Civility Resources and Policies
Harassment Policy and Procedure
Teachers College, Columbia University
Teachers College Policy on Protection from Harassment
August 7, 2007
I. Introduction
Teachers College ("TC" or the "College") is committed to providing a working and learning environment free from harassment and to fostering a vibrant, nurturing 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 College 1) not to tolerate harassment in any form, 2) to actively foster prevention of harassment in the TC community, and 3) to provide faculty, students, administrators, and staff with mechanisms for seeking informal or formal resolution. 1
Harassment behavior is detrimental to the supportive setting TC strives to provide for its community. Whether or not this behavior is strictly unlawful, any action that impedes the performance or experience of others as employees or students at TC is considered prohibitive to the enjoyment of the fundamental freedoms of inquiry, work, and study. The policy of the College remains unequivocal in all domains of its activity: harassment cannot and will not be tolerated.
In accordance with these intentions, the following policy and procedures outline the options available to the TC community when faced with possible harassment, as well as the College commitment to prevention. All members of the College community are expected to adhere to the policy in this statement and to cooperate with the procedure it describes for responding to complaints of 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 consulting with the appropriate College resources as described in the College Procedures for Handling Harassment in order to take reasonable and necessary action to prevent harassment in the workplace and for responding promptly and thoroughly to any such claims.
Retaliation
Retaliation against anyone who raises concerns, files a complaint or participates in an investigation is prohibited. Employees and students will not suffer any adverse actions for reporting instances of alleged harassment. Acts of retaliation should be reported immediately and will be investigated promptly. Any person found to have retaliated against another for reporting harassment will be subject to disciplinary action.
II. Definitions of Harassment
1. Harassment
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 group. This includes sexual harassment, which is described in further detail below.
2. Sexual Harassment
Harassment on the basis of sex is a violation of Title VII of the Civil Rights Act of 1964. For purposes of this Policy sexual harassment is defined, as in the Equal Opportunity Commission Guidelines, as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when:
- submission to such conduct is made whether explicitly or implicitly a term or condition of an individual's employment,
- submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual, or
- such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.
While the Equal Employment Opportunity Commission guidelines deriving from Title VII apply in the specific context of employment, sexual harassment of students presents an equally grievous situation and has been interpreted to violate Title IX of the Education Amendments of 1972. Sexual harassment of students is viewed as a violation of Title IX of the 1972 Education Amendment in that such harassment constitutes differential treatment on the basis of sex. Title IX applies to any educational program or activity which receives federal funds and protects both employees and students.
The Office for Civil Rights of the U.S. Department of Education (OCR) has determined that sexual harassment of students is a real and increasingly visible problem of serious consequence in higher education. A sexual harassment experience can affect all aspects of a student's life: it can threaten a student's emotional well-being, impair academic progress, and even inhibit the attainment of career goals. Further, OCR notes that while most sexual harassment incidents involve a male transgressor and a female victim, there are also instances involving female transgressors and male victims as well as same-sex harassment. Also, forms of discrimination, such as that based on race, may be combined with an incident of sexual harassment and further compound the severity of its effect and the difficulty of its resolution. It is essential for colleges and universities to address these problems in order to ensure all students a just and equal learning opportunity.
Whether in the context of employment or education, sexual harassment is not exclusively a sexual issue. Rather it must also be understood as an exploitation of a power relationship. Sexual harassment takes various forms, including but not limited to: generalized sexist remarks or behavior, off-color jokes, vulgar comments, unwelcome and offensive sexual advances with or without explicit threats or promises of reward; solicitation of sexual activity or other sex-linked behavior by promise of reward; coercion of sexual activity by threat of punishment; and sexual assaults. All these forms of sexual harassment share certain reprehensible qualities. Those engaged in such behavior distort the relationship of trust that must exist in a college environment to foster independent, creative and pleasurable learning. They treat individuals in reductive, stereotypical ways that are offensive and demeaning, and they misuse their authority and power to exploit a vulnerable person, contaminating the relations of teacher and student, counselor and client, administrator and teacher, or supervisor and employee.
Consensual, romantic relationships between faculty and other employees and students and individuals who work together are strongly discouraged, yet they are not prohibited by College 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.
Nothing in this policy shall abridge academic freedom or the College's educational mission. Prohibitions against harassment do not extend to statements or written materials that are relevant and appropriately related to the subject matter of academic courses.
III. Guidance and Counseling
The College has crafted multiple points of access for those individuals who want to approach a knowledgeable person for advice or solicit feedback regarding their interpretation of events. Individuals who wish to take advantage of this option may contact one of the following:
- Diversity and Community Office
- College Ombudsperson -- Because the College's Ombudsperson operates under strict confidentiality, he 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 College Ombudsperson is available to provide information and clarification regarding the College's policies and procedure, and may assist individuals in evaluating options to determine their chosen recourse. He will refer individuals to appropriate offices and resources within the College, including psychological counseling and support services. He may also engage in informal mediation in an effort to resolve the concerns and claims of those who approach him.
College Procedures for Handling Harassment
I. The Harassment Panel
The Harassment Panel (hereafter, "HP" or the "Panel") serves as the primary vehicle through which the College addresses concerns related to harassment as described in the policy. The Panel's primary responsibility with regard to harassment is to assist in the informal and formal resolution of concerns or complaints of harassment brought by employees and students of the College. The Panel is comprised of faculty, staff, and students. Any faculty member, other officer, member of the support staff, or student may approach any Panel member to discuss his or her concerns and seek advice. The Panel member will provide an impartial, non-adversarial setting in which concerns can be addressed through counseling and advice. The Panel member may also meet with persons other than the complainant to ascertain other relevant facts or to seek an informal resolution to situations in which there are allegations of harassment. A list of current members can be found at www.tc.columbia.edu/admin/ under Policies and Procedures, Crisis/Grievance/Conflict Resolution, Harassment Panel. The Harassment Panel does not conduct formal investigations.
II. Grievance Procedures
Any person who believes that he or she has been harassed may initially choose to deal with the alleged offender directly through, for example, 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 College is available and will be provided. These include 1) informal complaints, 2) mediation and 3) formal complaints. These three avenues of assistance are described below. Further information and educational resources available to members of the community are found at the end of this document.
1. Informal Complaints
TC encourages the prompt reporting of any potential violations of this policy, so that it can take steps to maintain a workplace free of harassment. Early intervention has proven to be the most effective method of resolving actual or perceived incidents of harassment. The Panel provides a guidance and counseling resource to students, faculty and staff. Any student, staff member, or faculty member is encouraged to discuss concerns about incidents of possible harassment with a member of the Panel with or without filing a formal grievance. Absolute confidentiality cannot be guaranteed. However, everyone involved will be urged to maintain confidentiality to the extent possible.
The Panel member will make a record of the contact, leaving out identifiable information to the extent possible. While the Panel member who was contacted may consult with the respective Office of the Vice President or other members of the Panel, no specific circumstances, including the names of the people involved, will be indicated without the written permission of the person who made the informal complaint.
a. Preliminary Review
After an informal complaint has been made and the Panel member's initial intake of the complaint to: a) determine the character of the complaint, b) what forum is most appropriate, and c) whether any more information is needed has been completed, the Panel chair or designee -- upon consultation with the Panel member -- may conduct a preliminary information collection review. The Panel chair has the authority and responsibility to gather information from all sources that s/he deems necessary to understand a complaint. Absolute confidentiality cannot be guaranteed. However, all parties and witnesses involved in the information collection review will be urged to maintain confidentiality.
If the person bringing the complaint is willing to be identified to the person against whom the complaint is made and wishes to attempt informal resolution of the problem, the Panel chair and/or designee will make a confidential record to the extent possible of the circumstances (signed by the complainant) and suggest and/or undertake appropriate discussions with the people involved. These discussions may involve one or more Panel members, but will not necessarily require the Panel as a whole.
The Panel chair and/or designee may inform the person complained against without revealing the identity of the complainants in the following circumstances: a) reports of several incidents of harassment that have occurred in a public context, b) repeated complaints from different people that a particular individual has engaged in harassment, or c) if the consent of the complainant(s) has been obtained in any other circumstances.
b. Conclusion
At its conclusion, the Panel chair and/or designee will inform the complainant of the options available. These include seeking a mediated solution or conducting a formal investigation. Based upon the facts of the case, the Panel chair and/or designee may also advise the complainant that his or her case is more suitable for adjudication by another entity within the College. Individuals may also ask the Panel chair and/or designee to take no further action. However, the College reserves the right to proceed with an investigation on its own.
2. Mediation
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 Panel chair, 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 or by the International Center for Cooperation and Conflict Resolution (ICCCR) at Teachers College. Parties may agree upon a variety of resolutions such as modification of work assignment, training for the staff in 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. 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 cannot be appealed. The Panel chair and/or the designee 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 matter may proceed to a formal complaint.
3. Formal Complaints
If the informal complaint process and/or mediation has failed, or if a complainant wants to make a formal complaint from the outset, the complainant may present a formal, written complaint to the Office of the Vice President to whom the person being complained about reports.
a. Written Statement
Any formal complaint must include a written statement signed by the complainant specifying:
- the identity and status (e.g., employee, student) of the complainant and accused;
- details concerning the incident(s) or conduct that gave rise to the complaint, date(s) of the incident(s), 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.
If a complainant is unable to prepare a written complaint themselves, the Panel chair and/or designee will make a record of the complaint which the complainant may review and sign.
The Vice President may have an initial discussion with the complainant before forwarding the written statement to the Panel chair. The Vice President has seven working days from either receipt of the formal complaint or the meeting with the complainant to forward the formal complaint to the Panel chair. Upon receipt of a formal complaint, the Panel chair will conduct a preliminary information collection review and make a determination as to whether or not the circumstances reported in the complaint warrant further investigation.
b. The Standing Hearing Committee
If the Panel chair determines that the circumstances reported in the complaint may warrant further investigation, the Panel chair convenes the Standing Hearing Committee (the "Committee"). The Committee will likely consist of the Panel chair, the Director of Human Resources, the Vice Provost or Associate Vice Provost, as designated by the Provost, and at least one ad hoc member who represents the community as a whole and may also consist of a member of the College's Union staff if agreed to in collective bargaining. All members of this Committee will be adequately trained to investigate and review complaints of harassment.
The Committee has jurisdiction over formal investigations and formal hearings. Within 15 working days of the Committee's receipt of a formal complaint from the Panel chair, at least one member of the Committee will meet with the complainant. If the Committee determines that the circumstances reported in the complaint do not warrant further investigation, the Panel chair will deliver this decision to the complainant in person or in writing within 10 days of the meeting date of the Committee chair and the complainant.
II. Formal Investigation
If after review the Committee determines that the circumstances warrant further investigation, it will bring the facts and reasons for further investigation before the General Counsel for an interim procedural review. The General Counsel will determine whether an internal or outside investigation shall be used. Subsequently, one member of the Committee will notify the complainant that the formal complaint warrants further investigation, provide a copy of the formal complaint to the accused and, if appropriate, notify the accused employee's supervisor about the complaint at the same time. 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 Vice President. 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 Standing Hearing Committee will not consider any such action as evidence regarding the merits of 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 Committee will continue to evaluate the complaint and reach a decision on the basis of the available information. Once a decision is reached, Committee will re-convene the Panel and present its findings for feedback prior to formally notifying the appropriate Vice President of its decision and recommendations.
If the accused chooses to participate, the accused should submit a written response statement to the complaint within seven (7) working days of receiving the complaint. A copy of the response shall be provided to the complainant.
The investigation will be conducted under the direction of the Committee which appoints an investigator. This may include interviews, reviewing personnel records, reviewing other documents deemed relevant to the complaint or talking to witnesses. The complainant and the accused may suggest witnesses who should be interviewed and written information the investigator should consider. During the investigation process no party is permitted to be represented by legal counsel. Members of the collective bargaining units are entitled to Union representation.
At the sole discretion of the Committee, at any time the Panel may be convened to render feedback or for advice on the nature of the investigation process.
The investigator is expected to complete the investigation and submit the findings to the Committee within forty-five (45) working days from the assignment of the complaint from the Panel.
d. The Hearing
The Committee may convene for a hearing. Both the complainant and the accused should be given a minimum of seven (7) working days notice in writing of the hearing. 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 attendees or witnesses. Both parties also have the right to review any documents or other evidence considered and to rebut any evidence presented as part of his or her defense. Both parties are also permitted to have a silent observer present but this silent observer may not participate in the hearing.
- The Committee will inform the complainant and the accused of any other witnesses it intends to call other than the complainant and the accused.
- The Committee will be in communication with the complainant until the complaint is resolved. The complainant and the accused will be informed of procedures being followed although not of the specific conversations held with the accused.
- The Committee will resolve complaints expeditiously. To the extent possible it will complete the hearing and make its recommendation, with timely and appropriate input and feedback from the Panel where appropriate within 60 days from the time the formal investigation is initiated. The time the formal investigation is initiated is defined as the date the Committee notified the complainant that the formal complaint warrants further investigation.
e. Resolution
After an investigation of a formal complaint, the Committee will:
- Resolve the complaint to the satisfaction of the complainant and the accused and report its findings and the resolution to the appropriate Vice President; or,
- Report its findings with appropriate recommendation for corrective actions to the appropriate Vice President (if the Committee determines that there has been a violation of the harassment policy and corrective action is recommended, the report will specify the circumstances and the action recommended); or,
- Report to the appropriate Vice President its written finding that there is insufficient evidence to support the complaint.
Note that employees covered by collective bargaining agreements may utilize the grievance procedures provided in their respective agreements.
f. Recommended Corrective Action and Sanctions
Following the receipt of the Committee's report, the appropriate Vice President may take such further action as s/he deems necessary, including the initiation of disciplinary proceedings.
The purpose of any recommended corrective action to resolve a complaint will be to correct or to remedy the injury, if any, to the complainant and to prevent further harassment. Recommended corrective action will reflect the level of the violation.
Appropriate sanctions may include: a written warning; formal written reprimand; probation, transfer, suspension, or dismissal; referral to counseling or sensitivity training or any other measure Teachers College believes will be effective in ending the conduct and preventing further harassment. Similarly, based on the Committee's findings, appropriate corrective action might include a change of grade or other academic record for a student who has been the victim of harassment; or other appropriate action. If the complaint involves a grade in a course or if appropriate corrective action involves a change of grade, the Committee may recommend that the Vice President for Academic Affairs authorize a change of grade. If the Committee finds no grounds for a change of grade, the student may still use the grade appeal processes established by the Teachers College Guide to Student Rights and Responsibilities. The Committee does not have the power to take corrective action beyond making a recommendation to a Vice President. Personnel actions, including the suspension or dismissal of any employee of the College, are variously governed by relevant laws, by Personnel Policies, and, in some instances by Collective Bargaining Agreements. Disciplinary actions against students are governed by policies established by the Faculty. These are further described in the Teachers College Catalog and the Guide to Student Rights and Responsibilities.
g. Appeal of Determination and Disciplinary Recommendations
The accused or the complainant may file an appeal of the 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 appropriate Vice President within fifteen (15) working days of receiving notice of the determination and/or disciplinary recommendations. Issues not appealed in this time frame shall be deemed to be conceded. The Vice President will forward the appeal to the Office of the President 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 President for approval. Once approved by the President, the appeal officer 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 by the President.
Once approved by the President, 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 College to review any decision affecting matters of overall College policy.
h. Independent Investigation
The College, at the discretion of the General Counsel, may conduct an investigation independent of or in addition to the procedure provided herein at anytime. The investigation may involve complaints or allegations concerning discrimination or sexual harassment against the College or any of its employees or students.
III. Harassment: Information and Educational Resources
TC Office of Human Resources
http://www.tc.columbia.edu/administration/hr/
(212) 678-3175
TC Office of Student Activities and Programs
http://www.tc.columbia.edu/stlife/detail.asp?id=home
(212) 678-3690
TC Office of the Ombudsman
http://www.tc.edu/diversity/index.asp?Id=Student+Ombudsperson
Erwin Flaxman
(212) 678-4169
TC Center for Educational and Psychological Services
http://www.tc.columbia.edu/ceps/index.html
CU Law School, Mediation Clinic
If the alleged incident involves a CU student, faculty member, or staff, a TC student may contact the Office of Equal Opportunity and Affirmative Action at CU. (This CU service is unavailable for complaints or allegations involving ONLY TC staff, students, or faculty.)
http://www.columbia.edu/cu/vpaa/eoaa/
1 Teachers College maintains strict adherence to its long-standing policy to actively support non-discrimination for all persons regardless of race, sex, color, religion, ethnicity, sexual orientation, national origin, age, citizenship, disability, marital status, veteran status, actual or perceived status of an individual as a victim of domestic violence, or any other basis protected by federal, state, or local law in the administration of its admission, employment, and educational policies or in other school-administered programs. All employees, students, and prospective employees or students are accorded the same rights and privileges as per the College's policies on nondiscrimination. Discrimination may occur by 1) treating members of a protected group less favorably because of their membership in that group (protected groups include but are not limited to race, sex, color, religion, ethnicity, sexual orientation, national origin, age, citizenship, disability, marital status, veteran status, actual or perceived status of an individual as a victim of domestic violence, or any other basis protected by federal, state, or local law); or 2) having a policy or practice that has an adverse impact on protected group members.
