University of Houston-Victoria

Office of the Vice President for
Administration and Finance

SECTION: HUMAN RESOURCES INDEX: C-12

SUBJECT: SEXUAL HARASSMENT

POLICY

The University of Houston-Victoria (UHV) is committed to providing a professional working and learning environment free from sexual harassment. Sexual harassment is a form of sex discrimination and is illegal. UHV will not tolerate any form of sexual harassment.  Furthermore, UHV is committed to providing the training to educate the staff, faculty, and students about sexual harassment issues.

Definition and Statutory Reference

Harassment on the basis of sex is discrimination in violation of Title VII of the Civil Rights Act of 1964, 42 U.S.C.§2000e, and Title IX of the Educational Amendments of 1972, 20 §U.S.C. 1681.  In addition, sexual harassment by a public servant is a criminal offense under Texas Penal Code §39.02, and sexual harassment by any individual may constitute assault, sexual assault, public lewdness, or indecent exposure under Chapters 21 and 22 of the Texas Penal Code.

Sexual harassment most often exploits a relationship between individuals of unequal power and authority (as, for example, between an employee and supervisor or between a student and teacher) but may also occur between student peers or employees of equal rank.  Sexual harassment is not limited by gender of either party, nor by superior/subordinate relationships.  At a university, sexual harassment also constitutes unprofessional conduct which compromises the University's commitment to the pursuit of learning.

Unwelcome sexual advances, requests for sexual favors, verbal and written comments, or physical conduct of a sexual nature may constitute sexual harassment when such conduct:

  1. is made, either explicitly or implicitly, a term or condition of instruction, employment, or participation in a university activity; or
  2. is used to be a basis for evaluation in making academic or personnel decision affecting an individual; or
  3. creates an intimidating, hostile, or offensive university environment.

In relation to the foregoing statements, sexually harassing behavior may include, but is not limited to, the following: unwelcome sexual flirtations, advances, or propositions; verbal remarks of a sexual nature (whether directed to an individual or a group), including sexually explicit or offensive jokes; graphic or degrading verbal or written comments of a sexual nature about an individual or the individual's appearance; any suggestive or unwelcome physical contact; conduct of a sexual nature that interferes with a student's academic or extracurricular activities or with an employee's job performance; or assault.

Responsibility

The ultimate responsibility for the effective implementation of this policy is with the President of the University.  The Provost and Vice President for Academic Affairs and the Director, Human Resources/Affirmative Action (HR/AAO) will see that the University's Sexual Harassment Policy is communicated on a routine basis through the faculty, staff and student handbooks.

Failure of supervisors to investigate allegations of sexual harassment or failure to take timely corrective action is a violation of UHV policy and may be considered a violation of the law.  UHV will take preventive and corrective action in cases of sexual harassment; individuals who engage in such misconduct are subject to appropriate disciplinary action.

Confidentiality

All efforts will be made to respect the right to confidentiality of all parties involved in a sexual harassment charge.  Confidentiality, however, cannot be guaranteed.

Retaliation

Retaliatory action taken against any party, including witnesses, as a result of that person's seeking redress under the applicable procedures dealing with sexual harassment is prohibited.  Such action shall be regarded as a separate and distinct cause for complaint.

Malicious Allegations/Complaints

Malicious charges may result in sanctions imposed against the complainant by UHV, or charges filed against the complainant by the respondent. Repeated filing of frivolous complaints will be considered a malicious action.  The failure to substantiate a sexual harassment charge does not automatically constitute a malicious charge.

Pursuit of Complaint Outside UHV

This policy does not preclude anyone from pursuing a complaint, at any stage of the process, with any external agency.



PROCEDURES

UHV, as an employer and as an educational institution, has a moral and legal obligation and a duty to take complaints of sexual harassment seriously.  In addition, UHV may be legally liable if a person with supervisory responsibility knew or should have known about sexual harassment and failed to take any action to stop it.  UHV is prepared to take preventive and corrective action in cases of sexual harassment.

UHV sexual harassment procedures are composed of two parts: (1) an intervention and (2) a hearing. UHV is committed to resolving sexual harassment complaints at the intervention step whenever possible.  The hearing, the optional second step in this two step process, must be preceded by the intervention step.

Education and Information

UHV will provide education and information for students, staff, and faculty to enhance understanding and increase awareness of UHV's Sexual Harassment Policy and Procedures.  UHV will  identify members of the UHV community  who have knowledge of UHV's sexual harassment policy and from whom individuals may seek information on matters related to sexual harassment.  These individuals may provide information on the procedures for pursuing an intervention of the complaint (Step 1) and for filing a grievance under the hearing procedures (Step 2). Information on external agencies will be available in the Human Resources Office.

Step 1: Intervention

Intervention is an attempt to resolve the sexual harassment complaint rather than focusing on motive or blame.  Resolution at this stage requires the voluntary agreement of all parties. UHV believes that resolution at the intervention step can benefit the complainant, the respondent, and UHV as a whole.  The  HR/AAO will maintain a list of trained persons (including supervisors) needed for implementing the intervention step.

Actions that can be taken in the intervention step include but are not limited to:

  • listening to the complainant to find out what action is desired;
  • advising the parties about the scope of the University's Sexual Harassment Policy and Procedures;
  • providing materials and information on recommended actions that the complainant may consider to communicate the unwelcome nature of the behavior of the respondent, such as advising the complainant on how to write a letter designed to stop unwelcome behavior;
  • sending a letter to everyone in the unit indicating concern about sexual harassment and enclosing a copy of the policy;
  • undertaking a preliminary and confidential investigation;
  • conducting a workshop on sexual harassment for the unit, division or department, and keeping an attendance record as proof of notice given to the respondent of this policy;
  • having a supervisor speak to and counsel the respondent;
  • having the complainant meet with the respondent, with a third party present, to discuss the complaint;
  • helping to draft an agreement providing for a letter of apology, a transfer of either party, a voluntary resignation, or other levels of appropriate university sanctions;
  • following up on an inquiry to see if the complaint has been resolved or if the complainant still wished to take further action.

Recordkeeping

Each complaint should be documented at the intervention step in a confidential file kept separate from any personnel or student files.  Documentation should include name of the complainant, name of the respondent, the nature of the complaint, date, witnesses and any other information relevant to the case.  The HR/AAO shall be responsible for maintaining all records involving sexual harassment.

Reporting

A statistical reporting procedure indicating the number, type and disposition of the inquiries or complaints about sexual harassment received by each unit or division for a specific period covered by the report will be developed and monitored by the HR/AAO.  These reports are confidential and will not disclose the names of parties or other identifying details.  A summary report of the data will periodically be presented to UHV community from the Office of the President.  The President will submit an annual statistical report to the Chancellor.

Withdrawal of a Complaint

If the complainant decides to terminate the intervention or withdraws the complaint, this action will not necessarily preclude an investigation by the HR/AAO or designated representative.

Confidentiality

UHV understands that some individuals may be reluctant to tell anyone about harassment or to have their names disclosed.  Every possible effort will be made to maintain confidentiality in the intervention step. Confidentiality, however, cannot be guaranteed.

Step 2: Hearing

Timeliness and Confidentiality

All stages of the hearing process should be processed according to the specified time requirements set forth below.  All participants in each stage of the hearing process should maintain confidentiality to the greatest extent possible.

Initiation of the Hearing Process

The HR/AAO is the designated individual at UHV charged with facilitating the process of the hearing.

The role of the HR/AAO shall be:

  1. to obtain a written complaint.
  2. to maintain permanent records required by policy
  3. to determine whether there is sufficient cause to send the complaint to a hearing committee
  4. if cause is found, then the HR/AAO shall within five working days:

(a) notify, in writing, the respondent
(b) notify, in writing, appropriate supervisor(s); and when a student is involved, notify appropriate academic chair
(c) include in the written notification a statement warning those involved with the complaint, including the supervisors, that retaliation may subject that individual and UHV to additional charges.

  1. if cause is not found, the HR/AAO will write a letter to the complainant within five working days stating the reasons why the complaint will not be sent forward to a hearing panel.

Contents of the Written Complaint

The complainant must state the name and address of the complainant; the nature, date, and description of the violation(s); the relief requested for corrective action; and any background information the complainant believes would be helpful.  This must be signed and dated by the complainant.

Withdrawal of the Complaint

If the complainant decides to terminate the hearing or withdraws the complaint, this action will not necessarily preclude a UHV investigation by the HR/AAO or designated representative.

Hearing Committee

Composition of Hearing Committee - The Sexual Harassment Hearing Committee will be appointed by the President, using recommendations of constituencies.  The committee is specifically constituted to provide members for hearing panels. Members of the committee will be appropriately trained.  All constituencies (student/faculty/staff) will be represented.  Gender and ethnic diversity should be considered.  Members of the committee will serve two (2) year terms, and may be reappointed at the President's discretion so that only part of the committee is new each academic year.

Members of the Hearing Panel for a Specific Case - A Hearing Panel with five members will be selected from  the members of the Hearing Committee by the HR/AAO.  Constituencies of both complainant and respondent will be represented.  Both complainant and respondent will have an opportunity to challenge the selection of prospective hearing panel member one time without a statement of reasonable cause; however, neither party may select nor recommend a member of the Hearing Panel.  Any additional challenges by either party must include a statement of reasonable cause.  Rulings on challenges with a reasonable cause statement will be made by the HR/AAO.  A potential hearing panel member may elect not to serve based on a conflict of interest.

The Hearing Panel will elect its Chair.  The Chair will set a hearing date for the hearing.

General Counsel - The Hearing Panel may request that an attorney from the Office of General Counsel sit as an advisor to the panel during the hearing.  This person would be available to answer procedural questions and to assist in maintaining the decorum of the proceeding.  The attorney will not be present in the deliberations.

Hearing Procedures

Advisors

Parties will have the right to an advisor(s) of their choice; however, neither party may proceed through their advisor.  Any party  who chooses to bring an advisor to the hearing must provide the name of the advisor to the HR/AAO at least 3 working days prior to the hearing date.  Any advisor not listed will not be allowed to attend.  If the person who will assist the complainant is an attorney, then an attorney from the Office of General Counsel must also be present at the hearing

Documents and witnesses

Documents to be presented as evidence and names of potential witnesses must be presented to the HR/AAO at least three working days prior to the hearing date.  There will be a simultaneous exchange of documents and witness lists between complainant and respondent conducted and documented by the HR/AAO within the above time frame.

Only listed witnesses will be allowed to address the Hearing Panel.  If information is made available to the Hearing Panel during the course of the hearing that the Hearing Panel deems necessary for the resolution of the charge, the Hearing Panel is vested with the authority to request testimony from additional witnesses or request additional documentation.  The Hearing Panel can only hear testimony from additional witnesses and can only review additional documents if it allows the complainant and respondent additional time to prepare a response.

The hearing, but not the deliberation, will be recorded so that there is an official record of what occurred.  The HR/AAO will have responsibility for recording the hearing and no other recording will be allowed.  The complainant or respondent may obtain a copy of the tapes from any recorded hearing, at the requesting party's expense. T he request must be made in writing to the HR/AAO.  The tapes of the hearing will be kept by the HR/AAO for at least two years after the resolution of the complaint.

Opening and Closing Statements

All parties will be afforded a reasonable opportunity for oral opening and closing arguments.  The complainant will make the first opening statement.  The respondent will then make an opening statement.  After all the witnesses are presented, the complainant will make a closing statement, which will be followed by the respondent's closing statement.

Witnesses

After opening statements, the complainant will present witnesses.  After the complainant has questioned each witness, the respondent will be given an opportunity to question each witness.  The Hearing Panel may ask questions of a witness at any time.

After the complainant has presented all witnesses, the respondent then has an opportunity to present witnesses.  The respondent may question these witnesses, and the complainant should have an opportunity to question the respondent's witnesses.

After both parties and the Hearing Panel have concluded questioning the witness, the witness will be reminded that all testimony is confidential and will be excused from the room.  Witnesses will not be present during the questioning of any party or any other witness.

Retaliation against any employee for participating or not participating in a hearing is strictly prohibited.

Disruptive Behavior

Disruptive behavior by any participant, as determined by the Hearing Panel, will not be tolerated and will be grounds for expulsion from the hearing.

Deliberation

After the hearing is concluded, the Hearing Panel will deliberate in closed session and arrive at a majority decision.

Standard of Evidence

The Hearing Panel will decide whether or not the University's policy has been violated based upon the preponderance of evidence presented during the hearing.

Hearing Panel Outcomes

Within five working days, the Hearing Panel will recommend that the HR/AAO:

  1. dismiss the complaint for lack of merit; or
  2. find that policy against sexual harassment has not been violated; or
  3. find that policy against sexual harassment has been violated.

In the third instance, the Hearing Panel will recommend administrative sanctions which may include any disciplinary action, up to and including termination of employment for faculty or staff or dismissal from the University for students.  This procedure is to be used in place of all other procedures concerning grievances, but removal of tenure from a faculty member may only be accomplished through procedures outlined in the Faculty Manual.

Recommendation Transmittal

The Hearing Panel will transmit a written copy of  its recommendation to the HR/AAO within five working days after the hearing is concluded.  The HR/AAO will then mail a copy of the recommendation(s) to the complainant and respondent by certified or hand delivered mail with proof of delivery  to the addresses provided by the complainant and the respondent.  The recommendation will also be given to the appropriate Vice President for action.

Administrative Actions

The appropriate Vice President will:

  1. uphold the Hearing Panel's findings and accept its recommendation; or
  2. uphold the Hearing Panel's findings and impose different sanctions; or
  3. reject the findings of the Hearing Panel and take administrative actions.

The decision will be transmitted to the appropriate supervisor(s) and to the complainant and respondent.

Appeals

Both complainant and respondent have the right to appeal to the President.  Appeals must be received in the President's office no later than ten (10) working days after the person appealing has been notified of the action taken.  If either party has requested an interview or is requested to appear for an interview by the President, then both parties must be informed.  The intent of the President's review is not to hear new evidence.  The intent of this review is to insure that the hearing and recommendations of the Hearing Panel were not arbitrary, capricious, or discriminatory, did not violate the right of the parties and did not violate the concepts of fair play to both parties.  The President shall respond in writing to the appeal within fifteen (15) working days from the date of receipt.  The copy of the response will be forwarded to the HR/AAO for inclusion in the hearing file.  The President's review is the final institutional step in matters of sexual harassment.  However, nothing precludes the complainant from filing a complaint with any external agency that handles sexual harassment complaints.

Records Retention and Confidentiality

During the University’s internal process , the complaint and all documents will be kept confidential, except that the appropriate administrative officers will be kept informed on a "need to know" basis.  At whatever stage the internal University process   is completed, the file containing all documentation in the complaint will be sent to the HR/AAO and retained as a file with limited access.  However, all findings of violations of the sexual harassment policy and all sanctions imposed will be added to the respondent's personnel and/or student file.

 

Approved:

Signed                                                8/25/03
Karen S. Haynes, Ph.D.                      Date

Origination:     Human Resources
Next review date:   August 2005

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