Faculty and Academic Staff Handbook
19th Edition, 2008
Chapter VII: UWS and UWRF Policies
7.6 Process for Resolution of Complaints of Sexual Harassment or Discrimination
Following the alleged occurrence of a racist or discriminatory act, the victim of said
act(s) has the choice of addressing the situation through a formal or informal complaint
process. The degree of formality will be determined on a case-by-case basis in
accordance with the expressed wishes of the victim(s), the Chancellor, the Assistant to
the Chancellor for Equity, Compliance, and Affirmative Action, and the appropriate
hearing body. (See Wisconsin Administrative Code and Collective Bargaining
Agreement for Classified Staff.) It is emphasized that an informal process, based on
interpersonal conflict resolution and education, is preferred to a formal process with
predetermined criteria and formal penalties. However, it is also noted that the formal
process will be utilized in those situations warranting this approach.
7.6.1 The Investigative Process
The investigative process in sexual harassment or discrimination allegations is considered
the first phase in complaint resolution. It is important that both the victim and the accused
be protected throughout this process. Thus, it is imperative that anyone conducting the
investigation be trained to understand all aspects of sexual harassment or discrimination,
and that the investigation be conducted in an appropriate manner.
- The person alleging sexual harassment or other discrimination discloses
information about the incident to someone on campus (Assistant to the Chancellor
for Equity, Compliance, and Affirmative Action, faculty, Associate Vice
Chancellor for Student Affairs, Dean of College, etc.).
- The Assistant to the Chancellor for Equity, Compliance, and Affirmative Action
is informed about the incident, and the victim is encouraged to discuss it with him
or her. If the person who is initially informed about the incident is someone other
than the Assistant to the Chancellor for Equity, Compliance, and Affirmative
Action, that individual may accompany the victim to the Office of Equity and
Affirmative Action.
- Once a sexual harassment or discrimination complaint is received, the Assistant to
the Chancellor for Equity, Compliance, and Affirmative Action will begin a
preliminary fact-finding investigation to determine the validity of the complaint.
This preliminary phase includes informing the accused that a complaint has been
made and an investigation is occurring. The Dean, Unit Head, department chair or
immediate supervisor of the accused may also be informed if necessary.
In some cases, the Assistant to the Chancellor for Equity, Compliance, and Affirmative
Action may act in the role of consultant and provide support and direction to a
department chair, Dean, unit head, or administrator who elects to confront the accused
person directly. In the case of students, the Associate Vice Chancellor for Student Affairs
writes a letter to the accused student and schedules an appointment with him or her in
order to discuss the complaint. The Assistant to the Chancellor for Equity, Compliance,
and Affirmative Action is included in the meeting. The Assistant to the Chancellor for
Equity, Compliance, and Affirmative Action is informed from the beginning and
monitors the outcome of all cases handled without his or her direct involvement. Such
cases are the exception rather than the rule, however, and most sexual harassment or
discrimination incidents handled at the informal level involve the Assistant to the
Chancellor for Equity, Compliance, and Affirmative Action in the resolution process.
Following the investigation, the alleged victim of the alleged sexual harassment will
decide whether to proceed at a formal or informal level.
7.6.2 Informal Resolution
An informal approach to resolving the complaint is used under the following
circumstances:
- The person making the complaint agrees to an informal approach.
- The conduct in question is not of such a serious nature that it requires legal
proceedings.
- All other involved parties agree to utilize an informal mechanism to address the
complaint.
The informal resolution of sexual harassment or discrimination involves several
approaches. Every effort is made to enlighten the accused individual regarding the effect
his or her conduct has had on the alleged victim. If the attitude on the part of the accused
seems particularly resistant, then counseling is strongly recommended. The person filing
the complaint may elect to be present during a meeting with the accused, but that is not
required. If the accused denies the conduct and refuses to comply with recommendations,
the alleged victim may choose to file a formal complaint. If the accused party does not
dispute the accusation and agrees to cease the conduct and to comply with
recommendations, he or she is informed that any future incidents will be handled at the
formal level. In those cases where a complainant decides not to reveal his or her name
and chooses not to pursue the incident at either the formal or informal level, the accused
individual is warned about the allegations without being told the identity of the accusing
party. This is done to protect the rights of confidentiality of the accusing person while
taking responsible institutional action and addressing the existence of the allegation. The
accused person is informed that such an allegation has been made and that if true, all such
conduct must stop immediately.
Informal resolution may involve a combination of educational strategies. The goal is to
increase understanding and expand awareness of the effects of harassing or
discriminatory conduct at a personal and social level. The goal is also to provide a "fair
warning" regarding the seriousness of such acts and to inform the harassing individual
that any future acts of this nature will be subject to formal sanctions. Basic to this
approach is (1) the determination of the seriousness of the complaint; (2) the alleged
victim's satisfaction with the resolution; and (3) emphasis on the education of the alleged
harasser.
7.6.3 Learning
Objectives:
Learning objectives for participants in educational programs (used to address informal
complaints of harassing conduct) may include the following:
- Informing participants that UWRF prohibits sexual harassment or discrimination
and that such conduct will not be tolerated.
- Informing participants that once they have participated in an educational program
as the result of committing an act of discrimination or sexual harassment, further
acts of this nature will be considered "intentional" and subject to formal sanctions.
- Assisting participants in identifying harassing or discriminatory conduct in
themselves and others.
- Expanding awareness of, sensitivity to, and understanding about the effects of
harassing or discriminatory conduct on those who are the victims of such acts.
- Increasing knowledge and understanding of the historical and societal context of
sexual harassment and racist or discriminatory conduct.
7.6.4 Educational Programs
Educational Programs may involve participation in one or more of the following:
- a face-to-face meeting with the victim(s)
- seminars
- video presentations
- reading assignments
- discussion groups
7.6.5 Formal Complaint
Process: Faculty, Academic Staff, Students, Classified Staff, Officials and Guests:
A formal approach to the resolution of complaints involves the following processes:
- The complaint of the sexual harassment or discriminatory conduct is received by
the Assistant to the Chancellor for Equity, Compliance, and Affirmative Action,
the Chancellor, the Provost and Vice Chancellor for Academic Affairs, or other
campus official. If anyone other than the Assistant to the Chancellor for Equity,
Compliance, and Affirmative Action receives the complaint, the Assistant to the
Chancellor for Equity, Compliance, and Affirmative Action is immediately
informed.
- The Assistant to the Chancellor for Equity, Compliance, and Affirmative Action,
after a fact-finding inquiry and in consultation with those involved, will make a
recommendation to the Chancellor regarding the most appropriate means of
addressing the complaint.
- Due Process
Adequate due process is afforded to the faculty member, academic staff member,
student, classified staff, official, or guest alleged to have committed the sexual
harassment or discriminatory act. Adequate due process is determined by the
policies and guidelines of the institutional hearing and complaint processes
accorded to the accused employee. These include:
A. Faculty: See Handbook Chapter IV: Faculty Personnel Rules: 4.9 and 4.10.
B. Academic Staff. See Handbook Chapter VI: Academic Staff Personnel Rules:
UWRF 11 and 12.
C. Students: See the Associate Vice Chancellor for Student Affairs or the
Assistant to the Chancellor for Equity, Compliance, and Affirmative Action.
D. Classified Staff. See Classified Handbook: Employment Policies and
Procedures.
- Upon completion of the fact-finding investigation, the Assistant to the Chancellor
for Equity, Compliance, and Affirmative Action will report the findings to the
Chancellor and will make recommendations concerning disciplinary action or
other appropriate recommendations.
- In the case of a faculty or staff member accused of sexual harassment or
discrimination and depending on the seriousness of the allegation, a combination
of any of the following may be used: (a) placing a letter in the personnel file of
the accused individual describing the allegations and nature of response, (b)
enforced leave without pay, (c) dismissal from the University. Actions (a) and (b)
may also include a requirement that the accused individual obtain counseling and
verify same to the institution. All cases involving outside legal action wherein the
accused is found guilty of harassment and/or discrimination are handled at the
formal level.
In the case of a student accused of sexual harassment or discrimination, and depending on
the seriousness of the allegation, the Associate Vice Chancellor for Student Affairs works
closely with the Assistant to the Chancellor for Equity, Compliance, and Affirmative
Action to document the nature of the alleged conduct and recommends action to the
Chancellor which may include (a) required counseling and/or (b) temporary or permanent
expulsion from the University. All cases involving outside legal action wherein the
accused is found guilty of harassment and/or discrimination are handled at the formal
level.
All persons who register a complaint of sexual harassment and/or discrimination are
informed of the option to pursue legal action outside the University community.
The victim of alleged sexual harassment or discrimination acts may file a formal
complaint under the following circumstances:
- The alleged victim of said acts concludes that the informal process is inadequate
to address the serious nature of the sexual harassment or discrimination conduct
alleged to have occurred; and/or
- The person accused of sexual harassment or discrimination acts has been
previously warned demanding that such conduct must cease; and/or
- The accused individual desires adjudication at a formal level; and/or
- The sexual harassment or discrimination conduct falls within criminal codes
covered under local, state or federal laws.