Summary and Overview

            The University of Dayton prohibits sexual harassment. Persons found to have engaged in harassment will be subject to disciplinary action including suspension, expulsion or termination.

            The following statement explains the University's prohibition of any form of sexual harassment, alerts members of the community to the nature of sexual harassment and the seriousness with which it will be judged, and informs members of the University community of the means available to them for bringing forward a complaint and the procedures the University has established for resolving such complaints. This policy statement is divided into two principal parts: the first describes the University's general prohibition of sexual harassment; the second details a special internal grievance procedure which may be used to resolve complaints of sexual harassment when at least one party to a complaint is a University employee. While the prohibition of sexual harassment applies to all members of the University community, if the incident involves only students, none acting in the capacity of an employee, such situations are to be resolved in accord with the disciplinary procedures found the Student Handbook.

Part I:  The Prohibition of Sexual Harassment: Definition and Scope of Sexual Harassment,
Its Reporting and Sanctions for Harassment

A.            Definition of Sexual Harassment

Sexual harassment can be verbal, visual or physical. It can be overt, as when a professor suggests that a student could get a higher grade or when a supervisor offers an employee a greater pay increase in return for submission to sexual advances. The suggestion or advance need not be direct or explicit - it can be inferred from the conduct, circumstances and relationship of the individuals involved. Sexual harassment can also consist of persistent, unwanted attempts to change a professional or educational relationship to a personal one. It can range from abusive remarks about individual persons or classes of people to serious criminal abuses such as assault and rape. The victim of sexual harassment can be female or male.

Although no exhaustive listing of behaviors that could constitute sexual harassment is possible, some examples include: unwelcome and repeated flirtations and sexual advances; repeated sexually oriented teasing or joking; verbal abuse of a sexual nature; graphic commentary about an individual's body, sexual prowess, sexual deficiencies, or sexual preference; derogatory or demeaning comments about women or men in general whether sexual or not; leering, whistling, touching, pinching, or brushing against another's body; offensive or crude language; displaying objects or pictures which are sexual in nature and that creates hostile or offensive working or living environments. All such conduct is threatening and coercive and creates an atmosphere that is not conducive to teaching, learning and working.

The University adopts the three tests developed in civil law to determine whether a behavior or series of behaviors constitutes sexual harassment:

1. The behavior has the purpose or effect of (a) creating an intimidating, hostile, or offensive environment, or (b) substantially interfering with an individual's work, academic performance, or status; or

2. Submission to such behavior is made either explicitly or implicitly a term or condition of a person's employment or education; or

3. Submission to or rejection of such behavior is used as the basis for academic or employment decisions affecting the person.

For an action to constitute harassment, a complainant must demonstrate that at least one of these tests is met.

B.            Reporting Incidents of Sexual Harassment, the Prohibition of Retaliation, Confidentiality, and Protection of the Parties

1.   How to Report an Incident of Sexual Harassment

Members of the University community are encouraged to report all incidents of sexual harassment when they occur so that they may be dealt with in a timely manner. There are several avenues for reporting an incident of sexual harassment depending on its nature and the persons involved. As described below, any complaint may be brought to a University grievance officer. Non-faculty employees may also consider reporting matters to their supervisor, the director of their division or their divisional vice president. Likewise, they may consult with a member of the administrative staff of the office of human resources, the office of compliance and affirmative action, or a member of the University's legal affairs office.  In situations involving students and/or members of the faculty, parties may contact the appropriate department chair, an academic administrator in the office of the dean or the office of the provost, a member of the administrative staff of residence life or another office in the division of student development, or one of the campus ministers. Each of these persons is able to indicate the appropriate way to report a complaint of sexual harassment and assist the complainant in this process. A list of persons and/or offices to which reports can be made follows the conclusion of this policy statement.

Members of the administration who learn of charges of sexual harassment will ordinarily conduct or ask an appropriate office of the University to conduct an investigation of the charges. If, due to such factors as potential conflict of interest, the administration judges that an internal investigation would be insufficient and/or inappropriate, the University may seek the assistance of qualified persons outside the University to assist in the investigation of charges. If the results of this inquiry indicate that some form of discipline is called for, it is undertaken in the customary fashion as described in the University's handbooks and bargaining agreements.

A member of the University community may experience sexual harassment from persons who are not University employees or students, such as from building contractors, equipment maintenance personnel, or conference guests. Such incidents should be reported to the administrative office of the University responsible for the presence of such persons on campus (e.g., the director of facilities management for incidents involving third party building trades-persons) so that appropriate action may be taken to end such behavior. A list of offices to contact is given after the conclusion of this policy statement.

2.   Prohibition of Retaliation

Retaliation against anyone making an informal or formal allegation is strictly forbidden and constitutes a separate incident of sexual harassment. The University wishes members of the University community to report an incident of retaliation whenever one occurs. A person who brings forward a complaint of sexual harassment, as anyone making a similarly serious charge, may encounter critical questioning and difficult interpersonal stresses. Corrective action can be undertaken only if persons who have experienced sexual harassment make a full and accurate report of such incidents. Thus, any occurrence of retaliation is always very serious and the person(s) responsible for it are liable for severe disciplinary action.

3.   Confidentiality and the Protection of the Parties

When investigating a complaint of sexual harassment, the University will proceed in such a manner as to maintain confidentiality and protect the identity of the parties involved. This care will be consistent with that exercised by the University in investigating the possibility that any serious offense has occurred. In the course of an investigation a number of persons may have to know of some aspects of the charges so that an inquiry can be successfully conducted.

In seeking to maintain confidentiality during the investigation of allegations of sexual harassment, the University desires to protect all parties to the dispute. On the one hand, it wishes to encourage the reporting and correction of incidents of harassment and minimize the exposure of those who have suffered harassment to publicity. On the other, the University recognizes that those charged with harassment are presumed innocent until found otherwise and that anyone charged with harassment must be told the nature of the charges, the name(s) of the person(s) bringing them and have an opportunity to defend themselves before any findings are made or sanctions imposed.

C.        Basis of Policy: Respect for the Dignity of Persons and Fair Treatment of the Accused

The University's prohibition of sexual harassment is based both in the University's nature as well as its legal obligations. In accord with a Christian understanding of the dignity to be accorded to persons, the University condemns all forms of exploitation or other behaviors that fail to respect this fundamental dignity. Such actions diminish the community we seek to build. The coercion and abuse which are a part of sexual harassment are in direct conflict with our religious insight which sees in mutual and committed sexual relationships an image of God's love for His people, a love manifested in Christ's love for the church. Sexual harassment at a university is particularly reprehensible when it exploits the trust that is the basis of an educational relationship. Finally, state and federal law prohibit sexual harassment. Violation of this law has serious personal and institutional consequences.

Because an incident of sexual harassment is a serious matter, the University will carefully investigate all complaints properly brought to its attention. In its investigation, the University will seek to ensure that persons accused of sexual harassment are given a fair hearing and are able to fully defend themselves. Respect for fair process and adequate safeguards of the accused is also rooted in the University's religious and civil traditions. At times the caution required in an investigation of a charge of sexual harassment may be in competition with the rapid resolution of complaints. Our traditions indicate, though, that this balancing of concerns is the most effective means we have for protecting the rights of all involved and thus, for furthering the common good.

D.            Related Considerations: Sexual Harassment and Academic Freedom; Consensual Amorous Relationships

1.   Academic Freedom

The proper exercise of academic freedom by a member of the faculty is not restricted by the University's prohibition of sexual harassment. When members of the faculty lecture, lead discussions, show exhibits and the like on sexually related topics relevant to course material, they are not subject to censure arising from claims of sexual harassment, provided such classes are conducted in accord with the norms of the discipline.

2.   Consent and Harassment in Unequal Relationships

1. Supervisor-Supervisee Amorous Relationships

Consenting romantic relationships between a supervisor and a person he/she supervises are discouraged and deemed very unwise. When a supervisor enters an amorous relationship with an employee he/she must realize that a significant institutional power differential exists. Therefore, if a charge of sexual harassment is subsequently lodged, it will be difficult for the supervisor to assert his/her innocence because the relationship was entered into by mutual consent.

2. Faculty-Student Amorous Relationships

Amorous relationships that might be appropriate in other circumstances are inappropriate when they occur between a member of the faculty and any student for whom he/she has a professional responsibility. Such relationships frequently undermine the atmosphere of trust and objectivity on which the educational process depends. Codes of ethics of most professional associations forbid professional-client sexual relationships. The respect and trust accorded a professor by a student, as well as the power exercised by the professor in giving praise or blame, grades, recommendations for further study and future employment, etc., greatly diminish the student's actual freedom of choice should the desire for an amorous relationship be included in addition to a professor's legitimate expectations. Even when no professional relationship currently exists between a student and a member of the faculty, faculty members should appreciate the constant possibility that they may be unexpectedly placed in a position of responsibility for the student's instruction or evaluation. Graduate assistants should give special heed to these cautions since at times their similarity in age and/or status may cause them to fail to appreciate that when serving as a teaching assistant they are acting as an extension of the faculty.

3. Administrative Staff-Student Amorous Relationships

A situation similar to that for faculty members holds for members of the administrative staff of the University whose responsibilities include the application or enforcement of policies which may affect a student's status at the University (e.g., award of financial aid, application of disciplinary regulations). All such administrators should recognize that an amorous relationship with a student for whom he/she currently has a professional responsibility is inappropriate. Even when no professional relationship currently exists between a student and a member of the administration, such persons should appreciate the constant possibility that they may be unexpectedly placed in a position of responsibility for the student or the student may incorrectly believe that due to the position one holds, one is able to affect the student's status at the University.

E.            Sanctions

Sexual harassment is a serious offense. Thus, disciplinary action for those found to have engaged in harassment will be severe. For student employees such discipline could include expulsion; for employees, termination of employment. Discipline will be taken in accord with that for serious offenses as specified in the University's Student Handbook, Personnel Handbooks, Faculty Handbook or collective bargaining agreements.

Conversely, it would be a serious act of misconduct to knowingly bring untrue charges of sexual harassment against an innocent party. If the conclusion of an administrative inquiry or grievance procedure determines that this has occurred, the person making the false charges will be subject to discipline in accord with the usual University procedures.

Part II.  University Structures for the Resolution of Complaints of Sexual Harassment

The University attempts to resolve complaints of sexual harassment in two ways: ordinary administrative action and a special grievance resolution procedure. These processes, which are described below, are not necessarily mutually exclusive. While it is presumed that many sexual harassment complaints, like most other questions of proper conduct, will be resolved through ordinary administrative procedures, a special procedure has been established since there are times when the ordinary administrative procedures have difficulty in suitably addressing such complaints or when parties to a complaint do not judge such procedures to be adequate or trustworthy.

A.            Ordinary Administrative Action

When an administrator becomes aware of an alleged incident of sexual harassment in his/her area of responsibility, he/she has a serious obligation to see that the incident is properly investigated and that appropriate disciplinary action is taken if warranted. During the course of the investigation the administrator will endeavor to inform the complainant and other affected parties of the status of the inquiry subject to maintaining the confidentiality required to protect both participants and the investigation. Any resulting disciplinary action is taken in accord with University policy, either for faculty, non-faculty employees, or student employees, as the case indicates. Even if the sexual harassment grievance procedures are in progress or if a civil complaint has been filed, the administrative inquiry into the charges and action to affect a resolution may continue.

When an administrator becomes aware of a complaint of sexual harassment he/she will also review whether some immediate steps need to be taken to remove the possibility of further harassment occurring to the person making the complaint. Such special arrangements may include the removal of a student from class or the temporary reassignment of an employee to another supervisor until a determination of fact and a resolution can be concluded. All such special arrangements are to be reviewed and approved by the appropriate dean or vice president and taken with the concurrence of the office of provost or the office of human resources.

B.        Special Internal Grievance Procedure for the Resolution of Complaints of Sexual Harassment

Because of the sensitive nature of sexual harassment complaints, the University has established a special internal procedure for addressing them. This procedure parallels the internal grievance procedure for employees. A key feature is the appointment of grievance officers, who are independent of the administrative offices of the University, to whom complaints can be made and who are able to work with all parties to seek a resolution. If such efforts are unsuccessful, a Hearing Board drawn from the University's grievance board judges the validity of a complaint. While necessarily this procedure must proceed within the overall governance structures of the University, its aim is to allow complainants the opportunity to pursue their grievance outside the ordinary administrative lines and doing so provide members of the University community an alternate way to report and resolve these sensitive and often emotionally charged complaints.

Part III:  Elaboration of the Special Internal Grievance Procedure

The University's internal procedure for the resolution of sexual harassment complaints consists of two stages: an informal and a formal stage. Any member of the University community who feels that he/she has experienced sexual harassment and wishes to access the special internal grievance procedure must first follow the informal process outlined below. If that process fails to result in a satisfactory resolution of the complaint, and the complainant chooses to pursue the matter, the complainant may then follow the formal process.

A.            Informal Process

1. Informal consultations or complaints must be initiated by contacting one of the University grievance officers. Grievance officers are members of the University community appointed by the President's Council to serve in their capacity for three-year terms. While their orientation and activities are coordinated by the vice president for human resources, they act on individual cases in an independent and confidential manner.

2. If the complainant wishes assistance in the pursuit of an informal resolution, the grievance officer will immediately attempt to resolve the complaint through a meeting or other form of contact with the accused or other person(s) the grievance officer deems appropriate. If the complainant and the grievance officer agree that such meetings would not be effective or advisable under the circumstances, then they may immediately initiate the formal procedure.

3. Even if the complainant does not wish to pursue a resolution, the grievance officer may determine that the issues raised by the complainant are sufficiently serious that he/she must address them. In such a case, the grievance officer will endeavor to maintain the confidentiality of the identity of the complainant.

B.        Formal Process

1. The complainant who wishes to initiate a formal process must file with a grievance officer a written and signed complaint specifying the name(s) of the accused, the date(s) of the incident(s)in question, and a description of the offending conduct. This formal complaint must be filed within six (6) months of the most recent incident.

2. Within seven (7) calendar days of the receipt of a formal complaint, the grievance officer will initiate an investigation of the facts and circumstances of the alleged harassment. In this investigation, the grievance officer may contact one or more offices of the University and ask to review portions of their records. University officials are to make a good-faith effort to comply with such requests in a complete and timely manner. In such an investigation, the grievance officer seeks to determine that: (a) the incidents described in the complaint cannot be dismissed as incredible on their face; and, (b) the incidents as described would constitute sexual harassment. At the conclusion of this review the grievance officer prepares a report that either calls for a formal hearing or dismisses the complaint. While there is no set time in which an investigation must be completed, the grievance officer will attempt to conclude it as promptly as possible. As appropriate, the grievance officer will endeavor to keep the complainant informed of the status of the inquiry. If a formal hearing is called for, the grievance officer informs the vice president for human resources and the major University administrator responsible for the supervision of the accused. If the accused is a student, the dean of students is notified; if a member of the faculty, the appropriate dean and the provost; if a member of the staff, the divisional vice president and the vice president of human resources.

3. Sexual harassment complaints will be heard by a three (3) member panel, the hearing board, selected from the University's grievance board. The Grievance Board is a group of approximately thirty (30) persons representative of all sectors of the University community.  They are appointed by the vice president for human resources and, prior to service on a hearing board, have received training in serving on a hearing panel and generally in methods of dispute resolution and the University's grievance process.

The composition of the three-person Hearing Board will vary depending on the classification of the parties to the dispute as follows:

1. If both parties are faculty members, the Hearing Board will be composed of three faculty members.

2.  If one party is a faculty member and the other a student, the Hearing Board will be composed of one faculty member, one staff member, and one student.

3. If one party is a faculty member and the other, a staff member, the Hearing Board will be composed of one faculty member, one staff member, and a third person from a class mutually agreeable to both parties.

4. If both parties are staff members, the Hearing Board will be composed of three staff members.

5. If one party is a staff member and one party is a student, the Hearing Board will be composed of one faculty member, one staff member, and one student.

In the cases above, if one party to the grievance is a secretary (and hence a staff member), then at least one of the staff members called for as a member of the Hearing Board will be selected from among the secretaries serving on the Grievance Board. In no case will the members of the Hearing Board all be of the same sex.

4. The properly configured board will be appointed by the vice president for human resources upon receipt of a report calling for a formal hearing from a grievance officer. Prior to the appointment of persons to the Hearing Board, the vice president for human resources will inquire of the prospective members of the Hearing Board and the parties to the grievance to ascertain that no conflict of interest or other disqualifying relationship exists.

5. The work of the Hearing Board will be directed by the hearing officer. The hearing officer is a member of the University community appointed to this position by the vice president for human resources with the concurrence of the President's Council. This person is to be knowledgeable in the conduct of procedures that are a part of dispute resolution techniques, monitoring the conduct of a hearing and in advising a panel reviewing a complaint about the proper disposition of its work. If the hearing officer does not already possess these skills at the time of appointment, the University will provide this person with the necessary training. The hearing officer is not a voting member of the Hearing Board.

6. While the University strongly encourages members of the community to participate in this grievance resolution process, it cannot require members to do so.  In the event that a person charged with harassment refuses to participate, he or she should make this known to the vice president for human resources. In such a case, the matter will be resolved by administrative or civil means, as determined by the University and/or complainant.  The person who refused to participate may not make use of this special grievance resolution procedure in the future for any matters related to the original charges.

7. The formal hearing shall be held expeditiously, but in any event, not more than forty-five (45) calendar days after the filing of the formal complaint. Both the complainant and the accused shall receive notice of the hearing date at least five (5) working days in advance.

8. Each party may have an advisor from the University community present at the hearing. The parties are free in their choice of an advisor provided that she or he is not of a relationship closer than a second cousin, a legal guardian, or currently in an employment supervisory relationship to this person. These restrictions are made to attempt to ensure that the advisor maintains an appropriate emotional and/or administrative distance from the hearing and its outcome.  In cases of doubt, the hearing officer will determine the eligibility of an advisor.  In requesting an individual to serve as an advisor, a party to the complaint agrees that: (a) the advisor is only asked and expected to make a best effort; (b) the advisor will be held harmless for his or her participation (c) the results of the hearing may not be appealed based on a claim of inadequate performance on the part of an advisor. The advisor may participate in the hearing subject to the reasonable limitations imposed by the hearing officer. While the advisor is to be an aid, each party retains the primary responsibility for establishing the validity of a complaint or presenting a defense.

Because of the seriousness of a charge of sexual harassment, it may be the case that one or both parties to the grievance will have sought counsel outside the University and, perhaps, retained legal counsel.  While a person is free to acquire any assistance deemed appropriate, since this hearing is a part of an internal resolution procedure and is of a non-judicial nature, such other assistants are not permitted to attend or participate in the hearing.

9. The hearing officer will determine all procedures to be followed prior to and at the formal hearing and serve as its moderator.  At the discretion of the hearing officer, a pre-hearing meeting of the parties and/or their advisors may be convened to consider such things as possible resolutions, hearing procedures, persons to appear and the like.  The judgment of the hearing officer determines the manner in which the evidence is presented and the hearing is conducted.  While the hearing procedures are to respect ordinary standards of fairness, they are not intended to be equivalent to those employed in a civil judicial process.  They are set with an aim of providing the Hearing Board with the best opportunity for determining the truth of the matters dispute.

Within ten (10) working days after the conclusion of the formal hearing, the Hearing Board shall prepare a written report indicating its findings of fact, its decision, and if appropriate, a recommended sanction and/or remedy.  This report will be sent to the complainant, the accused, the grievance officer, and the vice president responsible for implementing any sanction and/or remedy. In addition, depending on the status of the person(s) accused as a student employee, member of the faculty or other employee, the report will also be sent to the dean of students, the provost or the vice president of human resources respectively.

10. A good quality audio tape recording of the formal hearing will be made and retained for one year in the office of the vice president for human resources before being erased.

11. Efforts shall be made to assure confidentiality regarding the parties and information provided. Once a formal hearing is to be conducted, though, many persons may need to know in more or less detail of the nature of the charges so that evidence may be gathered, witnesses called and the like.  Records shall be kept by the grievance officer and shall be unavailable except by order of the president.  In the event of a finding that the accused did engage in sexual harassment, a brief statement of the finding will become a part of the offending party's personnel or student file.

C.        Minor Deviations

Minor deviations from these prescribed procedures shall not render a decision invalid unless it is found on appeal that the deviation caused substantial prejudice to one of the parties.

D.         Sanctions

A person found guilty of sexual harassment will be subject to disciplinary or corrective action depending on the severity of the offense.  Sanctions and remedies may include a letter of reprimand, a formal warning, mandatory counseling, community service, suspension or termination of employment, or dismissal from the University.

E.       Appeal Processes

1. For the Dismissal of Complaint

A complainant may appeal the grievance officer's decision to dismiss his/her complaint by writing to the vice president for human resources within ten (10) working days of the date of the notification letter.  The vice president for human resources will review the record and either confirm the decision of the grievance officer or order a formal hearing.

2. For the Sanctions or Remedies Imposed

1. Appeals by faculty members will be treated in accordance with the procedures provided for the Faculty Handbook.

2. Appeals by staff members, not members of a bargaining unit, or appeals by students must be addressed to the president whose decision is final.

3. Members of a bargaining unit may appeal disciplinary sanctions or remedies through the appeals process established by the collective bargaining agreement.

A party to a grievance may appeal a sanction or remedy because it is judged to be either too severe or too lenient.  Any appeal must be made within ten (10) working days of the notification of a sanction or remedy.

3. Finding of Fact

The decision of the Hearing Board that there was or was not sexual harassment is final (not appealable).

F.      Applicability of the Special Grievance Procedure

1. This special resolution procedure is available only so long as neither party has filed nor has initiated a proceeding with a court or agency outside of the University.  Note that if this internal grievance procedure is terminated, the university's ordinary administrative procedures described previously may continue.  On the basis of the findings of these latter procedures, sanctions may be taken against a party found to have engaged in sexual harassment, even though the matter is still pending before a civil body.  At the conclusion of any external proceedings, if the charges have not been resolved, the internal grievance procedure may be resumed if each party to the grievance and the hearing officer all agree with this course of action.

2. This procedure is not applicable to a student's complaint against another student unless the harassment is by a student using a University employment relationship to coerce another student.  Student-to-student complaints are resolved in the manner specified by the University's Student Handbook.

3. By agreement of the University's chapter of the Dayton Public Service Union, these procedures are applicable even if both parties are members of this bargaining unit.  In such cases the complaint is resolved in the manner specified in this special grievance procedure and only any consequent disciplinary action may be appealed according to the procedures in the collective bargaining agreement.

Persons and Offices at the University Able to Provide Assistance:

A.        To discuss potential instances of sexual harassment, or to file a complaint of sexual harassment involving an employee as plaintiff or complainant.

1. University Grievance Officers
   

   Diane Helmick Assistant to the Dean Graduate School St. Mary's Hall, Rm 200 +4 zip 1620 Ext. 2390

   Timothy J. O'Connell Associate Director of Athletics UD Arena +4 zip 8806 Ext. 4635

2. Administrative Offices/Student Faculty Matters

3. Administrative Offices/Employee Matters

 B.        For copies of the University Policy on Sexual Harassment, inquiries about procedural matters, membership of the Grievance Board, and other administrative matters: 

Vice President for Human Resources
Ms. Joyce M. Carter
St. Mary’s Hall, Rm 315 
+4 zip 1649

Ext. 2554

In addition, copies of the University's Sexual Harassment Policy are available in all the offices listed in Section (A).

 C.        To report conduct problems associated with guests, contractors and others not members of the University Community

Facilities-Related Contractors (Construction, Cleaning, Repair, etc.)
Director of Facilities Management
Ms. Beth Keyes
College Park Center, Room 113, +4 zip 2904
Ext. 3769

Conference and Summer Program 

Director of Student Life  & Kennedy Union
Ms. Amy Lopez-Matthews
Kennedy Union, Rm 241 
+4 zip 0620
Ext. 3333

Other

Affirmative Action Officer
Ms. Patsy Bernal-Olson, J.D.
St. Mary's Hall, Rm 400, +4 zip 1618
Ext. 4211

(An appropriate referral will be made)

This site is maintained by the Office of Human Resources.  Direct questions to Stefanie.Rich@notes.udayton.edu.

University of Dayton
St. Mary's Hall Room 118
300 College Park
Dayton, OH 45469-1614