents do not occur within a unit, notify the Senior Human Resources Leadership Representative of the respondent.
  6. The Office of the Sexual Misconduct Response Coordinator and the Office of Equal Opportunity and Diversity shall share information about reports and complaints, typically within two business days, and shall provide assistance to the academic or administrative officer and the relevant Senior Human Resources Leadership Representative in evaluating the situation and determining an appropriate course of action, even if the alleged victim has requested that no action be taken.
  7. Anyone (victims or others) who wishes to consult with someone about a specific situation without making a report or complaint, or who wishes simply to learn more about enforcement of the Policy on Sexual Harassment, may contact any of the following offices or organizations:
    1. Office of the Ombudsperson (for faculty, other instructors, staff, or students), C108 Seashore Hall;
    2. Employee Assistance Program (for faculty or staff), 121-50 University Services Building;
    3. University Counseling Service (for students), 3223 Westlawn;
    4. Women's Resource and Action Center (for faculty, other instructors, staff, students, or visitors), Bowman House;
    5. Rape Victim Advocacy Program (certified victim advocates)(for faculty, other instructors, staff, or students), Linn Street Place;
    6. Domestic Violence Intervention Program (certified victim advocates) (for faculty, other instructors, staff, students, or visitors), 1105 South Gilbert Court, Iowa City.

These offices and organizations are exempt from the reporting requirements set forth above in II-4.3e of this policy. In addition, staff in these offices and organizations generally have professional or legal obligations to keep communications with their clients confidential. Faculty and staff in other University offices typically do not have confidentiality obligations and may be required to report allegations as described above in II-4.3e.

4.4 Resolution of Allegations Against Students

  1. Allegations that a student has engaged in unwelcome sexual behavior or sexual harassment will be handled through the Office of the Dean of Students (319-335-1162), in consultation with the Office of the Sexual Misconduct Response Coordinator (319-335-6200), and in accordance with this policy, the Code of Student LifeIV-2 Sexual Misconduct Involving Students, and the Student Judicial Procedure.
  2. The Office of the Sexual Misconduct Response Coordinator is available to advise complainants and alleged victims on the resolution of allegations against students. To the maximum extent possible, the Office of the Sexual Misconduct Response Coordinator and the Office of the Dean of Students shall work together to ensure a coordinated and effective institutional response to reports or complaints alleging that a student has engaged in sexual harassment or unwelcomed sexual behavior.
  3. At an alleged victim's request, the Office of the Sexual Misconduct Response Coordinator will assist the victim in addressing a situation involving allegations of unwelcomed sexual behavior or sexual harassment against a student without initiating formal disciplinary action against the student respondent. However, the University may conduct a formal investigation of allegations and pursue disciplinary action, even without an alleged victim's consent, if circumstances warrant.
  4. When responding to allegations against an individual who is both a student and a University employee (including graduate assistants), the University may use the processes set out below in II-4.5 of this policy and/or the Student Sexual Misconduct Judicial Procedures, as it considers appropriate in the circumstances.

4.5 Resolution of Allegations Against Employees (Including Faculty, Other Instructors, and Staff Members)

  1. Advice on the use of these procedures. The Office of Equal Opportunity and Diversity (319-335-0705) and the Office of the Sexual Misconduct Response Coordinator (319-335-6200) are available to advise complainants and alleged victims on the use of these procedures and to assist persons who receive allegations of unwelcomed sexual behavior or sexual harassment in determining the appropriate response to such allegations. To the maximum extent possible, these offices shall work together to ensure a coordinated and effective institutional response to complaints.
  2. Options for resolution of allegations against employees.
    1. Allegations that an employee (including a faculty member, other instructor, or staff member) has engaged in unwelcomed sexual behavior or sexual harassment may be addressed either through the informal resolution process described in II-4.5c, or through the formal investigation and resolution process described below in II-4.5d through II-4.5g.
    2. Limits on the use and scope of informal resolution.
      1. Informal resolution may only be used at the request of the alleged victim. If the alleged victim does not request informal resolution, then a report or complaint must be addressed through the processes set out in II-4.5d through II-4.5f.
      2. Informal resolution pursuant to II-4.5b may not be used when the allegations involve a report or complaint that the respondent committed sexual assault or engaged in any other form of violent behavior.
      3. When allegations are addressed through an informal resolution process, the person(s) alleged to have engaged in unwelcomed sexual behavior or sexual harassment ordinarily will not be informed of the allegations without the consent of the alleged victim unless circumstances require (such as when the allegations are particularly egregious or there are multiple reports of unwelcomed sexual behavior or sexual harassment involving the same person).
      4. When allegations are addressed through an informal resolution process, no disciplinary action may be taken against a person, and there will be no record of the allegations in the person's personnel or student disciplinary file, unless the person is notified of the allegations and given an opportunity to respond.
      5. Disciplinary action taken against a respondent in response to alleged violations of this policy will be governed by the procedures and rules set out below in II-4.5g.
    3. The University may conduct a formal investigation of allegations and pursue disciplinary action, even without an alleged victim's consent and even when the victim prefers informal resolution, if circumstances warrant (such as when the allegations are particularly egregious or there are multiple reports of unwelcomed sexual behavior or sexual harassment involving the same person).
  3. Informal resolution of allegations of unwelcomed sexual behavior or sexual harassment by an employee.
    1. If an alleged victim of unwelcomed sexual behavior or sexual harassment requests that the matter be addressed by informal resolution processes:
      1. In addition to taking the steps outlined in II-4.3e above, the academic or administrative officer to whom the victim directs this request will refer the matter to the Senior Human Resources Leadership Representative of the unit in which the alleged behavior occurred. When incidents do not occur within a unit, the matter should be referred to the Senior Human Resources Leadership Representative of the person alleged to have engaged in unwelcomed sexual behavior or sexual harassment. The Senior Human Resources Leadership representative may appoint a designee with the approval of the Office of Equal Opportunity and Diversity. In all other contexts, contact the Office of the Sexual Misconduct Response Coordinator.
      2. The Senior Human Resources Leadership Representative is responsible for assisting the alleged victim in securing a resolution of the matter. When either the alleged victim or the accused person is a faculty member, the relevant dean or vice president may designate an associate dean to work in consultation with the Senior HR Leadership Representative. The Senior Human Resources Leadership Representative and/or relevant associate dean must promptly inform the Office of Equal Opportunity and Diversity (EOD) or the Office of the Sexual Misconduct Response Coordinator that an informal resolution is being attempted at the alleged victim's request.
      3. Alternatively, at the request of the alleged victim, the academic or administrative officer will refer the matter to the Office of Equal Opportunity and Diversity so that the alleged victim may choose either to secure that office's assistance in addressing the situation through informal resolution or to request a formal investigation of the allegations. EOD shall notify the Office of the Sexual Misconduct Response Coordinator if it is assisting in the informal resolution of allegations.
    2. The Senior Human Resources Leadership Representative and/or relevant associate dean shall make reasonable efforts to resolve allegations promptly and effectively, giving consideration to the nature of the allegations and the surrounding circumstances.
      1. Examples of actions that may be taken to resolve allegations on an informal basis include, but are not limited to: educational intervention directly with the accused individual or in the context of unit-wide communications or discussions; direct or facilitated communications between parties to resolve misunderstandings; agreements regarding future behavior of one or all parties; and nondisciplinary changes in a party's work or educational environment.
      2. If there is a supervisory relationship between the complainant and/or victim and the respondent, the appropriate course of action will include development of a plan to avoid any perceived or actual conflict of interest until the complaint is resolved.
      3. The Senior Human Resources Leadership Representative and/or associate dean who is assisting in resolving the matter through information resolution shall take appropriate interim action, which may include those actions described in II-4.5h below, to address the alleged behavior and protect the health or safety of the alleged victim, complainant, and/or witnesses.
    3. If the Senior Human Resources Leadership Representative and/or associate dean is/are unable to resolve the matter within 21 days of receiving a referral of the allegations, the Senior Human Resources Leadership Representative and/or associate dean will notify the Office of Equal Opportunity and Diversity of the status of the matter and refer the complainant to that office for further assistance.
    4. If allegations of unwelcomed sexual behavior or sexual harassment are resolved through informal resolution, a written report must be made after the complaint is resolved using the Office of Equal Opportunity and Diversity Report of Informal Sexual Harassment Complaint Form, which requires disclosure of the employment or student status of the alleged victim(s); the complainant(s) (if other than the alleged victim), and the person(s) accused; the unit(s) with which those persons are affiliated; a summary of the allegations; and a description of the steps taken to resolve the complaint.

      In order for the University to respond effectively to situations involving a potential pattern of prohibited conduct by the same individual, if the person alleged to have engaged in unwelcomed sexual behavior or sexual harassment was notified of the existence of the allegations and given an opportunity to respond, the Senior Human Resources Leadership Representative and/or associate dean shall provide the names of the parties to the Office of Equal Opportunity and Diversity. If that person was not informed of the allegations or was not given an opportunity to respond, the Senior Human Resources Representative and/or associate dean shall not provide the names of the parties to the Office of Equal Opportunity and Diversity.

      ​The Office of Equal Opportunity and Diversity shall provide the Office of the Sexual Misconduct Response Coordinator with information about informal resolutions in order to ensure overall coordination of University efforts to address unwelcomed sexual behavior and sexual harassment.

    5. It is the responsibility of the Senior Human Resources Leadership Representative and/or associate dean who facilitates the informal resolution of the allegations to follow up with the parties at a reasonable interval(s) to assess their compliance with the terms of the informal resolution and take appropriate action as warranted based on the parties' level of compliance.
  4. Formal investigations of allegations against employees.
    1. If an alleged victim does not request informal resolution of allegations of unwelcomed sexual behavior or sexual harassment, then allegations of unwelcomed sexual behavior or sexual harassment by a faculty or staff member shall be referred to the Office of Equal Opportunity and Diversity (319-335-0705) for appropriate action. If the complaint states specific and credible allegations of behavior constituting sexual harassment in violation of this policy, then the Office of Equal Opportunity and Diversity will conduct an investigation of the allegations in the complaint pursuant to the procedures set out in this policy. However, if the victim requests that no investigation be conducted, the Office of Equal Opportunity and Diversity will not further investigate the matter unless circumstances require (such as when the allegations are particularly egregious or there are multiple reports of unwelcomed sexual behavior or sexual harassment involving the same person).
    2. The Office of Equal Opportunity and Diversity may also conduct an investigation if efforts to resolve the matter through the informal resolution process were unsuccessful, if the terms of an informal resolution were not followed, or if it determines that an investigation is warranted despite an alleged victim's request for informal resolution.
    3. 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 Equal Opportunity and Diversity will make reasonable efforts to interview the alleged victim, the complainant (if other than the alleged victim), and the respondent, and may interview other persons believed to have pertinent factual knowledge, as well as review any relevant documentary information. At all times, the Office of Equal Opportunity and Diversity will take steps to ensure confidentiality to the extent possible.
    4. When the Office of Equal Opportunity and Diversity conducts an investigation, 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 an opportunity to respond to the allegations and information provided by the complainant and/or alleged victim, and to provide a statement of the facts as perceived by the respondent.
    5. At the conclusion of the investigation, the Office of Equal Opportunity and Diversity will issue a written finding which will summarize the information gathered and state whether or not there is a reasonable basis for believing that a violation of this policy has occurred.
      1. The written finding normally will be issued within 45 days of when the complaint was filed. When it is not reasonably possible to issue the finding within that time, the Office of Equal Opportunity and Diversity will notify the alleged victim and the respondent that the finding will be delayed and indicate the reasons for the delay.
      2. The alleged victim, the respondent, and the Office of the Sexual Misconduct Response Coordinator will each receive a copy of the written finding, which is to remain confidential as defined below by II-4.5j.
      3. Third-party complainants will be notified only that the proceedings are concluded.
    6. If the Office of Equal Opportunity and Diversity finds a reasonable basis for believing that a violation of this policy has occurred, the matter will be referred to the appropriate administrator for further consideration as outlined in II-4.5e below.
  5. Response to finding of the Office of Equal Opportunity and Diversity.
    1. In addition to the Office of the Sexual Misconduct Response Coordinator, the following administrators will receive the finding of the Office of Equal Opportunity and Diversity:
      1. the Office of the Provost, if the respondent is a faculty member or other instructional personnel (except graduate assistants);
      2. the office of the vice president or dean responsible for the unit employing the person charged, if the respondent is a staff member;
      3. the Office of the Dean of the Graduate College, if the respondent is a graduate assistant; and
      4. the Office of the Dean of Students, in cases in which an employee respondent is also a student (including a graduate assistant).
    2. The administrator who receives the finding, as well as the Sexual Misconduct Response Coordinator, will discuss it with the Office of Equal Opportunity and Diversity (EOD) in order to determine, based on EOD's findings and input, appropriate corrective measures and sanctions.
      1. If the respondent is a staff member, the administrator will also consult with the Senior Human Resources Leadership Representative in the unit.
      2. If the respondent is a faculty member or graduate assistant, the administrator will also consult with the appropriate dean and departmental executive officer.
      3. When a respondent staff member, faculty member, or graduate assistant is also a student, the administrator and the Dean of Students will also consult with one another in determining what corrective measures or sanctions should be pursued.
    3. The administrator is responsible for implementing corrective measures and sanctions and may institute formal disciplinary action, consistent with University procedures. The administrator must inform the Office of Equal Opportunity and Diversity (EOD), in writing, of the actions that are taken in response to EOD's findings.
    4. The administrator who reviews and takes action in response to a finding of the Office of Equal Opportunity and Diversity shall inform the alleged victim when action has been taken.
  6. Sanctions for violation of the policy.
    1. Violations of the Policy on Sexual Harassment may lead to disciplinary sanctions up to and including termination and/or separation from The University of Iowa. Sanctions for violations of this policy should be commensurate with the nature of the violation and the respondent's disciplinary history.

      Those who violate this policy should bear the consequences of their actions, even if factors such as substance abuse or personal problems contribute to misconduct. When the offense is serious, it is appropriate to consider separation from the University even in cases of first offense, and even when the respondent experiences remorse and/or did not intend to cause the resulting degree of harm.

    2. In addition to other disciplinary action, persons who are found to have violated this policy may be required to participate in group counseling or personal therapy sessions, complete community service, enroll in a specific academic course, attend an educational workshop, and/or make restitution for economic damages caused by their behavior.

      When the respondent is a faculty or staff member, the Employee Assistance Program (121-50 University Services Building) is available to assist with locating appropriate resources.

    3. It is the responsibility of the appropriate administrator to follow up with the parties at a reasonable interval(s) to assess their compliance with the disciplinary and/or remedial sanctions imposed. More serious sanctions, up to and including termination of employment or separation from the University, may be imposed in the event that the respondent fails to comply with the sanctions initially imposed.
  7. Formal disciplinary action. Formal disciplinary action taken in response to alleged violations of this policy by:
    1. faculty members will be governed by the III-29 Faculty Dispute Procedures and that portion of those procedures dealing with faculty ethics (see III-29.7).
    2. staff members will be governed by applicable University policies, including III-16 Ethics and Responsibilities for Staff and the applicable discipline and/or grievance procedures (see III-28 Conflict Management Resources for University Staff and/or relevant collective bargaining agreement);
    3. graduate assistants, when dismissal is sought, will be governed by the procedure for dismissal of graduate assistants (see III-12.4). 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;
    4. students will be governed by the Student Judicial Procedure, this policy, the Code of Student Life, and IV-2 Sexual Misconduct Involving Students.

    In some cases, an individual may be subject to discipline in multiple capacities (e.g., as a staff member and as a student). In such cases, the relevant administrators will cooperate in determining appropriate sanctions and whether and when to pursue formal disciplinary action.

  8. Protection of alleged victims, complainants, and others.
    1. Alleged victims will be informed of relevant procedural steps taken during the investigation and any interim protective measures taken. An alleged victim may be accompanied by a victim advocate and other support persons during the investigation process if the alleged victim so desires.
    2. Throughout the investigation and resolution of a complaint, steps will be taken to protect alleged victims, complainants, witnesses, and others from harm caused by continuation of the alleged harassing behavior.
    3. Retaliation against alleged victims, complainants, and/or witnesses who provide information during an investigation pursuant to this policy is prohibited by II-11 Anti-Retaliation. Reasonable action will be taken to assure that alleged victims, complainants, and/or witnesses will suffer no retaliation as the result of their activities with regard to the process.
    4. Any retaliation against alleged victims, complainants, or witnesses should be reported to the Office of Equal Opportunity and Diversity for further investigation. Retaliation may result in disciplinary action against the person committing the retaliatory act(s).
    5. Steps that may be taken to protect alleged victims, complainants, witnesses, and others from continued harassment and/or retaliation might include:
      1. lateral transfers of one or more of the parties in an employment setting and a comparable move if a classroom setting is involved, and
      2. arrangements that academic and/or employment evaluations concerning the complainant or others be made by an appropriate individual other than the respondent.
    6. In extraordinary circumstances, the Provost, a dean, a DEO, or any vice president may, at any time during or after an investigation of allegations of sexual harassment, suspend or partially restrict from employment any employee accused of sexual harassment if the Provost, dean, DEO, or vice president finds that it is reasonably certain that:
      1. the employee engaged in sexual harassment in violation of this policy, and
      2. 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 Student Judicial Procedure.
  9. Protection of respondents.
    1. Prohibition against knowingly false allegations. This policy shall not be used to bring knowingly false or malicious allegations of unwelcomed sexual behavior or sexual harassment. Making such allegations may subject the complaining party to remedial and/or disciplinary action up to and including termination or separation from the University. Any such disciplinary action will be initiated by the appropriate administrator overseeing the complainant(s).
    2. In the event that allegations are not substantiated, reasonable steps will be taken to restore the reputation of the respondent if it was damaged by the proceeding. The respondent may consult with the Office of Equal Opportunity and Diversity regarding reasonable steps to address such concerns.
    3. Confidential resources. Persons who are accused of sexual harassment may discuss their situations privately with counselors at University Counseling Service (for students), with counselors at the Employee Assistance Program (for faculty or staff), or with staff at the University's Office of the Ombudsperson (faculty, staff, and students). Conversations with University counselors and staff at these offices will not be reported to anyone else in the University except in cases of a threat of imminent physical harm. However, statements made to employees in these offices will not always be legally confidential. When seeking private advice and support from these offices or any University employee, persons should always confirm whether legal confidentiality applies to their communications with the person to whom they are speaking.
  10. Confidentiality.
    1. In order to empower community members to voice concerns and report unwelcomed sexual behavior or sexual harassment, the confidentiality of all parties will be protected to the greatest extent possible. However, confidentiality cannot be guaranteed in all cases, and academic and administrative officers of the university are expected to take some action once they are made aware that unwelcomed sexual behavior or sexual harassment in violation of this policy may be occurring.
    2. Anyone (victims or others) who wishes to consult with someone about a specific situation without making a report of unwelcomed sexual behavior or sexual harassment, or who wishes simply to learn more about enforcement of the policy, may contact any of the following offices or organizations:
      1. Office of the Ombudsperson (for faculty, other instructors, staff, or students), C108 Seashore Hall;
      2. Employee Assistance Program (for faculty or staff), 121-50 University Services Building;
      3. University Counseling Service (for students), 3223 Westlawn; 
      4. Women's Resource and Action Center (for faculty, other instructors, staff, students, or visitors), Bowman House;
      5. Rape Victim Advocacy Program (certified victim advocates)(for faculty, other instructors, staff, students, or visitors); Linn Street Place;
      6. Domestic Violence Intervention Program (certified victim advocates) (for faculty, other instructors, staff, students, or visitors), 1105 South Gilbert Court, Iowa City.
    3. Alleged victims, third-party complainants, and respondents are expected to maintain confidentiality as well. They are not prohibited from discussing the situation outside of the work or educational environment. However, the matter should not be discussed in the work or educational environment.
    4. Dissemination of documents relating to reports or complaints of unwelcomed sexual behavior or sexual harassment and/or to the investigation of such reports or complaints, other than as necessary to pursue an appeal, grievance, or other legal or administrative proceeding, is prohibited.
    5. Failure to maintain confidentiality by a respondent may be considered to be a form of retaliation in violation of II-4.5h. Failure to maintain confidentiality by any party (alleged victim, third party complainant, or respondent) may result in disciplinary action.

4.6 Educational Programs

  1. Education as a key element of University policy.
    1. 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:
      1. ensuring that alleged victims (and potential victims) are aware of their rights;
      2. notifying individuals of conduct that is proscribed;
      3. informing administrators about the proper way to address complaints of violations of this policy; and
      4. helping educate the community about the problems this policy addresses.
    2. Mandatory sexual harassment prevention education.
      1. All faculty, staff, and students meeting the following criteria are required to complete an approved course offered by the University on sexual harassment prevention.
        1. Faculty: All faculty, any title, who hold at least a 50 percent appointment,
        2. Staff (P&S): All regular staff, employed at least 50 percent or greater time,
        3. Staff (merit): All regular staff, employed at least 50 percent or greater time,
        4. Medical residents and fellows: All who hold at least a 50 percent appointment during the academic year,
        5. Postdoctoral scholars/fellows: All who hold at least a 50 percent appointment during the academic year,
        6. Students (graduate/professional): All graduate/professional students who hold a teaching assistantship for a period of one semester or longer, and any other students as determined by the Provost,
        7. Students (undergraduate): University housing resident assistants, and any other students as determined by the Office of the Vice President for Student Life.
      2. Current faculty/staff: All current faculty and staff members meeting the criteria set out in paragraph 2(a) above are required to participate in an approved sexual harassment prevention course every three years (i.e., three calendar years from the date of their most recent training), unless more frequent training is required by the employing unit or college.
      3. New hires: All faculty and regular staff members, who hold a 50 percent or greater appointment, shall receive sexual harassment prevention education in the first six months of their employment (except for those whose positions fall under the definition of "academic and administrative officers"). Options for satisfying this requirement may include: instructor-led sessions, specifically designated online courses, and/or annual new faculty orientations.
      4. Academic and administrative officers (AAOs): All faculty/staff hired into and/or promoted to a position defined by II-4.1c(1) of this policy as an academic/administrative officer (e.g., vice president, dean, DEO, student advisor, supervisor) shall complete an approved sexual harassment prevention course for supervisors within the first two months of their appointment. Academic and administrative officers are responsible for knowing and understanding the contents of this policy and the procedures for processing complaints brought to them pursuant to this policy.
      5. The Office of Equal Opportunity and Diversity, in consultation with the Office of the Provost, shall provide centralized oversight and monitoring of compliance with this mandatory sexual harassment prevention education requirement on an annual basis.
    3. To achieve the goals set forth in paragraph (1) above, the Office of Equal Opportunity and Diversity offers programs designed to educate the University community about sexual harassment prevention. The Office of Equal Opportunity and Diversity also offers programs designed to inform those whose behavior does not rise to the level of a violation of this policy as defined in II-4.1b, but if repeated could rise to the level of a violation, of the problems they create by their insensitive conduct. Educational programs may be recommended for those described in II-4.1b(5) and may be an element in the resolution of a matter. Educational programs and/or individual training also may be mandated for persons found to have violated this policy.
  2. Preparation and dissemination of information. The Office of Equal Opportunity and Diversity 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 Equal Opportunity and Diversity is provided to all faculty and staff to remind them of the contents of this policy. Information about this policy will be made available continually at appropriate campus centers and offices and on the University of Iowa website.
  3. Review of policy. This policy will be reviewed within three years after the latest revisions are implemented and revised as appropriate. This policy is subject to review at any other time deemed necessary by the President, the General Counsel, the Chief Diversity Officer, or the Sexual Misconduct Response Coordinator.

    (See also II-5 Consensual Relationships Involving Students; IV-2 Sexual Misconduct Involving Students, Including Sexual Assault and Sexual Harassment.)