Supervisor Workplace Reporting Protocol For Addressing Harassment

University of Iowa Division of Student Services
February, 2007

 

Table of Contents

Reporting Obligations for Supervisors

Supervisor's Duty to Address Harassment

Procedures for Informal Investigation

When Supervisors are Victims of Harassment

What Is Sexual Harassment?

The University of Iowa Human Rights Policy

 

Introduction

The following procedural guidelines apply to departments that report to the Office of the Vice President for Student Services. It applies in every case where harassment is reported by a Student Services employee (including part-time and temporary student employees). For purposes of these guidelines, "harassment" applies to any conduct described as harassment or any conduct the supervisor believes may be offensive to one or more persons in the workplace. In addition to addressing harassing conduct, supervisors are required to report incidents to the Department HR Unit Representative. Supervisors covered by this protocol include immediate supervisors (merit employees and P & S staff) as well as human resource representatives and other departmental and sub-departmental executive officers (hereinafter "Student Services supervisors").

Reporting Obligations for Supervisors Regarding Workplace Misconduct

Several of the University policies which protect the rights of employees impose reporting obligations on supervisors. In addition to the Human Rights Policy, supervisors must be familiar with the Sexual Harassment Policy, the Anti-Harassment Policy, the Policy on Violence, the Anti-Retaliation Policy, and the Policy on Ethics and Responsibilities for University of Iowa staff. All of these policies are posted on-line in the University Operations Manual. Supervisors must observe the conduct rules as well as address incidents of misconduct in the workplace. Because supervisors are University agents, we are held to a higher standard than non-supervisory employees when policy is violated. A single incident of harassing conduct by a supervisor could result in suspension or termination. Failure by the supervisor to remedy illegal discrimination in a timely manner could result in disciplinary sanctions as well as result in a finding of liability in court. Under federal and state law, supervisors can be held personally liable for conduct that violates the civil rights of employees and students.

The University of Iowa Human Rights Policy requires that agents of the University not treat employees differently by using classifications that deprive the employees of consideration as individuals. Prohibited classifications include, but are not limited to: race, sex, sexual orientation, creed, color, national origin, age, disability, gender identity, or associational preference. The Human Rights Policy applies to protect students as well as employees from differential treatment. The Policy is reprinted in full at the end of this document.

While observing the Human Rights Policy, supervisors have an affirmative duty to remedy differential treatment by non-supervisory employees when it occurs within the supervisor's work unit. When an employee in your work unit makes derogatory comments to a co-worker about the co-worker's race, gender, or sexual orientation, for instance, the supervisor is obliged to intervene and address the misconduct in order to prevent further instances of differential treatment from re-occurring.

To ensure the Human Rights Policy and other policies are always observed in the workplace, supervisors are advised to exhibit good role modeling behavior at all times. Here are some examples of good modeling behavior:

• Think about how your actions and words might impact another person's attitudes toward work, job performance, and self-esteem. Remember that people have different sensitivity levels. The topics that offend you also offend others, but some issues that offend or embarrass others are not issues that every supervisor presumes to be offensive. Be particularly sensitive to comments made regarding a co-worker's appearance, ethnic background, political beliefs, and sexual orientation.
• Pay attention to how others respond to what you do as well as what you say. Don't assume that your employees and co-workers enjoy being touched, stared at, or propositioned.
• During informal discussion around the office, avoid making jokes and comments that are derogatory of individuals or that denigrate certain groups of people. When employees and co-workers realize that you don't appreciate derogatory jokes or comments in the workplace, fewer sexist and racist comments are likely to be overheard around the office.
• Encourage your employees to report their frustrations and concerns to you. Don't give employees the impression that they are expected to accept offensive behavior, and don't criticize them directly or indirectly or ignore concerns when they report to you about the behavior of co-workers.
• Listen carefully to employee comments and look for signs of subtle body language which may suggest that an employee is feeling harassed but is uncomfortable admitting it. Do not assume that individuals who work for you will tell you directly that one of their co-workers is offending them or harassing them.
• Realize that individuals who work for you may have a particularly difficult time telling you when your conduct is offending them. Remember that your employees may be putting up with unwanted behavior simply because you are the "boss."
• Talk to your partner, family members, or close friends about experiences they might have had with sexual harassment and other forms of harassment. Consider the vulnerability, powerlessness, or anger they experienced as victims and realize how persons in your work place may be similarly affected by discriminatory harassment.
• Provide educational opportunities for your staff. Educational efforts are essential to the establishment of a campus environment that is free of harassment.

Supervisor's Duty to Address Harassment

1. The Supervisor's Initial Response. When an employee shares with his or her supervisor a concern or complaint involving harassment by a co-worker, student, or visitor to campus, the supervisory shall immediately inform the employee that the report will be taken seriously. The supervisor should also explain that he or she has a responsibility to report the matter within the University (even if the employee asks to keep it confidential) and take appropriate action to address the situation. Listen attentively to the employee and document the information provided. Explain that an employee who experiences harassment may choose to confront the offender verbally or in writing and request that the unwanted behavior stop immediately. If the complainant is a third party (i.e., not the victim but an observer) and the apparent victim is an employee you supervise, the supervisor should arrange to speak to the apparent victim as soon as possible in order to obtain his or her account of the incident. If the person who is causing the harassment is not an employee under your supervision, don't ignore the matter but refer the third-party report to the appropriate supervisor who has authority to remedy the problem. At this point, the supervisor should also notify their HR Unit Representative.

2. Mandatory Reporting by the Supervisor. Reporting is mandatory in those cases where harassment in the workplace involves persons of different gender, race, sexual orientation, or other category listed in the Human Rights Policy. Within the Student Services Division, it is mandatory that the supervisor who received the complaint contact the Human Resources (HR) Unit Representative in his or her department and discuss the nature of the complaint. When the person complaining about harassment has indicated that gender, race, or sexual orientation was a subject of discussion, it is particularly critical that the supervisor summarizes in writing the allegations reported by the complainant and submit the written summary to the department HR Unit Representative. Whether or not the employee confronts the person engaging in unwanted behavior, the supervisor shall contact as soon as possible his or her supervisor and the HR Unit Representative and determine an appropriate response to the complaint (see "Procedures for Informal Investigation" below).

3. Classifying the Misconduct. Depending upon the nature of the complaint, the unwanted behavior may or may not fit the definition of harassment prohibited by University policy. If the unwanted behavior does constitute harassment as defined by University policy, UI policy requires that the initial complaint be reported in a timely manner to the Assistant Vice President for Student Services/Senior HR Representative, to the Office of Equal Opportunity and Diversity (EOD), or to both offices. In the case of sexual harassment complaint or a Human Rights Policy complaint, the Assistant Vice President/Senior HR Representative will assist in preparing a report to the EOD as required by University Policy. The decision to contact the Assistant Vice President/Senior HR Representative is the responsibility of the department HR Unit Representative.

Each policy contains a definition of harassing behavior prohibited by policy. Contact your department HR Unit Representative who will assist you in classifying the misconduct reported to you.

Policy on Human Rights
Policy on Sexual Harassment
Anti-Harassment Policy
Policy on Violence
Anti-Retaliation Policy
Policy on Ethics and Responsibilities for staff

4. Notify the Complainant of UI Reporting Avenues. In many cases, University policy provides that the complaining employee may file a formal complaint directly with the Office of Equal Opportunity and Diversity (EOD). A formal complaint means that the EOD office would undertake a formal investigation and issue a written finding. When the supervisor who received the complaint contacts the HR Unit Representative in his or her department, the HR Unit Representative will determine whether the complaint appears to fall under the Human Rights Policy, the Sexual Harassment Policy, the Anti-Harassment Policy, or some other University policy that prohibits discrimination. If one of these policies does appear to cover the unwanted behavior, it is necessary to meet again with the complainant and provide a copy of the applicable policy and information regarding his or her option to file a formal complaint directly with the EOD office. This meeting can be done by the supervisor and/or HR Unit Representative. When a complaint does fall under the Human Rights Policy, the Sexual Harassment Policy, or some other University policy that prohibits discrimination, the HR Unit Representative will contact the EOD office in order to learn if the employee who complained to the supervisor also filed a complaint with EOD.

5. Informal Investigation. When a complaint does not fall under a University policy that prohibits discrimination, the supervisor of the person accused of misconduct and/or the HR Unit Representative will conduct, as outlined below, an investigation of the complaint on behalf of the department. An informal investigation will not be undertaken by the supervisor if EOD is investigating.

Procedures for Informal Investigation

1. Who Assumes the Role of Informal Investigator? Unless the complainant files a formal complaint with EOD, the supervisor of the employee accused of misconduct and/or HR Unit Representative is responsible for conducting the investigation on behalf of the department. If the supervisor of the accused employee does not supervise the complainant, it is good practice for the two supervisors to consult with each other and the HR Unit Representative during the investigation. In such a circumstance, the complainant's supervisor may attend the investigator's interview with the accused employee.

2. How Should I Structure My Interview with the Complainant?

Prior to any formal interview, or when an employee first reports an incident or concern to you, you should provide some important initial information to the employee :

1. Support the employee in their decision to come talk to you. Communication is vital. We can only help and take action when concerns are brought forward or we become aware of activity in the workplace that is of concern for employees.
2. Let the employee know your role. Tell him/her that your job is to listen and gather information in deciding how to proceed. Supervisors have mandatory reporting responsibilities, so it is important for you to let your employee know that you are required to investigate such complaints and to pass on information about possible harassment to the HR Unit Representative and potentially other parties.
3. Explain the UI Anti-Retaliation policy. Employees are protected against retaliation for reporting harassment or prohibited acts.
4. Inform the employee that the information shared will remain confidential and only be shared with administrative staff involved in assisting with the assessment of the complaint. Advise the complainant to refrain from discussing this with other staff in order to respect everyone's rights.

Ask the complainant the following questions, listen attentively, and document the complainant's responses. It is important to refrain from making judgmental statements or nonverbal acknowledgements that could be perceived as agreement or disagreement, during the interview. You are there to record factual information and remain impartial. If the complainant is a third party complainant, the following questions are to be asked relative to the complainant's perception of the apparent victim's experience.

• What happened?
• Did it affect your work or the work of the employee(s)? If yes, how?
• What were your feelings about it?
• Did you respond in any way? If yes, how did you communicate?
• What is the background of the incident? (dates/times/location)
• If the harassment was communicated to you in writing or by e-mail, do you have a copy of the documentation?
• Were there witnesses to the incident? If yes, who were the witnesses (including names)?
• Did you discuss the incident with anyone else?
• Do you know if the person has harassed anyone else? If so, who and when?
• From your perspective, how could this situation best be resolved?

Your HR Unit Representative may have a form to guide you in gathering this information.

3. What If the Reported Conduct is Offensive But It Does Not Rise to the Level of a Policy Violation? Depending upon the nature of the conduct alleged, it may be good practice in some cases for the supervisor and/or HR Unit Representative to speak with the accused employee and discuss work rules even though the conduct did not violate work rules. In those cases where similar behavior in the future would violate work rules if repeated, the accused employee shall be counseled by the supervisor and/or HR Unit Representative and told that such conduct was unacceptable and must cease (refer to the Sexual Harassment Policy, "Isolated Behavior").

4. How Should I Conduct The Interview with the Accused Employee? If the information provided by the complainant appears to be credible and would violate a work rule, the supervisor and/or HR Unit Representative investigating the matter shall meet with the accused employee in a timely manner. During the interview, the accused should be told of the allegations in summarized fashion in order that the investigator may learn the accused employee's side of the story. Questions similar to those asked of the complainant may be appropriate to ask to the accused. Again, some initial information should be provided to the accused employee before conducting the interview:

1. Explain your role as an investigator and the ‘mandatory reporting' guidelines you must follow.
2. Make clear that the intent of the alleged harasser is not relevant; the main purpose is to follow up on allegations that have been made to assess whether the conduct occurred and if so, whether the behavior was welcomed or not.
3. The UI Anti-Retaliation Policy should be explained and the accused employee reminded of the disciplinary consequences in the event of retaliation. In those cases where you and the Senior HR Rep believe a no-contact order should be imposed, your directive not to contact the complainant ordinarily should be issued in written form to the accused and the complainant shall be told that the directive has been issued and the means for reporting any violations. No-contact orders may be issued, for instance, when the complainant and the accused work in different offices and do not ordinarily work together. If both work in the same office, the accused employee may be reassigned temporarily to another work location while the complaint is being investigated.
4. Educate the accused employee about relevant policies and the impact of the alleged behavior on the victim, the accused, the workplace environment and the University community.
5. Discuss confidentiality expectations.

5. Do I Need to Interview Anyone Else? After meeting with the accused employee, the supervisor shall review his or her notes and determine if the fundamental allegations are in dispute. If the accused denies violating work rules, the supervisor shall interview any relevant employee witnesses to determine what actually happened. Once all material witnesses have been identified and interviewed, the supervisor and/or HR Unit Representative investigating the complaint shall determine which account is more credible. Based upon the apparent facts, the supervisor in consultation with the HR Unit Representative shall determine whether any work rules were violated.

6. What Do I Do After Completing the Interviews? After meeting with the accused employee, the supervisor investigating the matter shall document the facts and determine whether the alleged conduct would violate work rules if the facts are true. If the most credible information available supports a conclusion that a work rule was violated, appropriate counseling or disciplinary action shall be taken commensurate with the prior disciplinary history of the rule violator and the severity of the infraction. When a supervisor determines that a University policy such as the Human Rights Policy, Sexual Harassment Policy, or Anti-Harassment Policy was violated, the supervisor shall submit a final report to the HR Unit Representative who will then forward the findings to the Office of the Vice President for Student Services. If the misconduct violated the Sexual Harassment Policy, the Assistant Vice President/Senior HR Representative will assist in preparing a report to the EOD as required by the Sexual Harassment Policy.

The complainant shall be informed of the outcome of the investigation. In explaining the decision to the complainant, the supervisor and/or HR Unit Representative shall encourage the complainant to report promptly to the supervisor any future complaints. If the investigation results in the complaint being unfounded or not in violation of UI policies governing harassment, the complainant shall also be advised of the formal complaint process of the EOD.

The accused party shall be informed of the outcome of the investigation. It is important to reference that if similar behavior in the future would violate a University policy, that such conduct is unacceptable and must cease.

When Supervisors are Victims of Harassment

In some cases, a supervisor suffers harassment or is otherwise treated differently in violation of the University Policies that govern conduct in the workplace by his or her supervisor, by a peer supervisor, or by an employee that he or she supervises.

• Recognize harassment when it happens. Understand that it is not your fault and that it neither "comes with the job" nor is "part of the educational process."
• Don't ignore the offensive behavior. The behavior probably will not change if you ignore it without taking further action.
• One option is to talk to the harasser. Tell him/her that you find the behavior offensive. Describe how the harassment negatively affects your work, education, on-campus living environment, or participation in a University activity.
• Put your objections to the harassment in writing, send a letter to the harasser, and keep a copy in your file and/or report the harassment to your supervisor and/or HR Unit Representative.
• Document all harassment incidents or conversations about the incidents. Record the date, time, place, people involved, and who said what to whom.
• Don't encourage harassers by smiling and/or laughing at their jokes, or "flirting back." This type of response can lead a harasser to mistakenly think you enjoy this type of attention.

What Is Sexual Harassment?

A. The University of Iowa Policy on Sexual Harassment defines sexual harassment as:

persistent, repetitive or egregious conduct directed at a specific individual or group of individuals that a reasonable person would interpret, in the full context in which the conduct occurs, as harassment of a sexual nature, when:

1. submission to such conduct is made or threatened to be made explicitly or implicitly a term or condition of an individual's employment, education, on-campus living environment, or participation in a University activity;
2. submission to or rejection of such conduct is used or threatened to be used as a basis for a decision affecting employment, education, on-campus living environment, or participation in a University activity; or
3. such conduct has the purpose or effect of unreasonably interfering with work or educational performance, or of creating an intimidating or offensive environment for employment, education, on-campus living, or participation in a University activity.

B. Conduct that may be evidence of sexual harassment may include:

1. Physical assault;
2. Direct or implied threats that submission to sexual advances will be a condition of, or that failure to submit to such advances will adversely affect, employment, work status, promotion, grades, letters of recommendation, or participation in a University activity;
3. Direct propositions of a sexual nature;
4. Subtle pressure for sexual activity, an element of which may be repeated staring;
5. A pattern of sexually explicit statements, questions, jokes or anecdotes;
6. A pattern of conduct involving:
   1. Unnecessary touching;
   2. Remarks of a sexual nature about a person's clothing or body; or,
   3. Remarks relating to sexual activity or speculations concerning previous sexual experience;
7. A display of graphic sexual material (not legitimately related to the subject matter of a course if one is involved) in a context where others are not free to avoid the display.

C. Facts about sexual harassment:

• Sexual harassment is a violation of Title VII of the Civil Rights Act, Title IX of the Education Amendments, and Chapter 216 of the Iowa Code.
• While over 90 percent of reported harassment is committed by men, women may also commit harassment.
• University policy prohibits sexual harassment whether it occurs between individuals of the opposite sex or of the same sex.

The University of Iowa Human Rights Policy

The University of Iowa brings together in common pursuit of its educational goals persons of many nations, races, and creeds. The University is guided by the precept that in no aspect of its programs shall there be differences in the treatment of persons because of race, creed, color, national origin, age, sex, disability, sexual orientation, gender identity and any other classification that deprives the person of consideration as an individual, and that equal opportunity and access to facilities shall be available to all. Among the classifications that deprive the person of consideration as an individual are those based on associational preference. These principles are expected to be observed in the internal policies and practices of the University, specifically in the admission, housing, and education of students; in policies governing programs of extracurricular life and activities; and in the employment of faculty and staff personnel. The University shall work cooperatively with the community in furthering these principles.

Complaints of alleged human rights violations can be filed with the University of Iowa charter Committee on Human Rights. The Committee investigates written complaints brought to the attention of the Committee Chairperson and makes recommendations to the president. Complaint forms are available from the chair, on line at http://www.uiowa.edu/~hrc/ or from the Office of the Vice President for Student Services, Room 249, Iowa Memorial Union.

Resources

Remember that employees always have the option of bringing a complaint to any of the following resources:

Office of Equal Opportunity and Diversity	202 JH	335-0705 (voice) 335-0697 (text)
Associate Vice President for Finance and University Services & Director of Human Resources	121 USB	335-3558
Vice President for Student Services and Dean of Students	249 IMU	335-3557
UI Human Rights Committee	249 IMU	335-3557
Your HR Unit Representative	HR self-service website

Employees may speak confidentially to any of the following resources:

Office of the Ombudsperson	C108 SSH	335-3608
Faculty and Staff Services	121-50 USB	335-2085
University Counseling Service	3223 WL	335-7294
Women's Resources and Action Center	130 N. Madison	335-1486
Rape Victim Advocacy Program	320 Linn St. Bldg.	335-6001

Prepared by Thomas R. Baker, Associate Dean of Students, Office of the Vice President for Student Services and Sarah Hansen, Administrative Intern, Office of the Vice President for Student Services, in consultation with Student Services Senior HR Representative, Student Services departmental HR representatives, the Office of Equal Opportunity & Diversity, and the University Office of Human Resources.

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