Safe
Working and Learning
Environment Policy
The
Northern Arizona University Policy Regarding Prohibited Discrimination,
Harassment, and Other Inappropriate Behaviors
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TABLE OF CONTENTS
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I.
INTRODUCTION
1. It is the official policy of Northern Arizona University to prohibit discrimination, to inform
2. This policy is based on Arizona Board of Regents and NAU Policy and state
and federal laws including but not limited to: Title VI and Title VII of the
Civil Rights Act of 1964, as amended; the Age Discrimination in Employment Act
of 1967; Title IX of the Education Amendments Act of 1972; Sections 503 and 504
of the Rehabilitation Act of 1973; the Vietnam Era Veterans Readjustment
Assistance Act of 1974, as amended; the Civil Rights Act of 1991; Executive
Order 11246; and the Americans with Disabilities Act of 1990.
1. The purpose of this policy is to:
a)
prevent the occurrence of discrimination on the basis of sex, race,
color, age, national origin, religion, sexual orientation, disability, or
veteran status,
b)
prevent sexual harassment, sexual assault, and other forms of prohibited
harassment by anyone on this campus,
c)
prevent conflicts of interest that might arise from consensual amorous
relationships,
d)
assist those affected and prevent retaliation for seeking information,
assistance, or resolution, and
e)
provide appropriate sanctions and consequences, up to and including
termination or expulsion, for those who, by their actions, intentional or
otherwise, practice, promote, or condone such behavior.
2. This policy is not intended to abridge academic freedom (as outlined in
section A.1. of the Faculty Handbook). Academic freedom thrives on the
independent and open exchange of ideas among students and teachers. However,
academic freedom can exist only when all are free to pursue ideas in a
non-threatening, non-coercive atmosphere of mutual respect.
C.
PROHIBITED CONDUCT
1.
Prohibited discrimination, harassment, and sexual assault run counter to
the objectives of this university and violate Arizona Board of Regents and
university policy. When individuals feel coerced, threatened, intimidated, or
otherwise pressured by others into granting sexual favors, or are singled out
for derision, abuse, or discriminatory treatment based on their sex, race, age,
color, national origin, religion, sexual orientation, disability, or veteran
status, their academic and work performance is likely to suffer. Such actions
violate not only the dignity of the individuals, but also the integrity of the
university as an institution of learning. Retaliation taken for reporting or
objecting to prohibited types of discrimination, consensual amorous
relationships, sexual and/or other prohibited harassment, or sexual assault is
also a violation of the law and this policy.
2. This policy does not cover all forms of perceived unfair treatment.
However, several university offices can assist individuals with issues
not covered under this policy, including the University Ombuds Office, the Human
Resources Department, the Employee Assistance and Wellness Office, the
Counseling and Testing Center, and the Office of Student Life.
D.
OBLIGATIONS OF THOSE IN POSITIONS OF AUTHORITY
When
faculty, administrators, and supervisors receive a complaint under this policy
or have reason to believe a violation of this policy has occurred, it is their
obligation to take steps to prevent its continuation (as outlined in section
VII. C).
1. It is the obligation of faculty, supervisors and administrators (including the Office of Affirmative Action and Multicultural Affairs - hereinafter referred to as 'Affirmative Action') to whom a concern or complaint is brought, to maintain confidentiality of all documentation and protect the privacy of all parties to the greatest extent possible insofar as it does not interfere with the university's obligation to investigate and address the allegations of misconduct or with required disclosure under law.
2. If an investigation is initiated as a result of a complaint, it may be
necessary to reveal the names of the complainant
or other case specifics to the supervisor and/or other involved parties
when seeking information, or, if substantiated, when imposing sanctions.
II.
DISCRIMINATION
A.
POLICY BACKGROUND
The
Arizona Board of Regents Policy states:
6-702
Equality of Opportunity and Affirmative Action
No officer or
employee of the Arizona Board of Regents shall discriminate against any person
because of race, color, religion, national origin, age, non-disqualifying
handicapping condition, veteran status or sex, in any of its programs,
activities, contracts, personnel administration practices or any other actions
it undertakes. (A.B.O.R. Rev. 9/99)
1. Prohibited discrimination is negative action against an individual or group based on their actual or perceived race, sex, age, color, national origin, religion, disability, veteran status, and/or sexual orientation.
2. Disparate treatment and disparate impact are both prohibited forms of
discrimination. Disparate treatment
occurs when one or more persons treat an individual less favorably on the basis
of their actual or perceived race,
sex, age, color, national origin, religion, disability, veteran status, and/or
sexual orientation. Disparate
impact occurs when an apparently neutral institutional policy, practice, or
requirement has a negative effect on educational or employment opportunities or
benefits, for groups of individuals, due to their actual or perceived race, sex,
age, color, national origin, religion, disability, veteran status, and/or sexual
orientation, and it can be shown that the policy, practice, or requirement is
not necessary for the institution to perform its stated function.
1. Prohibited discrimination can take many forms. Employment actions (for example, hiring, assignment, evaluation, transfer, promotion, discipline and dismissal) based upon on employee’s actual or perceived race, sex, age, color, national origin, religion, disability, veteran’s status or sexual orientation, and not upon the employee’s true qualifications and/or performance, are prohibited by this policy and by law. Academic decisions involving students (for example, academic advisement, assignments, grading) based upon these same characteristics of a student and not upon the student’s skills and academic achievement are also prohibited.
2. Harassment of an individual on the basis of that individual’s actual or perceived race, sex, age, color, national origin, religion, disability, veteran status or sexual orientation is also prohibited under this policy. Prohibited harassment includes, but is not limited to, stereotyping, negative comments or jokes, explicit threats, segregation, and verbal or physical assault when any of these are based upon a person’s race, sex, color, national origin, religion, age, disability, veteran status, or sexual orientation. When these harassing behaviors become severe, pervasive or persistent, they may also violate Federal and State law.
The examples of prohibited discrimination and harassment identified above are not exhaustive.
III.
SEXUAL HARASSMENT
A.
POLICY BACKGROUND
Sexual
harassment, like harassment on the basis of membership in other protected
categories, is a form of prohibited discrimination. The Arizona Board of Regents
policy states:
6-707
Sexual Harassment
The
Arizona Board of Regents and the universities prohibit sexual harassment by
employees and students. The Board
is committed to creating and maintaining a university system in which students
and employees can work and learn together in an environment that is free of
objectionable and disrespectful conduct of a sexual nature. Under Board policy,
the universities will take whatever action is needed to prevent, correct and, if
necessary, discipline persons whose behavior violates this policy. (A.B.O.R.
Rev. 9/99)
B.
DEFINITIONS
1.
Sexual harassment is unwelcome sexual advances, requests for sexual
favors, and other verbal or physical conduct of a sexual nature when:
a)
submission to such conduct is either explicitly or implicitly made a term
or condition of an individual’s employment, education, or participation in a
Board or university activity;
b) submission to, or rejection of, such conduct by an individual is used as a basis of employment or education decisions affecting such individual; or
c) such conduct has the purpose or effect of unreasonably interfering with
an individual’s work, education, or participation in Board or university
activities or creating an intimidating, hostile, or offensive environment
(A.B.O.R. Rev. 9/99).
2. In determining whether the alleged conduct constitutes sexual harassment
it is necessary to look at the entire context and pattern of behavior.
Regardless of intent, it is the effect and characteristics of the
behavior that determine whether the behavior constitutes sexual harassment.
3. One form of sexual harassment is
an attempt to influence or coerce an
unwilling person into a sexual relationship by misusing the authority in an
employment or educational relationship. Sexual
harassment differs from voluntary sexual relations in that sexual harassment
involves coercion, threat, or unwanted sexual attention.
Any behavior, whether verbal or physical, constitutes sexual harassment
if:
a)
there is a threat, overt or implicit, that any educational or employment
decision may be affected by an unwillingness to grant, tolerate, or accept
sexual attentions (those decisions may involve grades, recommendations,
evaluations, or any other decisions about the requirements, terms, and
conditions of employment or learning); this includes cooperative and consenting
sexual favors in trade or apparent trade for educational or employment
privileges;
b)
a person is required to grant, tolerate, or accept sexual attentions as a
condition of employment or learning;
c)
the behavior creates an environment which is intimidating, hostile, or
offensive for members of one sex, and thus interferes with a person’s ability
to work or learn; or
d)
any educational or employment decision has been affected by a person’s
refusal to submit to or tolerate inappropriate sexual behavior.
Following
are some examples of behavior that could constitute sexual harassment if proven
to be unwelcome and, if by their severity, pervasiveness, or persistence create
an environment that is, by the standard of a reasonable person, hostile and/or
intimidating:
·
verbal - jokes, comments, requests, or questions of a
sexual nature
·non-verbal -
whistling, staring at body parts, blocking someone’s entrance or exit from a
space, gestures of a sexual nature
·physical – touching, patting, pinching, slapping,
rubbing or any physical contact that is uninvited or offensive
·
visual – photos, posters, calendars, jokes, cartoons,
memos, letters, or notices of a sexual nature which are placed in or on
university property, premises, vehicles or other work or study locations of the
university
·electronic – telephone, facsimile or e-mail
communication of a sexual nature that is unwelcome or offensive.
This
list of examples is not exhaustive.
IV.
CONSENSUAL AMOROUS RELATIONSHIPS
The university
prohibits any consensual amorous relationships involving a faculty
member/instructor and student, or between supervisor and employee, where the
faculty member/instructor or supervisor has direct authority, influence, or
responsibility with regard to that student or employee.
Such authority, influence or responsibility includes, but is not limited
in the employment setting, to carrying out assignments, evaluations, and
promotion or disciplinary decisions. In
the instructional setting, such authority includes being responsible for a
student’s evaluation and grading, awarding of financial aid or
assistantship/employment offers, serving as a member of a student’s thesis or
dissertation committee, and the like. These situations tend to interfere or be
perceived as interfering with the objectivity of the faculty
member’s/instructor’s or supervisor’s decisions with respect to the
student or employee. The
authoritative position of one party may create an environment that diminishes
the freedom of the other to alter or terminate the relationship.
Third parties may also be injured by a sexual relationship between two
other parties if they are denied privileges that accrue to those who participate
in the relationship.
B.
REMEDY
1.
Supervisors or faculty members/instructors who engage in such
consensual relations are subject to disciplinary action. The scope and extent of
such action will be based on the totality of circumstances; these include, but
are not limited to, failure to disclose such relationships, failure to remedy
such relationships, and repeated violation of this policy.
2.
Consensual amorous relationships that violate
1.
Northern Arizona University facilitates the
enforcement of state
and federal laws prohibiting sexual assault.
Sexual assault takes many forms, including:
a)
intentionally or knowingly engaging in sexual intercourse or oral sexual
contact with another person without that person’s consent,
b) non-consensual penetration of any part of another person’s body by any
part of the perpetrator’s body or with other objects, and,
c) in some cases,
non-consensual touching.
2.
The lack of a person’s consent can take many forms,
including occasions when that person is coerced by immediate or threatened use
of force against his/her person or property, or when that person is incapable of
consent because of mental disorder, drugs, alcohol, sleep, age, or other similar
impairment.
3. In addition to criminal penalties, members of the university community
who engage in sexual assault against a university employee, student, or other
individual are subject to disciplinary action by the university up to and
including termination or expulsion from the university.
1. Assistance for survivors of sexual assault can be obtained from numerous
agencies. (A partial listing can be found in section X of this
document.)
2.
Individuals are encouraged to report sexual assault to the police.
Reporting provides the authorities with information that may prevent future
assaults. Police departments in Coconino County allow anonymous reporting of
sexual assault. Survivors who report sexual assaults to the police are
encouraged but not required to follow through with prosecution.
3. Students may also make an anonymous report of sexual assault to the
following resources: Flagstaff Medical Center, Fronske Health Center, NAU
Counseling and Testing Center, NAU Police Department, Residence Life, Student
Life, and Victim/Witness Services.
Retaliation or
retribution of ANY kind taken against an individual as a result of that person
filing a complaint, requesting information, cooperating in an investigation, or
otherwise participating in these procedures is strictly prohibited.
Individuals who have not filed a formal complaint but who have informally
expressed concern about a violation of this policy still may file a complaint
about retaliation they believe has occurred as a result of their expressed
concern.
Retaliation is a
separate and distinct violation under the policy and the law.
Any person found to have violated this policy of non-retaliation is
subject to disciplinary action up to and including termination or expulsion.
VII.
PROCEDURES FOR REPORTING AND ADDRESSING COMPLAINTS UNDER THIS POLICY
1.
A complaint regarding alleged violations of this policy
may be made, either formally or informally, at any time. However, prompt
reporting of an alleged violation of this policy and the ability to address a
complaint in a timely, thorough, and sensitive manner are critical to the
resolution of an issue.
2. Each complaint will be evaluated based on the circumstances, the nature
of the complaint, the strength of the case and the time since the last alleged
violation occurred in order to determine the most appropriate method for
addressing the complaint.
3. It is strongly encouraged that complaints be made
as soon as possible after the alleged violation of the policy in order to
preserve an individual’s legal right to file a complaint with an outside
agency. (See agencies / timelines for filing under section IX.)
4. Informal methods of resolution at the
department
or college level are encouraged. However,
the obligations of supervisors, administrators and faculty to confer with
Affirmative Action still apply. (See section VII. C. of this policy.)
1. Violations of this policy may be reported through any of the following
avenues:
a) A student or employee’s
immediate supervisor, chair or head of a department – either the
complaining party’s department or the department where the alleged prohibited
behavior is occurring.
b) Affirmative Action – particularly
if the concern involves the behavior of an employee.
c) The
Office of Student Life – particularly if the concern involves the
behavior of a student.
2. Any of these avenues can be an entry
point into the complaint process though the issue may be referred to the most
appropriate office.
1. Individuals in positions of authority, e.g., faculty, advisors, administrators, supervisors, graduate assistants, and coaches, are legally agents of the university. Therefore, when they receive a complaint under this policy or have reason to believe that a violation of this policy has occurred, they shall confer with the Affirmative Action Office within seven (7) calendar days to discuss possible solutions.
2.
Even if individuals in positions of authority may work with the
complainant to resolve the issue in an informal manner, they shall still confer
with the Affirmative Action Office to ensure compliance with Federal and State
law. Likewise, the Affirmative
Action Office will confer with the responsible individual in authority on the
resolution of a complaint made directly to the Affirmative Action Office.
3.
The Affirmative Action Office can be a
4.
An individual who is made aware of, or in the
1. Other offices may provide assistance to employees and students affected by violations of this policy though these offices play no formal role in the complaint procedure.
a)
For all students and employees:
·The
University Ombuds Office may provide confidential assistance in clarifying options, identifying and
assisting in informal means of resolution, facilitating conversations between
parties, and setting up mediation.
b) For employees:
·The Human Resources Department may provide personnel policy interpretation and supervisory consultation.
·Employee Assistance and Wellness may provide professional, confidential counseling.
·Affirmative
Action
may provide assistance in regard to questions about accommodation of a
disability or concerns with the Americans with Disabilities Act.
c)
For students:
·The Counseling and Testing Center
may provide professional, confidential counseling.
·Disability Support Services may provide assistance in regard to appropriate
accommodation of a disability or concerns with the Americans with Disabilities
Act.
·The Multicultural Student Center may assist by providing referral and resource
information.
2. Due to the confidential nature of the services provided by
the University Ombuds Office, Employee Assistance and Wellness, and the
Counseling and Testing Center, reports made to these offices do not constitute
legal notice to the institution of an alleged violation.
1. Students and employees who are experiencing sexual harassment, discrimination, or other policy violations, but who wish to achieve an informal solution to the problem, may request that their complaints be resolved through the appropriate supervisory levels in a department, or with the assistance of a neutral party (e.g., a trusted faculty/staff member or a peer/colleague). Sometimes it is useful to involve a mediator or neutral party from outside of the particular classroom, department, or university unit. Trained mediators can be selected with the assistance of the University Ombuds Office.
2. Informal complaints can be initiated in
a)
Employees
may communicate an informal complaint
to their appropriate supervisor, chair or department head. Employees may also
contact the Affirmative Action Office to file an informal complaint. If the
concern involves the behavior of a student, employees may choose to submit their
complaint to the Office of Student Life.
b)
Students
may communicate an informal complaint
3.
An informal complaint need not be made in writing. However, it is recommended that the person to whom the complaint is
reported shall document the complaint by taking notes and clarifying them as
necessary with the complaining party.
4. Recipients of an informal complaint must confer with the Affirmative
Action Office within seven (7) calendar days even if resolution may be achieved
at the departmental or unit level. Disciplinary
actions should not be taken without consulting the appropriate supervisor(s) and
the Affirmative Action Office.
5. If a mutually acceptable solution cannot be reached at this level, either
through the appropriate supervisory levels,
or with the assistance of a mediator or a neutral party, complainants may still file a formal complaint through the Affirmative Action
Office.
1. A formal complaint shall be submitted to the Affirmative Action Office in
writing, be dated and signed by the complainant, contain a description of the
alleged policy violation, the identity of the person alleged to have violated
the policy, and to the best of the complainant’s recollection, the date(s),
time(s), and location(s) of the act(s). Forms
to assist in the reporting process can be obtained from the Affirmative Action
Office.
2. The
Affirmative Action Office may explore informal resolution, referral to a more
appropriate office, or initiate a formal investigation, depending on the
circumstances of the complaint. Formal investigation will include notification
to the respondent within seven (7) calendar days of the receipt of the complaint
and may include requests for information and participation from all parties
deemed relevant to the complaint. (When a formal investigation is referred to
the Office of Student Life by Affirmative Action, the investigation will be
conducted according to the student disciplinary procedures under the Code of
Conduct and all relevant guidelines and deadlines will apply.)
3. Further details of the procedures used in a formal investigation will be
provided in writing to all parties at the time an investigation is initiated.
The written information regarding these procedures is also available to
students, staff, and faculty at any time and may be obtained from the
Affirmative Action Office.
4. After investigating the complaint, the Affirmative Action Office will
make a determination as to whether the evidence supports a finding that the Safe
Working and Learning Environment Policy or civil rights laws have been violated.
The Affirmative Action Office will communicate a summary of the
complaint, the findings, and recommendations for appropriate corrective and/or
disciplinary action to the appropriate administrator/supervisor(s).
5. If cause to believe a violation has occurred is found, the recommended
sanctions may consist of a range of disciplinary actions up to and including
termination or expulsion
6.
While many formal investigations are
If, due to the
severity or nature of the complaint, it is determined that intervention should
occur prior to the completion of an investigation or resolution of the issue,
other university policies and procedures may be applied in order to remove
either the complainant or the respondent from interaction that could escalate
the situation.
Individuals who have
had a complaint filed against them or a concern raised regarding behavior
prohibited by this policy will be given the opportunity to respond to the
complaint or concern in an appropriate manner as determined by the supervisor,
department head or the Affirmative Action Office.
When investigating
complaints and recommending corrective action, the Affirmative Action Office
will look at the record as a whole and at the totality of the circumstances,
such as the severity, pervasiveness, or persistence of the behavior, the context
in which the alleged incidents occurred, and prior conduct.
The determination of the legality of a particular action will be made
from the facts, on a case-by-case basis.
Providing false
information, or hindering a university investigation are prohibited and can
result in disciplinary action up to and including termination or expulsion.
When an investigation
has been completed and cause has been found that this policy has been violated,
disciplinary sanctions may be imposed. Disciplinary sanctions may invoke a
hearing or appeal right found in another university policy or process (e.g.
academic professional grievance process, classified staff grievance procedure,
faculty grievance process, service professional hearing guidelines, the student
disciplinary procedures, etc.). In
such cases, the disciplinary action may be appealed only through those hearing
procedures and will be subject to the guidelines and deadlines of those
individual processes.
This
information is provided as a service to members of the university community.
Many of the behaviors prohibited in university policies covering
discrimination, harassment, and assault are covered by state and federal law.
When filing an internal complaint, the complainant reserves the option to
file a complaint with an external agency at any time within that agency’s
deadline regardless of the status of the internal complaint process.
The deadlines for filing with external agencies are subject to change
according to their appropriate policies and procedures:
·Arizona Civil Rights Division (ACRD)/Arizona Attorney General’s Office
-- 180 calendar days. ACRD enforces all State discrimination laws. For university employees, ACRD will accept charges and file
simultaneously with the EEOC in Phoenix.
·Equal Employment Opportunity Commission (EEOC) -- 300 calendar days. EEOC enforces Title VII of the Civil Rights Act (Employment
Discrimination); the Age Discrimination in Employment Act; the Equal Pay Act;
the Civil Rights Act of 1991; and Title I of the Americans with Disabilities Act
(employment).
·Office for Civil Rights/Department of Education (OCR) –180 calendar
days. OCR enforces Title IX of the
Education Amendments of 1972 (gender discrimination); Title VII of the Civil
Rights Act of 1964 (racial discrimination);
Section 504 of the Rehabilitation Act of 1973; the Civil Rights Act of 1991; and
Title II of the Americans with Disabilities Act (educational program
accessibility).
·Office of Federal Contract Compliance Programs/Department of Labor
(OFCCP) -- 180 calendar days. OFCCP
enforces Executive Order 11246/11375 for groups of employees or job applicants
of federal contractors/grantees. OFCCP
may refer individual complaints under Title VII to EEOC.
OFCCP also enforces the Rehabilitation Act of 1973 (Section 503).
X. PARTIAL LIST OF AGENCIES ASSISTING SEXUAL ASSAULT SURVIVORS
B. FLAGSTAFF AND COCONINO COUNTY SERVICES
Coconino County Sheriff’s Department
Flagstaff Medical Center
Flagstaff Police Department
Northland Family Help Center
Planned Parenthood
The Guidance Center
Victim/Witness Services
XI.
GENERAL RESOURCES AVAILABLE AT
NORTHERN ARIZONA UNIVERSITY
B. STUDENT RESOURCES AND SERVICES
Affirmative Action Office
Campus Safety Services - Police Department
Counseling and Testing Center
Disability Support Services
Fronske Health Center
Multicultural Student Center
Office of Student Life
University Ombuds Office
Northern Arizona University is
an Equal Employment Opportunity/Affirmative Action Institution.
Northern Arizona University - updated 10/2000