DISCRIMINATION AND SEXUAL HARASSMENT POLICY AND PROCEDURE

Columbia University is committed to providing a working and learning environment free from discrimination and sexual harassment and to fostering a nurturing and vibrant community founded upon the fundamental dignity and worth of all of its members. Consistent with this commitment and with applicable federal, state, and local laws, it is the policy of the University not to tolerate discrimination and sexual harassment in any form and to provide faculty, students, administrators, and staff who feel that they are victims of either with mechanisms for seeking redress.

This document describes the University’s procedure for responding to claims of discrimination and sexual harassment. It begins by defining the types of behavior covered by this policy and identifying the individuals and offices responsible for implementation of the policy. It then describes the multiple channels the University has established to respond to complaints. Strategies for resolving complaints of discrimination and sexual harassment may range from private and consensual arrangements between the parties to formal investigations.

The University offers several options for those seeking the intervention of the offices and individuals who are authorized to respond to their complaints. These include informal counseling, mediation, and a formal process for having their complaints reviewed.

All members of the University community are expected to adhere to the policy in this statement and to cooperate with the procedure it describes for responding to complaints of discrimination and sexual harassment. They are also encouraged to report any conduct they believe to be in violation of this policy. Management and supervisory personnel in particular are responsible for taking reasonable and necessary action to prevent discrimination and sexual harassment in the workplace and for responding promptly and thoroughly to any such claims.

After a formal investigation conducted according to the appropriate University procedure, individuals found to have engaged in discrimination or sexual harassment will be subject to discipline. The sanctions imposed can range up to and include termination of employment in the case of officers and staff or dismissal from the programs in which they are enrolled for students. Retaliation against anyone who files a complaint or participates in an investigation is prohibited and may be addressed as a separate matter.

The University provides training programs to educate faculty, researchers, librarians, students, administrators, and staff about conduct that may constitute a violation of this policy and to inform them of the procedure that is available to deal with alleged violations. While any member of the University may attend, management and supervisory personnel are especially encouraged to participate in these programs and are expected to be knowledgeable about the University’s policy and procedure.

Individuals with questions about the University’s policy and procedure on discrimination and sexual harassment should contact the Office of Equal Opportunity and Affirmative Action. The office is located in 402 Low Library, Mail Code 4333, and may be reached at 854-5511 or by e-mail at sr534@columbia.edu.

Definitions

For purposes of this policy, discrimination and sexual harassment are defined as follows:

Discrimination

Discrimination may occur by:

Sexual Harassment

Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:

Consensual, romantic relationships between faculty and other employees and students and between individuals who work together are generally not considered sexual harassment and are not prohibited by University policy. However, individuals should be aware that these relationships are susceptible to being characterized as non-consensual, and even coercive, if there is an inherent power differential between the parties, and can lead to complaints of sexual harassment. Individuals should refer to the University’s Romantic Relationship Advisory at http://www.columbia.edu/cu/vpaa/eoaa/docs/romance.html for further guidance on this topic.

Nothing in this policy shall abridge academic freedom or the University’s educational mission. Prohibitions against discrimination and sexual harassment do not extend to statements or written materials that are relevant and appropriately related to the subject matter of courses.

Responsible Offices and Individuals

The University has assigned responsibility for implementing its policies on discrimination and sexual harassment to several different offices and groups of individuals. The following is a list of the responsible offices and individuals.

Management and Supervisory Personnel

Management and supervisory personnel exercise authority on behalf of the University. They must ensure that their workplace is free of discrimination and sexual harassment, and must take each and every complaint seriously. Those individuals include any officer having formal supervisory responsibility over employees. For the purpose of this policy, faculty are supervisors of other faculty when such a supervisory relationship exists or when they are acting in the role of department chair, dean, academic vice president, institute director, or center director. Faculty and officers of research who are the principal investigators on a grant or contract act in a supervisory capacity over all individuals in the lab they lead.

University Ombuds Officer and Discrimination and Sexual Harassment Panel

Individuals who believe that they have been victims of discrimination or sexual harassment may obtain informal advice and confidential counseling from the University Ombuds Officer or a member of the Discrimination and Sexual Harassment Panel. These officers are not authorized to conduct formal investigations of complaints.

Office of Equal Opportunity and Affirmative Action

The Associate Provost for Equal Opportunity and Affirmative Action has overall responsibility for the management of the University’s policy and is the designated officer for conducting investigations of complaints according to the procedure described in the section of this document entitled University Procedure for Handling Issues of Discrimination and Sexual Harassment. The Associate Provost is also available to provide informal counseling and to answer any questions about the University’s policy.

While the Associate Provost conducts most investigations of allegations of discrimination or sexual harassment, there are circumstances in which individuals should file their grievances with another office, committee, or individual. In other situations, they have a choice of how they wish to have their complaints reviewed. When more than one entity has potential jurisdiction, complainants are encouraged to file where they are most comfortable and feel that their issues will be understood and fairly heard. Complaints will be governed by the procedures applicable to the entity that they select. In no case may a complainant file a request for a formal investigation with more than one entity simultaneously, nor may they file a request for a formal investigation with a second entity after a final disposition has been made by another entity.

The other offices, committees, and individuals empowered to investigate complaints are:

University Senate’s Committee on Faculty Affairs, Academic Freedom, and Tenure

Faculty complaints of denial of tenure or reappointment in a nontenured rank as a result of discrimination or sexual harassment must be filed with the University Senate’s Committee on Faculty Affairs, Academic Freedom, and Tenure. Such proceedings will then be governed by the Committee’s procedures, a description of which may be obtained from the Office of the University Senate in 406 Low Library.

Dean of Students

Complaints against students are investigated under the appropriate Dean’s Discipline procedure, with the exception noted below. Such proceedings will then be governed by the applicable procedures of the accused student’s School.

Office of Sexual Misconduct Prevention and Education

Complaints involving non-consensual physical contact of a sexual nature by a student must either be filed with the Office of Sexual Misconduct Prevention and Education or under Dean’s Discipline. Such complaints will be governed by the procedure described in the University’s policy statement, Sexual Misconduct Policy and Disciplinary Procedure, if filed with the Office of Sexual Misconduct Prevention and Education. That statement may be obtained from the Office of Sexual Misconduct Prevention and Education, located in 703 Alfred Lerner Hall, or on the World Wide Web at http://www.columbia.edu/cu/sexualmisconduct/.

Union Collective Bargaining Unit

Union members should file complaints with their collective bargaining unit unless prohibited by their collective bargaining agreement or unless an inherent conflict of interest would interfere with a fair adjudication in the collective bargaining unit. Such proceedings will then be governed by the applicable procedures of their collective bargaining agreement.

Office of the Vice President, Human Resources—Employee and Labor Relations

Officers of administration and nonunion support staff may file complaints with the Office of the Vice President, Human Resources—Employee and Labor Relations or the Health Sciences Human Resources Department when they believe that discrimination or sexual harassment led to their dismissal or suspension. Such proceedings will then be governed by the procedures described in the University’s Personnel Policy Manual, a copy of which may be obtained from the Office of the Vice President of Human Resources.

UNIVERSITY PROCEDURE FOR HANDLING ISSUES OF DISCRIMINATION AND SEXUAL HARASSMENT

Any person who believes that he or she has been discriminated against or sexually harassed may initially choose to deal with the alleged offender directly through a face-to-face discussion, a personal telephone conversation, e-mail correspondence, or letters. In some cases this may effectively resolve the situation. However, individuals should not feel pressured to address the individual directly. Such an approach may be ineffective in correcting the problem, or an individual may be uncomfortable in handling the situation alone. If so, assistance through the University is available and will be provided if sought.

Confidential off-the-record counseling may only be obtained by speaking with the University Ombuds Officer or a member of the University Panel on Discrimination and Sexual Harassment. To initiate an investigation, individuals must file a grievance with the Office of Equal Opportunity and Affirmative Action or, where the circumstances warrant, with one of the offices, committees, or individuals described above in the section entitled Responsible Offices and Individuals. However, the University may at any time elect to pursue reports of discrimination or sexual harassment by investigation or other appropriate action.

Confidential Guidance and Counseling

The University has crafted a “safe haven” for those individuals who want to approach a knowledgeable person for confidential advice or to solicit feedback regarding their interpretation of events. Individuals who wish to take advantage of this option may contact either the University Ombuds Officer or a member of the University Panel on Discrimination and Sexual Harassment. These officers are not authorized to conduct formal investigations.

University Ombuds Officer

Because the University’s Ombuds Officer operates under strict confidentiality, she will not disclose information obtained from persons seeking assistance without their permission except when there is a possibility of imminent harm or as required by law. The University Ombuds Officer is available to provide information and clarification regarding the University’s policy and procedure, and may assist individuals in evaluating options to determine their chosen recourse. She will refer individuals to appropriate offices and resources within the University, including psychological counseling and support services. She may also engage in informal mediation in an effort to resolve the concerns and claims of those who approach her for help.

University Panel on Discrimination and Sexual Harassment

The University Panel on Discrimination and Sexual Harassment is composed of trained, experienced, and accessible members of the Columbia community. Members of the Panel will provide a confidential, impartial, non-adversarial setting in which problems can be addressed through confidential counseling or mediation. Any faculty member, other officer, member of the support staff, or student may approach any Panelist to discuss his or her concerns and seek advice. The Panelist may also meet with persons other than the complainant to ascertain facts relevant to appropriate resolution of the complaint or to seek an informal resolution to situations in which there are allegations of discrimination or sexual harassment. A list of the current Panelists may be found on the World Wide Web at http://www.columbia.edu/cu/vpaa/eoaa/docs/shpanel.html.

University Discrimination and Sexual Harassment Complaint Procedure

Individuals who believe they have been victims of discrimination or sexual harassment may seek the assistance of the Associate Provost for Equal Opportunity and Affirmative Action. Under the University’s Discrimination and Sexual Harassment Complaint Procedure, the Associate Provost is empowered to conduct investigations of their complaints with certain exceptions described above under Responsible Offices and Individuals. The Associate Provost may exercise those responsibilities herself or delegate them to a designee. If at any time a complaint is filed with a governmental agency or court, the University procedures are no longer available and will cease immediately.

Preliminary Review

Individuals may contact the Office of Equal Opportunity and Affirmative Action to discuss issues relating to discrimination or sexual harassment, with or without filing a grievance. The Associate Provost, or a designee, may conduct a preliminary fact-finding review. At its conclusion, the Associate Provost will inform the complainant of the options available to that person. These include seeking a mediated solution to the problems the complainant has encountered or conducting a full investigation. Based upon the facts of the case, the Associate Provost may also advise the complainant that his or her case is more suitable for adjudication by another entity within the University. Anyone who decides to mediate their claims of discrimination or sexual harassment may reconsider up until a final agreement is signed and ask the Associate Provost to commence an investigation, provided that the intervening period of time does not exceed the deadline for making such requests. Regardless of the recourse chosen, the Associate Provost is not authorized to address matters outside of the scope of the specific allegation of discrimination or sexual harassment, except that she will investigate claims of retaliation arising out of those allegations.

To request any action under the University’s Discrimination and Sexual Harassment Complaint Procedure, an individual must contact the Associate Provost within 180 working days* of the date of the incident. The Associate Provost may extend that deadline, and any others specified in this procedure, when she determines that circumstances justify an extension. As the Associate Provost has the authority and responsibility to gather information from all sources that she deems necessary for a fair resolution of the complaint, absolute confidentiality cannot be guaranteed. However, all parties and witnesses involved in an investigation will be urged to maintain confidentiality.

Individuals may also ask the Associate Provost to take no further action. However, the University reserves the right to proceed with an investigation on its own. 

A. Mediation

Individuals who believe they have been discriminated against or sexually harassed may choose to resolve their complaints through mediation by the Office of Equal Opportunity and Affirmative Action. Mediation is an informal and confidential process where parties can participate in a search for fair and workable solutions. Mediation requires the consent of both parties and suspends the complaint procedure for up to thirty (30) working days, which can be extended, at the discretion of the Associate Provost, upon consent of both parties. 

By mutual agreement, the two parties may elect to have their concerns mediated by the Mediation Clinic at Columbia Law School instead of the Office of Equal Opportunity and Affirmative Action. Guidelines for mediation with the Clinic are published separately and are available in the Office of Equal Opportunity and Affirmative Action or on the University Web site at http://www.columbia.edu/cu/vpaa/eoaa/. The Clinic is staffed by trained students, working under the supervision of certified instructors, who endeavor to reach mutually acceptable closure on outstanding conflicts.

Complaints that are addressed through mediation are not required to be made in writing. The parties may agree upon a variety of resolutions such as modification of work assignment, training for a department, or an apology. Parties may agree to a resolution that is oral or embodied in a written agreement. The final resolution is confidential; however, the parties may elect to file a written agreement with the Office of Equal Opportunity and Affirmative Action should enforcement be necessary. Because mediation is a fully voluntary process, formal disciplinary action cannot be imposed against the accused. Once both parties reach an informal agreement, it is final and not appealable.

The Associate Provost or either party may at any time, prior to the expiration of thirty (30) working days, declare that attempts at mediation have failed. Upon such notice, the Associate Provost may proceed to an investigation.

B. Investigation

The procedure described below is applicable only to those individuals who have elected to pursue their remedies by investigation through the Office of Equal Opportunity and Affirmative Action.

Filing a Complaint

Any individual who is employed by or enrolled at Columbia University may file a complaint with the Associate Provost of Equal Opportunity and Affirmative Action to request an investigation of an incident of alleged discrimination or sexual harassment by an individual who is a student or an employee of Columbia University with respect to an allegation arising out of the scope of their employment or education. Complaints filed by individuals who are not students or employees of the University will be accepted if the accused is a student or employee.

Complaints by a student or employee against a person who is not a student or employee will be accepted, but cannot proceed without the cooperation of the accused. A written complaint should be filed as soon as possible following the alleged incident, but not later than one hundred and eighty (180) working days after the incident or not later than thirty (30) working days following an unsuccessful attempt at informal resolution. The Associate Provost has the discretion to extend these deadlines.

The complaint must be signed by the complainant and include the following information:

Assignment of Investigator

Within fifteen (15) days working days following the filing of the complaint, or following failed attempts at mediation, the Associate Provost will designate herself, a staff person, or a committee to investigate and hear the case (the “investigator”). The decision as to who shall be designated as the investigator shall be within the sole discretion of the Associate Provost and shall be based upon her assessment of the facts, nature, and complexity of the case.

In the event of an alleged conflict of interest with the assigned investigator, either the complainant or the accused may make a written request to the Associate Provost within five (5) working days of learning the identity of the investigator to appoint an alternate. The Associate Provost’s decision on whether to grant such a request is final. If an alternate investigator is appointed, the timelines associated with this policy and procedure will be suspended pending the appointment.

The Provost shall at the same time designate a senior officer of the University (the “Appeal Officer”) to whom any appeal of the investigator’s decision may be brought. The Provost may designate himself in the role of the Appeal Officer. The Associate Provost will inform both the complainant and accused of the identity of the Appeal Officer in writing.

Withdrawal of Complaint

Individuals may seek to withdraw requests for investigations or, where appropriate, ask to have their case transferred to another forum by writing to the Associate Provost within seven (7) working days of filing their complaints. However, the University reserves the right to continue with an investigation on its own initiative.

Notifying the Accused and Supervisor

The investigator will provide a copy of the formal complaint to the accused and, at the same time, notify the accused individual’s supervisor about the complaint. The supervisor may take temporary actions pending the completion of the investigation (such as reassignment or paid leave of absence for either the complainant or accused) in consultation with the Associate Provost. The goal of such temporary actions would be to alleviate conflict pending a final resolution of the claims and all efforts would be made to create an environment where both parties can continue their work or education, if possible. The investigator will not consider any such action as evidence regarding the merits of the complaint.

Responding to the Complaint

The accused is not required to participate in the investigation of the complaint. Non-participation will not be taken as an indication of guilt, but it will also not prevent the investigation from proceeding. The investigator will continue to evaluate the complaint and reach a decision on the basis of the available information.

An accused who decides to participate in the investigation should send the investigator a written response to the complaint within seven (7) working days of receiving a copy of the complaint. A copy of the response shall be provided to the complainant.

The Investigative Process

Within ten (10) working days after being designated, the investigator will begin to interview the complainant, the accused, and any other persons with relevant information about the alleged incident. The investigator may also review personnel records and other documents deemed relevant to the complaint. The complainant and the accused may suggest witnesses the investigator should interview and written information the investigator should consider. However, the investigator has complete discretion as to the witnesses and the documents reviewed. During the investigation process no party is permitted to be represented by legal counsel. Members of collective bargaining units are entitled to union representation.

Hearing

At the sole discretion of the Associate Provost, at any time a committee of three individuals may be convened to conduct a hearing on the merits of a complaint. When selecting members of the committee, the Associate Provost will take into consideration the particulars of the complainant and the nature of the claims. A hearing may take place over one or more sessions, as needed. During a hearing, both parties have the right to be present during the testimony of the opposing party or other witnesses but not the right to cross-examine them. However, either party may suggest questions to the committee and request that the questions be asked of the committee or witnesses, and will be provided with explanations if the questions are not posed. Both parties also have the right to review any documents or other evidence considered by the committee and to rebut any evidence presented as part of his or her defense. The Associate Provost may assist the committee in the hearing process, but will not take part in the deliberations.

Investigative or Hearing Findings and Disciplinary Recommendations

The investigator is expected to complete the investigation and submit a decision to the Associate Provost within forty-five (45) working days from the filing of the complaint. The Associate Provost may authorize an extension of that deadline. The investigator’s determination will be made on the basis of the preponderance of the evidence, taken in its totality, and considering any attendant circumstances. 

If the investigator finds that the accused has violated the University’s Discrimination and Sexual Harassment Policy, the decision will be accompanied by a recommendation of the discipline that should be imposed. In making such a recommendation, the investigator shall consider properly established records of previous conduct and the seriousness of the violation, the totality of the information available, including the investigative records, and any extenuating or aggravating circumstances the investigator deems relevant.   

If the investigator finds that there has been discrimination, harassment, or retaliation, the Associate Provost shall forward the determination and disciplinary recommendations to the complainant, the accused, and the supervisor of the accused.

Appeal of Determination and Disciplinary Recommendations

The accused or the complainant may file an appeal of the investigator’s determination and/or disciplinary recommendations. The appeal must be in writing, should identify the specific portions of the determination appealed, and must be delivered to the Associate Provost within fifteen (15) working days of receiving notice by mail of the investigator’s determination and/or disciplinary recommendations. Issues not appealed in this time frame shall be deemed to be conceded. The Associate Provost will forward the appeal to the Appeal Officer for a final decision.

The Appeal Officer may conduct such proceedings as he or she deems appropriate, but will not normally hear the testimony of witnesses. The role of the Appeal Officer is to determine if the investigation and/or hearing was conducted in a fair manner, if the determination is consistent with the evidence, and if the disciplinary recommendations are commensurate with the charges.

The Appeal Officer will render a written decision within thirty (30) working days following receipt of the appeal, or as soon thereafter as practicable, and he or she will forward a recommendation to the Provost for approval. Once approved by the Provost, the decision will be sent to the Office of Equal Opportunity and Affirmative Action which will provide notice to the parties of the final disposition of the complaint. Such notification shall be in writing and provided to the parties within fifteen (15) working days following receipt of the Appeal Officer’s decision.

Once approved by the Provost, the decision of the Appeal Officer is not subject to further review other than the reserved right of the President and the Trustees of the University to review any decision affecting matters of overall University policy.

Disciplinary Action

The supervisor of the accused and the Associate Provost shall be responsible for acting on the disciplinary recommendations of the investigator. Within thirty (30) working days of receiving the investigator’s report (or as soon thereafter as is practicable), the supervisor and the Associate Provost shall meet to discuss the recommendations and disciplinary and/or corrective action. Following the deadline for filing an appeal or the determination on an appeal, the disciplinary recommendations will be imposed according to the appropriate University disciplinary procedure. Discipline may range from periodic monitoring of the accused by his/her supervisor to termination, where warranted, and may include required attendance at counseling or training.

Independent Investigation

The University, at the discretion of the General Counsel, may conduct an investigation independent of or in addition to the procedure provided herein at any time. The investigation may involve complaints or allegations concerning discrimination or sexual harassment against the University or any of its employees or students.