The University’s Office of Equal
Opportunity and Affirmative Action (EOAA) has overall responsibility for the
management of the University’s Equal Opportunity and Nondiscrimination Policies
and has been designated to coordinate compliance activities under these
policies and the applicable federal, state and local laws. Students, faculty,
and staff may contact the EOAA Office to inquire about their rights under the
University’s policies, request mediation or counseling, or seek information
about filing a complaint. Complaints against
employees are governed by the Equal
Employment Opportunity and Nondiscrimination Policies and Procedures on
Discrimination, Discriminatory Harassment and Sexual Harassment,
which are printed here and available online at: http://www.columbia.edu/cu/vpaa/eoaa/docs/nondispol.html. Complaints against students are processed in
accord with the Equal
Educational Opportunity and Student Nondiscrimination Policies and Procedures
on Discrimination and Harassment which are available online at:
http://www.columbia.edu/cu/vpaa/eoaa/docs/student_discrim.html. All employees and students are protected from
retaliation for filing a complaint or assisting in an investigation under
Associate Provost
Office of Equal Opportunity and
Affirmative Action
103 Low Library, MC 4333
212-854-5511
http://www.columbia.edu/cu/vpaa/eoaa/
Columbia University is committed to providing a working and learning environment free from unlawful discrimination and harassment and to fostering a nurturing and vibrant community founded upon the fundamental dignity and worth of all of its members. It is an equal opportunity and affirmative action employer. It
does not discriminate against or permit harassment of employees or applicants
for employment on the basis of race, color, sex, gender (including gender identity and expression),
pregnancy, religion, creed, national origin, age, alienage and citizenship,
status as a perceived or actual victim of domestic violence, disability,
marital status, sexual orientation, military status, partnership status,
genetic predisposition or carrier status, arrest record, or any other legally
protected status.
Nothing
in these policies shall abridge academic freedom or the University’s
educational mission. Prohibitions against discrimination and harassment do not
extend to statements or written materials that are germane to classroom subject
matter.
All
members of the University community are expected to adhere to the applicable
policies and to cooperate with the procedures for responding to complaints of
discrimination and harassment. They are also encouraged to report any conduct
they believe to be in violation of these policies. Management and supervisory
personnel in particular are responsible for taking reasonable and necessary
action to prevent discrimination and harassment in the workplace and for
responding promptly and thoroughly to any such claims. Those individuals
include any officer having formal supervisory responsibility over employees.
For the purpose of these policies, faculty are supervisors of other faculty
when they are acting in a supervisory role as department chair, dean, academic
vice president, institute director, center director, or similar position. Faculty and officers of research who are the
principal investigators on a grant or contract act in a supervisory capacity
over the individuals in the lab they lead.
The
University offers several options for those seeking the intervention of offices
and individuals who are authorized to respond to their complaints. These
include confidential guidance and assistance, informal counseling, mediation, and
a formal process for having their complaints reviewed. In the event of a formal investigation
conducted according to the appropriate University procedure, individuals found
to have engaged in discrimination or harassment will be subject to discipline,
up to and including termination. Retaliation against anyone who files a
complaint or participates in an investigation is prohibited and may be
addressed as a separate violation.
The
University provides training programs to educate faculty, researchers,
librarians, students, administrators, and staff about conduct that may
constitute a violation of its policies and to inform them of the procedures
that are 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 policies and procedures.
Requests
for training as well as any questions about the University’s policies and
procedures should be addressed to the Office of Equal Opportunity and
Affirmative Action.
DEFINITIONS
For
purposes of these policies and procedures, discrimination, discriminatory
harassment, and sexual harassment are defined as follows:
Discrimination
Discrimination
is defined as:
• treating members of a protected
class less favorably because of their membership in that class; or
• having a policy or practice that has
a disproportionately adverse impact on protected class members.
Discriminatory Harassment
Discriminatory
Harassment is defined as subjecting an individual to humiliating, abusive, or
threatening conduct that creates an intimidating, hostile, or abusive work
environment; alters the conditions of employment; or unreasonably interferes
with an individual’s work performance on the basis of that individual’s
membership in a protected class. This includes sexual harassment, which is
described in further detail below.
Sexual Harassment
Unwelcome
sexual advances, requests for sexual favors, and other verbal or physical
conduct of a sexual nature constitute sexual harassment when:
• submission to such conduct is made
either explicitly or implicitly a term or condition of an individual’s
employment; or
• submission to or rejection of such
conduct by an individual is used as the basis for employment decisions
affecting that individual; or
• such conduct has the purpose or
effect of unreasonably interfering with an individual’s work performance or
creating an intimidating, hostile, demeaning, or offensive working environment.
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 policies; 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. For further information, employees and students should consult the
Romantic Relationship Advisory Statement which is printed here and
available online at: http://www.columbia.edu/cu/vpaa/eoaa/docs/romance.html.
DISABILITY ACCOMODATION
Employees
seeking an accommodation for a disability should contact the Return to Work
Program/Disability Services at (212) 870-3464 or consult Working at
Any
person who believes that he or she has been the subject of discrimination,
discriminatory harassment or sexual harassment 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. 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 guidance and assistance, confidential counseling, mediation, and
formal processes for having their complaints reviewed and investigated.
Confidential
Guidance and assistance
The
University has crafted “safe havens” for those individuals who want to approach
a knowledgeable person for confidential conversations. 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
The Ombuds Office is an informal,
safe and confidential place to voice concerns. The Ombuds Officer will
listen, offer information about
For more information, see http://www.columbia.edu/cu/ombuds/.
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
COMPLAINTS
AGAINST MEMBERS OF THE FACULTY AND STAFF FILED WITH THE OFFICE OF EQUAL
OPPORTUNITY AND AFFIRMATIVE ACTION (EOAA)
While the
Associate Provost conducts most investigations of allegations of
discrimination, discriminatory harassment or sexual harassment, there are
circumstances in which individuals 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. Other entities which may
be available are the Union Collective Bargaining Unit, the Office of Vice
President of Human Resources/Employee and Labor Relations, and the University
Senate’s Committee on Faculty Affairs, Academic Freedom, and Tenure.
Descriptions of these offices and their procedures may be found below. Complaints will be governed
by the procedures applicable to the entity selected. 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. If at
any time a complaint is filed with a governmental agency or court, the
University procedures are no longer available and any inquiry or investigation will
cease immediately.
The Associate Provost for Equal Opportunity and
Affirmative Action is the designated officer for conducting investigations of
complaints according to the procedures described below. The procedures are as
follows:
Preliminary Review
Individuals
may contact the Office of Equal Opportunity and Affirmative Action to discuss
issues relating to discrimination, discriminatory
harassment, 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 may include a mediated solution to
the problems the complainant has encountered or a full investigation. Based
upon the facts of the case, the Associate Provost may also advise the
complainant that his or her case does not raise an issue of discrimination,
discriminatory harassment or sexual harassment or is more suitable for adjudication
by another entity within the University. Anyone who decides to mediate a claim
of discrimination, discriminatory harassment, or sexual harassment may
reconsider up until a final agreement is reached 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, discriminatory harassment 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, Discriminatory
Harassment and Sexual Harassment Complaint Procedures, an individual must
contact the Associate Provost within 180 working days of the date of the
incident. Working days are defined as weekdays during the spring, summer and
autumn terms and do not include University holidays. The Associate Provost may
extend that deadline, and any others specified in these procedures, 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. All parties and witnesses involved in an
investigation, however, 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.
Mediation
Individuals
who believe they have been discriminated against, discriminatorily harassed 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 procedures for up to 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
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. 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 a mediated agreement, it
is final and cannot be appealed.
The
Associate Provost or either party may at any time, prior to the expiration of
30 working days, declare that attempts at mediation have failed. Upon such
notice, the Associate Provost may proceed to an investigation.
FORMAL Investigation
The
procedures described below are 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,
discriminatory harassment or sexual harassment by 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 an 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. Complaints against a student must be
referred to the dean of the school in which the accused student is enrolled.
The Associate Provost does not have jurisdiction over complaints against
students. A written complaint should be filed as soon as possible following the
alleged incident, but not later than 180 working days after the incident or not
later than 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:
the
identity and status) of the complainant and accused (e.g., employee, student; details
concerning the incident(s) or conduct that gave rise to the complaint, date(s)
of and location(s) of the incident(s); the identity and status of any
witness(es) to the incident(s) with telephone numbers, e-mail addresses, and
street addresses if known; and the action(s) requested to resolve the
complaint.
Assignment
of Investigator
Within 15
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 Associate Provost shall designate the investigator or investigative body in
light 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 these policies and procedures will be
suspended pending the appointment.
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. The
University reserves the right, however, 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 is to alleviate conflict pending a final resolution of
the claims and all efforts should 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. The
investigator, however, 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.
Either party, however, 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. The Associate Provost may assist the committee in
the hearing process, but she 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 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 Equal
Employment Opportunity and Nondiscrimination Policies, 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, discriminatory harassment, sexual harassment, or retaliation, the Associate Provost shall forward the determination and disciplinary recommendations to the complainant, the accused, the supervisor of the accused, and the Provost of the University.
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 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.
On
receipt of the appeal, the Associate Provost shall designate a senior officer
of the University to serve as Appeal Officer in the matter. The Associate
Provost will inform both the complainant and accused in writing of the identity
of the Appeal Officer and will forward the appeal to the Appeal Officer for
review.
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 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 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 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 procedures. 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.
Access
to Procedures
These
policies and procedures are available to all employees, and are posted online at:
http://www.columbia.edu/cu/vpaa/eoaa/docs/nondispol.html.
COMPLAINTS
AGAINST MEMBERS OF THE FACULTY AND STAFF FILED WITH OTHER ENTITIES
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 be governed by the applicable procedures
of their collective bargaining agreement.
Office of the Vice President OF 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 when
they believe that discrimination, discriminatory harassment or sexual
harassment led to their dismissal or suspension. Such proceedings will 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 or online at:
http://www.hr.columbia.edu/hr/policies/policymanual/introduction/index.html.
University Senate’s Committee on Faculty Affairs, Academic Freedom,
and Tenure
Faculty
complaints of denial of tenure or reappointment in a non-tenured rank as a
result of discrimination, discriminatory harassment or sexual harassment must
be filed with the University Senate’s Committee on Faculty Affairs, Academic
Freedom, and Tenure. Such proceedings will be governed by the Committee’s
procedure, a description of which may be obtained from the Office of the
University Senate in 406 Low Library.
Complaints Against a Student
Complaints
against students are processed in accord with the Equal
Educational Opportunity and Student Nondiscrimination Policies and Procedures
on Discrimination, Discriminatory Harassment and Sexual Harassment which
are available online at: http://www.columbia.edu/cu/vpaa/eoaa/docs/student_discrim.html. An employee who believes that he or she has been
discriminated against or harassed by a student and would like to file a formal
complaint should do so with the Dean of the school in which the accused student
is enrolled.
Independent Investigation
The
University, at the discretion of the General Counsel, may conduct an
investigation independent of or in addition to the procedures provided herein
at any time. The investigation may involve complaints or allegations concerning
discrimination, discriminatory harassment, or sexual harassment against the
University or any of its employees or students.
In
accordance with all applicable laws and pursuant to its own policies and
operating procedures,
•
Title VI of the Civil
Rights Act of 1964, as amended, prohibits discrimination against any person on
the basis of race, color, or national origin in programs or activities
receiving federal financial assistance.
•
Title VII of the
Civil Rights Act of 1964, as amended, prohibits employment discrimination
against any person because of race, color, religion, sex, pregnancy status or
national origin.
•
Title IX of the
Education Amendments of 1972, as amended, prohibits discrimination on the basis
of sex in the conduct or operation of a school’s educational programs or
activities, including employment in these programs and activities.
•
The Equal Pay Act of
1963 prohibits discrimination on the basis of sex in rates of pay.
•
Executive Order
11246, as amended, prohibits discrimination in employment because of race,
color, religion, sex, or national origin and requires affirmative action to
ensure equality of opportunity in all aspects of employment.
•
Section 503 of the
Rehabilitation Act of 1973 requires a federal contractor to take affirmative
action to employ and advance in employment qualified workers with disabilities.
Section 504 prohibits the exclusion of any person solely on the basis of a
disability from participation in or access to benefits of any federally
financed program or activity; it also prohibits discrimination against any
person solely on the basis of disability in any federally financed program or
activity.
•
The Americans with
Disabilities Act of 1990 prohibits discrimination in public accommodation and
in employment against a qualified person with a disability and requires an
employer to provide qualified applicants and employees with reasonable
accommodations.
•
The Age
Discrimination in Employment Act of 1967, as amended, prohibits discrimination
in employment on the basis of age. The Age Discrimination Act of 1975 prohibits
discrimination on the basis of age in programs and activities receiving federal
financial assistance.
•
The Uniformed
Services Employment and Reemployment Rights Act (USERRA) prohibits
discrimination in employment based on past, current, or future military
obligations.
•
The Vietnam Era
Veterans’ Readjustment Assistance Act of 1974 and the Veterans Employment
Opportunities Act of 1998, as amended, prohibit job discrimination and require
affirmative action to employ and advance in employment qualified special
disabled veterans, veterans of the Vietnam Era, recently separated veterans,
and any other veterans who served on active duty during a war or in a campaign
or expedition for which a campaign badge has been authorized.
•
The Immigration
Reform and Control Act of 1986 prohibits employers from discriminating on the
basis of citizenship status. The prohibition extends to employers who hire only
•
The Small Business
Act of 1958, as amended, Section 15(g)(1), requires federal contractors to
afford maximum practicable business opportunities to Small Business Concerns,
including businesses owned by disadvantaged individuals, disabled veterans, and
women.
•
The New York
Executive Law, Article 15, Section 296(1), prohibits discrimination against any
person in employment because of age, race, creed, color, national origin,
sexual orientation, military status, sex, disability, genetic predisposition or
carrier status, marital status, or arrest record. Section 296(4) prohibits an
educational institution from denying the use of its facilities to anyone
otherwise qualified or permitting harassment of a
student or applicant on
the basis of color, race, religion, disability, national origin, sexual
orientation, military status, sex, age, and marital status.
•
The New York Labor
Law, Section 194, prohibits discrimination on the basis of sex in rates of pay.
•
The New York City
Human Rights Law, Chapter 1, Section 8-107, makes it an unlawful discriminatory
practice for an employer to discriminate against any person because of their
actual or perceived age, race, creed, color, national origin, gender (including
gender identity and expression), disability, marital status, sexual
orientation, alienage or citizenship status, partnership status or status as a
perceived or actual victim of domestic violence.
Any
person wanting to file a complaint under any of these laws should consult the
website of the relevant government agency listed below:
Office of Federal Contract
Compliance Programs
http://www.dol.gov/esa/contacts/ofccp/ofnation2.htm#NewYork
http://www.eeoc.gov/contact.html
Office of Civil Rights,
http://www.ed.gov/about/offices/list/ocr/index.html
Veterans’ Training and Employment
http://www.dol.gov/vets/aboutvets/contacts/main.htm
New York State Division of Human Rights
New York State Department of Labor
http://www.labor.state.ny.us/agencyinfo/local_offices.shtm
http://www.nyc.gov/html/cchr/home.html
•
• •