Workplace

Section: U600

Date: May 24, 2010

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PURPOSE:

The purpose of this policy is to establish guidelines for conflicts of interest or commitment that might arise in the course of staff employees’ duties and external activities. This policy does not seek to unreasonably limit external activities, but instead seeks to emphasize the need to disclose conflicts and potential conflicts of interest and commitment, to manage such conflicts and to ensure that the University’s interests are not compromised.

As a basic condition of employment, all University staff employees have a duty to act in the University’s best interest in connection with matters arising from or related to their employment and other University activities. In essence, this duty means that staff employees must not engage in external activities that interfere with their obligations to the University, damage the University’s reputation, compete with the University’s interests, or compromise the independence of the University’s research and business activities, or can reasonably be seen as doing so. Staff employees likewise must not profit or otherwise gain advantage from any external activity at the University’s expense or engage in external activities under circumstances that appear to be at the University’s expense.

POLICY:

Staff employees must disclose and avoid actual and perceived conflicts of interest or commitment between their University responsibilities and their external activities. Depending on the circumstances, employee participation in activities in which a conflict or perceived conflict of interest exists may be prohibited or may be permitted but affirmatively managed.

 

DEFINITIONS:

Staff employee: All part-time and full-time University staff employees, including officers who are not primarily academic employees within the meaning of the University’s Statutes or policies.

External activity: outside financial, business, political, professional, public service and academic activities.

Business activity: the full spectrum of University commercial activities, including but not limited to purchasing, selling, hiring, contracting, investing, licensing, and leasing.

Financial interest: anything of monetary value, including but not limited to, compensation, payments for service (e.g. consulting fees or honoraria), royalties, equity or ownership interests (with the exception of owning not more than 1% of any publicly traded class of shares of any company), and intellectual property rights.

Conflicts of commitment: when a staff employee’s external activities (e.g., consultation arrangements, service on boards, leadership positions in external organizations) involve a dedication of time or other obligations that interfere with the staff employee’s fulfillment of University responsibilities or when a staff employee uses University resources for external activities without appropriate authorization.

Relative: the spouse, domestic partner, and, whether by blood, adoption, marriage or domestic partnership, the child, parent, grandparent, sibling, grandchild, aunt or uncle, niece or nephew, or any person residing in the immediate household (or the household of the spouse or domestic partner of any of these relatives) of the University employee, or his or her spouse or domestic partner.

GUIDELINES:

1.  A staff employee must fully disclose any external activity or financial interest of the staff employee or relative that would reasonably appear to be affected by or to affect the staff employee’s decisions, actions or participation in University business activities. Put another way, if a staff employee or staff employee’s relative is engaged in an external activity or has a financial interest then full disclosure is necessary if: (i) there is a chance that the interest or activity could reasonably appear to affect the staff employee’s decisions, actions or participation in University business activities; (ii) or there is a chance that the staff employee’s job duties or participation in other University activities could reasonably appear to affect the external activity or the interests of the external entity in which the staff employee or relative has a financial interest.

2. A staff employee must also disclose when they provide non-University related services to another entity, including a corporation, business, association, government agency or nonprofit organization as an officer, director, owner, agent, consultant, or employee when the services may involve the commitment of time during business hours or otherwise conflict in any way with the University’s interests or their responsibilities to the University.

3. All disclosures required by this policy must be in writing to the department/unit head or to the appropriate University vice president as soon as a staff employee becomes involved in covered external activities, aware of an actual or potential conflict of interest or involved in a sexual, romantic, or external business relationship as provided in paragraph 12. Disclosures should provide details such as the nature of the external activity or financial interest, expected or actual role in the external activity, and whether there is compensation or other financial remuneration associated with the external activity. The department/unit head or appropriate University vice president shall respond in writing to acknowledge the disclosure and identify whether a written management plan is necessary. Depending on the nature of the conflict, a written management plan should be devised by, as appropriate, the unit’s lead, senior human resources representative or Human Resources, and must be approved by the head of the organizational unit (e.g., Dean, Director, Chairperson) with a copy maintained by the unit. At a minimum, management plans must: (i) address the external activity, interest, or commitment in a way that will ensure that it will not interfere with the interests of the University, (ii) ensure the staff employee is not participating in making decisions on the University’s behalf, which the external activity, interest, or commitment will cast doubt on the fairness or integrity of the University’s business dealings and (iii) establish a review and approval process as appropriate. To ensure continuity and appropriateness, review and, as needed, revision of the approved management plan should occur at least annually and also whenever there is a germane change in reporting relationships. If the at-issue relationship involves the leader of an organizational unit, the management plan must be reviewed and approved by the organizational leader to whom the at-issue unit leader is accountable.

4. Staff employees who knowingly have or reasonably should know that they have (i) a financial interest in, (ii) a familial relationship with, or (iii) a relative who has a financial interest in, an individual or entity with whom the University is engaged or is actively considering engaging in a business activity, must disclose the interest or relationship and must not act on behalf of the University or otherwise participate in, or seek to directly or indirectly influence, any University decision or transaction regarding or related to that individual or entity. The following are examples of financial interests and relationships that must be disclosed:

• The landscaping business owned by the father of a staff employee in the Facilities Department seeks to bid on a University landscaping contract.

• A consulting firm bids on a contract to provide statistical analysis, and a staff employee is a partner in the firm.

• A staff employee recommends using an office supply company with an excellent reputation and owned by the staff employee’s brother.

5. The University encourages staff employees’ participation in professional, charitable, community, government, and other public service organizations, which can be beneficial to the staff employee and the University. However, staff employees must not allow external activities to interfere with fulfilling their responsibilities to the University. To avoid conflicts of commitment all external activities involving a significant time commitment during business hours or other obligations that may impact fulfilling responsibilities to the University must be disclosed to the department/unit head or the appropriate vice president of the University, who may approve (with or without modification and/or a management plan) the external activity if it advances or otherwise serves the University’s interests. The following are examples of external activities that must be disclosed:

• Serving as an officer of an organization when the commitment will require substantial travel and work during University business hours;

• Providing expert witness services in any civil or criminal case;

• Serving on the board of a nonprofit organization;

• Working as an editor or reviewer for a professional or academic journal; or

• Serving on a panel or committee for a professional organization.

6. Staff employees must refrain from external activities involving personal gain or financial benefit for themselves or relatives (e.g., the purchase or sale of securities, real property, or other goods or services) in which they use, appear to use or likely have the opportunity to use, confidential information or special knowledge gained as a result of their employment by the University and/or participation in other University activities.

7. Staff employees must use confidential information consistent with U601 Confidential Information Policy and must refrain from unauthorized disclosure of non-public information concerning the University’s business activities, including but not limited to its investments, property development, sale or acquisition, and purchasing and contracting activities.

8. Staff employees must not engage in the unauthorized use of University resources for his/her personal benefit or for the benefit of any other person or external organization. The following are examples of prohibited conduct:

• Using University property such as photocopiers or printers for an employee’s cosmetic business;

• Purchasing personal items with a University credit card or account;

• Spending considerable time on a telephone call for the staff employee’s consulting business during University business hours; or

• Donating old computers to a nonprofit organization without appropriate authorization.

9. Staff employees must exercise good judgment in giving or receiving gifts or entertainment. It is sound practice to discourage personal gifts and favors from entities and individuals with whom the University engages in business activities or is considering engaging in business activities. Personal gifts of more than nominal value should be declined or returned to avoid any appearance or suggestion of improper influence. Entertainment or travel with a more than nominal value paid for by an external individual or entity must first be disclosed to and approved by the department head or an appropriate vice president of the University. Staff employees may only take vacations with individuals or other entities with which the staff employee directly engages in University business activities, regardless of who pays for the vacation, if the vacation is first disclosed to and approved by the department head or appropriate vice president of the University. The following are examples of prohibited conduct:

• An employee travels and speaks at a conference at a vendor’s expense without prior approval from the department head;

• An employee receives a $100 gift card from a vendor and uses it for personal use; or

• A department attends a dinner paid for by a potential vendor without prior approval by the appropriate vice president.

10. Staff employees involved in awarding or administering contracts using federal or other government funds are prohibited by law from soliciting or accepting gratuities, favors or anything of monetary value from contractors or potential contractors.

11. Staff employees must not make, participate in or attempt to influence other University employees’ decisions in University business activities involving a relative. Staff employees should refer to U206 Nepotism Policy for additional guidelines. The following are examples of prohibited conduct:

• A staff employee’s nephew applies for a Research Assistant position, and the staff employee pressures the hiring manager to hire the nephew;

• A vice president’s son wants a schedule change, and the vice president calls the son’s supervisor and encourages the schedule change; or

• A staff employee learns of his/her spouse’s possible termination of employment and encourages the supervisor to issue a warning instead of termination.

12. Staff employees must avoid favoritism or the appearance of favoritism that may be associated with making employment or business decisions related to a person with whom the staff employee has a romantic, sexual or external business relationship. A staff employee must disclose a personal, romantic, sexual, or external business relationship if it appears to create a conflict of interest or casts doubt on the fairness or integrity of the University’s employment or business decisions. Additionally, a staff employee may not make, participate in, or attempt to influence employment or other business decisions involving a person with whom the staff employee has a sexual or romantic relationship. Sexual and romantic relationships also may be proscribed by the University’s Policy on Harassment, Discrimination and Sexual Misconduct. The following are examples of relationships that must be disclosed:

• Pat, a staff employee has been dating another staff employee, Chris, and Chris applies for a position indirectly reporting to Pat.

• An employee at a business owned, in part, by a staff employee applies for a position in the department at the University in which the staff employee works, and the applicant may report, directly or indirectly, to the staff employee if hired.

• An employee’s neighbor and longtime friend applies for a position reporting directly to the employee.

13. Staff employees are strongly encouraged to disclose any other financial interest or external activity that could present an actual conflict of interest or commitment, or might reasonably be perceived to create a conflict of interest or commitment. Disclosure is a key factor in protecting one’s reputation and career from embarrassing or harmful allegations of inappropriate conduct. Staff employees are encouraged to seek guidance from their supervisor or HR even if their situation is not directly covered by the disclosure obligations in this policy.

14. Failure to disclose an actual or potential conflict of interest or commitment or comply with an applicable management plan, is a violation of this policy and may result in corrective action up to and including termination of employment.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

Section: U601

Date: February 1, 2010

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PURPOSE:

To identify information that is considered confidential and to establish guidelines for the use of confidential information.

POLICY:

Employees must not misuse confidential information.

DEFINITIONS:

Confidential information generally consists of non-public information about a person or an entity that, if disclosed, could reasonably be expected to place either the person or the entity at risk of criminal or civil liability, or damage the person or entity’s financial standing, employability, privacy or reputation. The University is bound by law or contract to protect some types of confidential information, and in other instances the University requires protection of confidential information beyond legal or contractual requirements as an additional safeguard. Confidential information includes but is not limited to:

• payroll records, salary and non-public benefits information
• Social Security numbers, driver’s license numbers, state identification card numbers, passport numbers
• credit and debit card information, and financial account information
• personnel records, including but not limited to information regarding an employee’s work history, credentials, salary and salary grade, benefits, length of service, performance, and discipline (see Policy U705 Employee Access to Personnel Records)
• individual criminal background check information
• individual conflict of interest information
• individually identifiable biometric information
• computer system passwords and security codes
• unpublished grant proposals and unpublished research data
• unpublished manuscripts and correspondence
• budgetary, departmental, or University planning information
• non-public financial, procurement, health/safety, audit, insurance and claims information
• internal investigation information, pre-litigation, and non-public litigation and administrative agency charge, audit and inquiry information
• student records, including but not limited to student education records within the meaning of the Family Educational Rights and Privacy Act
• proprietary or intellectual property in which the University asserts ownership that is created by University employees in connection with their work
• non-public law enforcement records generated or maintained by the University of Chicago Police Department
• all University attorney-client communications and University attorney work product
• non-public donor and alumni information
• patient care records including patient benefit plan enrollment, claims, billing matters, and data concerning human research subjects
• medical records, personally identifiable medical information, and all information designated as “Protected Health Information” under the Health Insurance Portability and Accountability Act (HIPAA), or otherwise protected by law
• all information, materials, data and records designated confidential by a University unit, by law or by contract, including information obtained by the University from third parties under non-disclosure agreements or any other contract that designates third party information as confidential

GUIDELINES:

1. All employees with job duties that require them to handle confidential information are required to safeguard such information and only use it or disclose it as expressly authorized or specifically required in the course of performing their specific job duties.
2. Misuse of confidential information can be intentional (acts and/or omissions), or a product of negligence or inadvertence. Misuse includes but is not limited to:
   • Accessing information not directly germane or relevant to the employee’s specifically assigned tasks
   • Disclosing, discussing and/or providing confidential information to any individual not authorized to view or access that data, including but not limited to third parties, volunteers, vendors and other University employees
   • Reckless, careless, negligent, or improper handling, storage or disposal of confidential data, including electronically stored and/or transmitted data, printed documents and reports containing confidential information
   • Deleting or altering information without authorization
   • Generating and/or disseminating false or misleading information, and
   • Using information viewed or retrieved from the systems for personal or any other unauthorized or unlawful use.
3. Employees who have been assigned personal access codes to work with systems that generate, store or manage confidential information bear the responsibility for preserving the complete confidentiality of such codes to ensure against unauthorized use by any other person. Employees who negligently or intentionally share their system passwords or accounts with anyone else for any reason will be held responsible for any resulting misuse of the system by others.
4. Employees who have any reason to believe or suspect that someone else is using their personal access codes must immediately notify their supervisor.
5. Employees are prohibited from logging onto University data bases and administrative systems with their personal access codes and then permitting another person to access information in those data bases and/or systems.
6. Student education records are governed by the Family Educational Rights and Privacy Act (FERPA) and applicable University policy (see the University of Chicago Student Manual). FERPA-protected student education records must not be disclosed under any circumstances absent the express consent of the University student (or former student) or as authorized by the University’s Office of Legal Counsel or the University’s Registrar. Although FERPA also permits the University to disclose student directory information (as defined by FERPA), no such information may be disclosed until the Office of the Registrar has confirmed that the student has not elected to block his or her directory information, as permitted by FERPA.
7. Employees are expected to:
   • Identify confidential information and materials
   • Proactively seek information regarding and comply with any restrictions on the use, administration, processing, storage or transfer of the confidential information in any form, physical or electronic
   • Learn about and comply with any procedures regarding the appropriate handling of such information and materials
   • Understand their responsibilities related to information security
8. Employees who have access to confidential information are expected to know and understand associated security requirements, and to take measures to protect the information, regardless of the data storage medium being used, e.g., printed media (forms, work papers, reports, microfilm, microfiche, books), computers, data/voice networks , physical storage environments (offices, filing cabinets, drawers), and magnetic and optical storage media (hard drives, diskettes, tapes, CDs, flash drives). Computer display screens should be positioned so that only authorized users can view confidential information, and confidential information should be discarded in a way that will preserve confidentiality (e.g., in a shred box, not in a trash can or recycling bin).
9. In many instances, employees will be required or expected to attend training relevant to the information/materials being handled. Employees who are hired into positions that require adherence to government-mandated compliance (e.g., HIPAA, Medicare Compliance, grant and contract administration, pathogens or select agents) will be subject to strict procedures for handling such materials, must attend all mandated training sessions, and comply with compliance-specific policies and applicable law.
10. Employees must notify the University of any violation of these guidelines. Employees may report their concerns immediately to their supervisor, department head, or central University administration. Alternatively, concerns may be reported to the University’s hotline at 800-971-4317.
11. Employee misuse of confidential information and/or the systems in which the information is stored is a serious breach of job responsibilities and will result in discipline up to and including termination of employment. [See Policy U703 Progressive Corrective Action]

 

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

Section: U603

Date: June 21, 2013

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PURPOSE:

To comply with the 2005 Chicago Clean Indoor Air Ordinance which protects the health of faculty, staff, students, and visitors.

POLICY:

Smoking is prohibited in all University buildings in accordance with the City of Chicago Clean Indoor Air Ordinance 7-32-010.

EXCEPTIONS:

1. Apartments in buildings managed by Real Estate Operations (REO) and dormitories. However, smoking is prohibited in public spaces of apartment buildings and dormitories.
2. Smoking will be prohibited within 25 feet of any entrances to the Searle Chemistry Laboratory building at 5735 South Ellis Avenue and the building at 6045 South Kenwood Avenue. This prohibition is necessary to meet and maintain the LEED (Leadership in Energy and Environmental Design) standards of the U.S. Green Building Council (USGBC). This exception will apply to any University building that pursues LEED certification. Buildings which receive LEED certification shall display the 25 feet requirement through modification of the current signage.

GUIDELINES:

1. This policy covers the smoking of all tobacco, nicotine and other products, and includes cigars, cigarettes, “smokeless” cigarettes and other such delivery systems.
2. Smoking is permitted outdoors at least 15 feet away from the entrance or enclosed area of any building including dormitories and residential properties.Any person who smokes within a University building or outdoors less than 15 feet away from the entrance or enclosure is subject to a fine of not less than $100 and not more than $500 as set forth in the City Ordinance. It should be noted that the University, as building owner, can also be subject to the same City fine, or a greater amount, for repeated infractions.
3. Smoking complaints under the University policy are to be submitted to the University’s Safety and Environmental Affairs Office (phone 702-9999). This office will assign an officer to investigate and evaluate the complaint and route the complaint along with the findings to the administrative officer or academic dean of the unit against which the complaint is lodged. It is the responsibility of the appropriate administrative officer or academic dean to ensure that this policy is observed.
4. Enforcement of non-smoking areas in all buildings shall be in accordance with the City of Chicago Building Code and the City of Chicago Clean Indoor Air Ordinance, which allows an employee to designate his or her own work area as a non-smoking area.
5. Any employee who violates this policy will be subject to corrective action up to and including termination of employment.

* University employees located in the Medical Center shall be subject to the provisions of the University of Chicago Hospitals’ smoking/nonsmoking policy.

 

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

Section: U604

Date: October 17, 2003

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PURPOSE:

To define the University’s policy regarding substance abuse and to provide guidelines in handling an employee whose work performance has been impaired by the use of such substances as alcohol or drugs. This statement implements the requirements for a drug-free workplace as required by federal law.

POLICY:

The University recognizes alcohol and drug abuse as potential health, safety, and security problems. The University expects all employees to assist in maintaining a work environment free from the effects of alcohol, drugs or other intoxicating substances. Compliance with this substance abuse policy is made a condition of employment.

GUIDELINES:

1. The University prohibits employees from the manufacture, possession, use, distribution, sale or purchase of non-prescribed controlled substances and intoxicants while on University premises and from working under the influence of alcohol, drugs or other intoxicating substances. The only exception to this provision will apply to moderate consumption and/or possession of alcohol on University premises by legally aged employees at University approved functions (e.g., receptions, parties).
2. Any employee who violates any aspect of this substance abuse policy, who intentionally abuses prescription drugs, who tampers with the drug testing process or who tests positive to a drug test will be seriously reprimanded, up to and including discharge.
3. All employees are required to report to their jobs in appropriate mental and physical condition, ready to work. If an employee may be impaired because of taking medication according to a doctor’s prescription, (s)he is expected to discuss it with his/her supervisor before commencing work that day. Should the University have reason to verify prescription information with the treating physician, the employee will be expected to authorize release of such information.
4. As required by federal law, any employee who is convicted of any violation of any criminal drug statute (including misdemeanors) for a violation occurring on University property or during working time shall notify Human Resources within five (5) days of the date of conviction. A conviction includes any plea or finding of guilty, any plea of “nolo contendere” and/or imposition of a fine, jail sentence or other penalty. Pursuant to federal law, if the convicted employee is working on a project funded through a federal contract or grant, the University is required to notify the relevant federal contracting or granting agency within ten (10) days of receiving such notice of conviction.
5. HR Employee and Labor Relations should be informed by a supervisor when there is reason to believe that an employee’s work performance has been impaired due to the consumption of alcohol, drugs or other intoxicants. The employee may be referred to the Occupational Health Clinic for drug testing.
6. Any employee who feels (s)he may have a substance abuse problem is urged to contact his/her supervisor or a representative of HR Employee and Labor Relations. The employee is also urged to seek the services of the Employee Assistance Program. Such an employee will not be disciplined or retaliated against for such contact. The University is interested in a safe workplace, and a healthy and productive workforce, not in punishing employees who come for help.An employee who requests treatment or a leave of absence for treatment will not be disciplined for making such a request. An employee may not, however, escape discipline by first requesting such treatment or leave after being selected for testing or violating the University’s policies and rules. Requests for such treatment will be kept confidential in accordance with federal and state law.The employee must begin and complete satisfactorily an approved treatment program and the ongoing requirements of the program, and consent in writing to the disclosure by the program of its recommendations, any dangers it perceives in connection with the employee’s continued performance of his/her job, and whether the employee is complying with, and has successfully completed the program and the ongoing requirements of the program. The employee will also submit to further testing as required by the University.
7. The University retains full and final discretion on whether, when, and under what conditions an employee may be re-employed after an instance where an employee has violated this substance abuse policy.

Questions regarding this policy should be directed to HR Employee and Labor Relations.

Employees represented by a bargaining unit may be governed by the appropriate bargaining unit agreement.

Section: U606

Date: June 15, 2007

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PURPOSE:

To define the University’s policy on workplace violence.

POLICY:

The University is committed to providing a safe work environment for all of its employees and students. To foster this environment, the University has a zero-tolerance policy for any acts of intimidation or threats of violence committed by any employee, student, customer or vendor at any University workplace or while conducting University business. Conduct that interferes with the University’s commitment to maintaining a violence-free workplace will not be tolerated.

GUIDELINES:

1. A staff employee must conduct himself/herself in a professional manner which excludes behaviors for which the University has zero-tolerance, including:
   • direct or indirect intimidation or threats of violence;
   • acts of a violent or aggressive nature (e.g., communicating threatening messages, pushing, hitting, fighting, throwing objects or otherwise intentionally injuring another person), whether conducted in a verbal, physical or electronic mode;
   • vandalism, destruction, attempted destruction or threats of such to the University or its property;
   • physical or verbal harassment or intimidation, including any behavior or threat of behavior that would place a reasonable person in fear of physical injury or aggressive physical contact; and
   • possession of firearms or dangerous weapons at any University workplace or while conducting University business.
2.  Harassment of a sexual nature will be governed by the University’s Unlawful Discrimination and Harassment Policy, which includes sexual harassment.
3. An employee who commits acts of intimidation or threats of violence, whether intentional or unintentional, will be subject to immediate disciplinary action up to and including termination of employment, arrest, criminal prosecution, and/or civil action.
4. If the incident of violence results in an injury or death to an employee, the event is recordable for purposes of the Occupational Safety and Health Act (OSHA) Log and should be immediately reported to the Workers’ Compensation Administrator.
5. Any employee who feels he/she has been the subject of workplace violence or has identified a situation where workplace violence has or could occur, must immediately bring it to the attention of his/her supervisor, manager, unit head, or Director of Employee/Labor Relations.
6. The University forbids retaliation against any employee for reporting a violation of this policy. Any employee who engages in retaliation is in violation of this policy and will be subject to disciplinary action up to and including termination. An employee who feels he/she is the subject of retaliation should contact HR – Employee/Labor Relations.
7. If a student commits acts or threats of violence or intimidation, he/she will be subject to the student disciplinary procedures.
8. For guidance or advice regarding workplace violence and unacceptable employee conduct, contact HR – Employee/Labor Relations.

 

Employees represented by a union may be governed by the appropriate bargaining unit agreement.

Section:  U609

Date:  August 1, 2016

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 TABLE OF CONTENTS

I.	Introduction
II.	Policy Basis and Application
III.	Unlawful Harassment and Discrimination
IV.	Sexual Misconduct and Definitions
V.	Consent
VI.	Consensual Relationships
VII.	Important Principles: Reporting, Confidentiality; Institutional Obligation to Respond; Leniency for Other Policy Violations; and Non-Retaliation
VIII.	Prevention and Education Programs
IX.	Informal Resolution of Complaints
X.	Formal Resolution of Complaints

Policy Appendices

I.	Support Services and Resources for Those Who Have   Experienced Sexual Misconduct
II.	Yearly Report on Harassment and Sexual Misconduct to the   Council of the University Senate
III.	Compliance and Locating This Policy
IV.	Related Policies

I. Introduction

The University of Chicago is a community of scholars dedicated to research, academic excellence, and the pursuit and cultivation of learning. Members of the University community cannot thrive unless each is accepted as an autonomous individual and is treated without regard to characteristics irrelevant to participation in the life of the University. Freedom of expression is vital to our shared goal of the pursuit of knowledge and should not be restricted by a multitude of rules. At the same time, unlawful discrimination, including harassment, compromises the integrity of the University. The University is committed to taking necessary action to prevent, correct, and, where indicated, discipline unlawful discrimination.

Sexual misconduct may violate the law, does violate the standards of our community, and is unacceptable at the University of Chicago.  Sexual misconduct can be devastating to the person who experiences it directly and can adversely impact family, friends, and the larger community. Regardless of the definitions provided below, people who believe they have experienced any sexual misconduct are encouraged to report the incident and to seek medical care and support as soon as possible.

II. Policy Basis and Application

This policy expresses the University’s commitment to an environment free from discrimination, sexual harassment and other unlawful forms of harassment, sexual misconduct, sexual assault, domestic violence, dating violence, and stalking and conforms to legal requirements. It applies to students and other program participants, staff, postdoctoral researchers, faculty, and other academic appointees, volunteers, as well as to anyone on whom the University has formally conferred a title, regardless of employment status. The University provides education and prevention resources, offers numerous support services and referrals for anyone who has experienced unlawful harassment or one of these crimes, encourages and facilitates reporting, which can assist prosecution, and is committed to disciplining anyone whom University procedure determines to have violated this policy.

This policy applies to misconduct that occurs: (1) on University property; or (2) off University property, if: (a) the conduct occurred in connection with a University or University-sponsored or -recognized program or activity; or (b) the conduct has or reasonably may have the effect of creating a hostile educational or work environment for a member of the University community.  For example, this policy applies to misconduct that occurs between students during an off-campus party in a private residence, during a University-sponsored study abroad program, or during research- or conference-based University-supported travel. Also, misconduct that occurs off-campus and involves an alleged student perpetrator and an unaffiliated complainant is subject to investigation and adjudication, although the circumstances may be such that the inquiry is limited to assessing whether the student poses a threat to campus safety.

III. Unlawful Harassment and Discrimination

Discrimination based on factors irrelevant to admission, employment, or program participation violates the University’s principles. In keeping with its long-standing traditions and policies, the University of Chicago considers students, employees, applicants for admission or employment, and those seeking access to programs on the basis of individual merit. The University does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national or ethnic origin, age, status as an individual with a disability, protected veteran status, genetic information or other protected classes under the law. Such discrimination is unlawful.

Harassment based on one of the factors listed above is verbal or physical conduct or conduct using technology that is so severe or pervasive that it has the purpose or effect of unreasonably interfering with an individual’s work performance or educational program participation, or that creates an intimidating, hostile, or offensive work or educational environment.

A person’s subjective belief that behavior is intimidating, hostile, or offensive does not make that behavior harassment. The behavior must be objectively unreasonable. Expression occurring in an academic, educational or research context is considered a special case and is broadly protected by academic freedom. Such expression will not constitute harassment unless (in addition to satisfying the above definition) it is targeted at a specific person or persons, is abusive, and serves no bona fide academic purpose.

Harassment includes same-sex harassment and peer harassment among students, staff, other academic appointees, postdoctoral researchers, faculty members, program participants, volunteers, and anyone on whom the University formally confers a title, regardless of employment status. Harassment by a faculty member, instructor, or teaching assistant of a student over whom the individual has authority, or by a supervisor of a subordinate, is particularly serious.

IV. Sexual Misconduct and Definitions

Sexual misconduct encompasses a range of conduct, from sexual assault (a criminal act that the U.S. Department of Education defines as a form of sexual harassment) to conduct such as unwanted touching or persistent unwelcome comments, e-mails, or pictures of an insulting or degrading sexual nature, which may constitute unlawful harassment, depending upon the specific circumstances and context in which the conduct occurs. For example, sexual advances, requests for sexual favors, or sexually-directed remarks or behavior constitute sexual harassment when (1) submission to or rejection of such conduct is made, explicitly or implicitly, a basis for an academic or employment decision, or a term or condition of either; or (2) such conduct directed against an individual persists despite its rejection.

In compliance with the Violence Against Women Reauthorization Act of 2013 (“VAWA”) and the Clery Act, the University uses the State of Illinois Criminal Code’s definitions of sexual assault and sexual abuse. The University incorporates the State’s definitions of several other important terms, including domestic violence, dating violence, and stalking and recognizes that sexual assault, domestic violence, dating violence, and stalking are not gender-specific crimes. To aid searches, definitions are provided in alphabetical order.

“Accused” or “Respondent” means a person accused of conduct prohibited by this policy and does not imply pre-judgment.

“Consent” means voluntary, active and clear agreement, communicated by words or actions, to participate in specific sexual activity.  Consensual sexual activity happens when each participant willingly chooses to participate.

In cases where a victim asserts that sexual activity occurred without consent, the standard is whether a sober, reasonable person in the same circumstances as the respondent should have known that the victim did not or could not consent to the sexual activity in question.

In Illinois, the legal age of consent is 17 but rises to 18 if the respondent holds a position of trust, authority, or supervision in relation to the victim.  This means that there can be no consent when one participant in the sexual activity is under the legal age of consent and any other participant is at or over the legal age of consent.

Consent is such a critical factor that Section VI is entirely dedicated to discussing it.

“Dating violence” means the use or threat of use of physical, mental or emotional abuse, or sexual violence by a person who is in a social relationship of a romantic or intimate nature with the victim.

“Domestic violence” means harassment, interference with personal liberty, intimidation of a dependent, physical abuse, or willful deprivation by a person who is or was a family or household member of the victim. A family or household member includes: a spouse, former spouse, parent, child, stepchild, or other person related by blood or by present or prior marriage; a person who shares or formerly shared a common dwelling; a person who has or allegedly has a child in common or shares a blood relationship through a child; a person who has a dating or engagement relationship; a personal assistant to a person with a disability; and a caregiver.

“Force or threat of force” means the use of force or violence, or the threat of force or violence, including but not limited to (1) when the respondent threatens to use force or violence on the victim or on any other person, and the victim under the circumstances reasonably believes that the respondent has the ability to execute that threat or (2) when the respondent has overcome the victim by use of superior strength or size, physical restraint or physical confinement.

“Harassment” as a form of unlawful discrimination means verbal conduct, physical conduct, or conduct using technology that is based on a protected class and that is so severe or pervasive that it has the purpose or effect of unreasonably interfering with an individual’s work performance or educational program participation, or that creates an intimidating, hostile, or offensive work or educational environment.

“Harassment” for purposes of domestic violence is knowing conduct that is not necessary to accomplish a purpose, would cause emotional distress to a reasonable person and does cause emotional distress to the victim.

“Interference with personal liberty” is committing or threatening physical abuse, harassment, intimidation, or willful deprivation to force a victim to engage in conduct from which that person has the right to abstain, or to abstain from conduct in which that person has a right to engage.

“Interim measures” are steps taken to ensure the safety of the complainant and/or University community before the final outcome of any investigation. Such measures may include changes to academic and extra-curricular activities, adjustments to living, transportation, dining, and working arrangements, issuing and enforcing no-contact orders, and honoring an order of protection or no-contact order entered by a State civil or criminal court.  Depending on the circumstances, interim measures may be modified, supplemented or withdrawn before, during or after the final outcome of any investigation.

“Intimidation of a dependent” is subjecting a person who is a dependent because of age, health or disability to participate in or to witness physical force, physical confinement or restraint of another person.

 “Physical abuse” includes sexual abuse and means any of the following: (1) the knowing or reckless use of physical force, confinement, or restraint; (2) knowing, repeated, and unnecessary sleep deprivation; and/or (3) knowing or reckless behavior that creates an immediate risk of physical harm.

“Responsible employee” means any faculty member, other academic appointee, or staff employee who would reasonably be expected to have the authority or duty to report or take action to redress sexual misconduct. A responsible employee is obligated to promptly report sexual misconduct to the Title IX Coordinator for the University.  Responsible employees include (among others) faculty and instructors, RAs, Resident Heads, Resident Masters, TAs, preceptors, administrative assistants, UCPD staff, and other university employees.

“Retaliation” means any adverse action taken against a person participating in a protected activity because of their participation in that protected activity. Retaliation against an individual for alleging harassment, supporting a party bringing a complaint, or assisting in providing information relevant to a claim of harassment is a serious violation of University policy and will be treated as another possible instance of harassment or discrimination. Acts of alleged retaliation should be reported immediately to the Title IX Coordinator for the University or Associate Dean of Students in the University for Disciplinary Affairs, and will be promptly investigated.

“Sexual abuse” means an act of sexual conduct:

• By the use of force or threat of force; or
• When the accused knew that the victim was unable to understand the nature of the act or was unable to give knowing consent; or
• Where the accused is under 17 years of age and the victim was at least 9 years of age but under 17 years of age when the act was committed; or
• In which the accused delivered (by injection, inhalation, ingestion, transfer of possession, or any other means) to the      victim without his or her consent, or by threat or deception, and for other than medical purposes, any controlled substance.

“Sexual assault” means an act of sexual penetration:

• By the use of force or threat of force, including threatening or endangering the life of the victim or any other person; or
• Where the accused knew that the victim was unable to understand the nature of the act or was unable to give knowing consent; or
• With a victim who was under age 17 when the act was committed, or with a victim who was under age 18 when the act was committed and the accused was age 17 or more and held a position of trust, authority, or supervision in relation to the victim; or
• In which the accused delivered (by injection, inhalation, ingestion, transfer of possession, or any other means) to the      victim without his or her consent, or by threat or deception, and for other than medical purposes, any controlled substance.

“Sexual conduct” means any intentional or knowing touching or fondling by the victim or the accused, either directly or through clothing, of the sex organs, anus, or breast of the victim or the accused, or any part of the body of a child under 13 years of age, or any transfer or transmission of semen by the accused upon any part of the clothed or unclothed body of the victim, for the purpose of sexual gratification or arousal of the victim or the accused.

“Sexual penetration” means any contact, however slight, between the sex organ or anus of one person and an object, the sex organ, mouth or anus of another person, or any intrusion, however slight, of any part of the body of one person or of any animal or object into the sex organ or anus of another person, including but not limited to cunnilingus, fellatio, or anal penetration.

“Stalking” means a course of conduct (two or more acts) directed at a specific person that would cause a reasonable person to fear for her or his safety or the safety of a third person, or to suffer emotional distress. Stalking behavior includes, but is not limited to: following a person; appearing at a person’s home, work, or school; making unwanted phone calls; sending unwanted emails or text messages; leaving objects for a person; vandalizing a person’s property; injuring a person’s pet; and monitoring or placing a person under surveillance.

“Victim” means a person alleging to have been subjected to conduct prohibited by this policy and does not imply pre-judgment. The term “victim” is used interchangeably with the term “complainant” in this policy.

“Willful deprivation” is the purposeful denial of medication, medical care, shelter, food, or other assistance to a person who requires such things because of age, health or disability, thereby putting that person at risk of physical, mental, or emotional harm.

V. Consent

What is Consent?

• Consent means voluntary, active and clear agreement, communicated by words or actions, to participate in specific sexual activity. Consensual sexual activity happens when each participant willingly chooses to participate. It is the responsibility of the person who wants to engage in a sexual activity to obtain the consent of the other person for that sexual activity. Consent may also be withdrawn or modified at any time by the use of clearly understandable words or      actions.

• In cases where a victim asserts that sexual activity occurred without consent, the standard is whether a sober, reasonable person in the same circumstances as the accused should have known that the victim did not or could not consent to the sexual activity in question.

• The definition of consent does not vary based upon a person’s sex, sexual orientation, gender identity, or gender expression.

• Because people are not telepathic, consent is best obtained through direct communication about the decision to engage in specific sexual activity. Consent need not be verbal, but verbal  communication is the most reliable and effective way to seek, assess, and obtain consent.  Non-verbal communication often is ambiguous. For example, heavy breathing can be a sign of arousal, but it also can be a sign of distress. To be sure, talking with sexual partners about desires, intentions, boundaries and limits can be uncomfortable, but it serves as the best foundation for respectful, healthy, positive and safe intimate relationships.

What is not Consent?

• Consent cannot be obtained by threat of harm, coercion, intimidation, or by use or threat of force.
• The lack of explicit consent does not imply consent and likewise, the lack of verbal or physical resistance does not constitute consent.  Thus, silence, passivity, submission, and/or the lack of resistance (including the absence of the word “no”) do not—in and of themselves—constitute consent.

Incapacitation

Consent cannot be obtained from someone who is unable to understand the nature of the activity or give knowing consent due to circumstances.  A person is mentally or physically incapacitated when that person lacks the ability to make or act on considered decisions to engage in sexual activity, i.e., when a person’s perception and/or judgment is so impaired that the person lacks the cognitive capacity to make or act on conscious decisions, including without limitation the following circumstances:

• The person is incapacitated due to the use or influence of alcohol or drugs, or due to a mental disability. Alcohol and drugs can impair judgment and decision-making capacity, including the ability to rationally consider the consequences of one’s actions.  The effects of alcohol and drug consumption often occur along a continuum. For example, alcohol intoxication can result in a broad range of effects, from relaxation and lowered inhibition to euphoria and memory impairment, and to disorientation and incapacitation. Incapacitation due to alcohol or drug use is a state beyond “mere” intoxication or even being drunk. Indicators of incapacitation may include inability to communicate, lack of control over physical movements, and/or lack of awareness of circumstances. An incapacitated person can also experience a      blackout state during which he or she appears to give consent but does not have conscious awareness or the capacity to consent. Some medical conditions also can cause incapacitation.
• The person is asleep or unconscious.
• The person is under the legal age of consent. In Illinois, the legal age of consent is 17 but rises to 18 if the accused holds a position of trust, authority, or supervision in relation to the victim. This means that there can be no consent when one participant in the sexual activity is under the legal age of consent and      any other participant is at or over the legal age of consent.

In sum, an act will be deemed non-consensual if a person engages in sexual activity with an individual who is incapacitated, and who the person knows or reasonably should know is incapacitated, or with an individual who is asleep, unconscious, or under the legal age of consent.

Other Important Points regarding Consent

• The existence of a romantic or sexual relationship does not, in and of itself, constitute consent.
• Consent on a prior occasion does not constitute consent on a subsequent occasion.
• Consent to one sexual act does not constitute consent to another sexual act.
• Consent to sexual activity with one person does not constitute consent to engage in sexual activity with another.
• Consent cannot be inferred from a person’s manner of dress or other contextual factors, such as alcohol consumption, dancing, or agreement to go to a private location like a bedroom.
• Accepting a meal, a gift, or an invitation for a date does not imply or constitute consent.
• Silence, passivity, or lack of resistance alone or in combination does not constitute consent.
• Incapacitation by the person initiating sexual activity does not in any way lessen his or her obligation to obtain consent.

VI. Consensual Relationships

In all cases, the person in the position of greater institutional authority must promptly report to his/her department chair, dean, supervisor, or the Title IX Coordinator for the University the sexual or romantic relationship so that the University may, in accord with policy, assist in separating the professional relationship from the intimate relationship.

Academic Appointee-Student

Trust is essential to sound relationships between individuals of inherently unequal power. Those who teach are entrusted with guiding students, evaluating their work, giving grades for papers and courses, and recommending students to colleagues. Students depend on the integrity of their relationships with those instructors and understandably expect instructors to exercise their authority fairly. The teacher-student relationship must not be jeopardized by possible doubt of intent or fairness of professional judgment, conflicts of interest, harassment, or the appearance to others of favoritism or advantage.

Undergraduates

In general, undergraduate students and academic appointees are vastly different groups of people with regard to age, scope of life experiences, developmental status, and vulnerability.  These differences impart greater obligations to those with more institutional authority. In the interests of prudence and fostering a campus environment free of sexual harassment and discrimination, this policy prohibits sexual and/or romantic relationships between academic appointees and undergraduates at the University regardless of whether an instructional, mentoring, research, or other University of Chicago-based relationship exists or may reasonably be expected to exist in the future.

This policy also prohibits a graduate student with an academic teaching or academic supervisory role (such as a preceptor, teaching assistant, lecturer, or research assistant) from having a sexual and/or romantic relationship with an undergraduate student whom he or she teaches or supervises during the duration of the teaching or supervisory relationship.  For example, a graduate student serving as a teaching assistant may not have a sexual and/or romantic relationship with an undergraduate student during the duration of the course for which the graduate student is serving in that role.

In addition, this policy prohibits coaches, paid and volunteer, of varsity teams and sport clubs from having sexual and/or romantic relationships with undergraduate students on their teams as well as not.

Graduate and Professional School Students

Graduate and professional school students generally are older and have had more developmental opportunities and life experiences than undergraduates.  As a result, the parameters of acceptable romantic or sexual relationships between academic appointees and graduate and professional school students are different than those between academic appointees and undergraduate students.  Although not per se prohibited, relationships between graduate/professional school students and academic appointees must occur within boundaries designed to ensure fairness and minimize the inappropriate exercise of authority. Often third-party witnesses to such a relationship or suspected relationship want the department chair or dean to address the matter but remain silent out of fear of reprisal. Such individuals are encouraged to come forward and are reminded that the policy is to remove the professional connections between the members of the couple.

Thus, an academic appointee is required to promptly report to his/her chair or dean or the Title IX Coordinator for the University a romantic or sexual relationship with a graduate/professional school student whom s/he teaches, advises, supervises, mentors, recommends for fellowships, awards, or employment, etc. or may reasonably expect to teach, advise, etc. in the future. The chair or dean will then work with the Office of the Provost to develop and implement a plan to mitigate actual and perceived favoritism and conflicts of interest by establishing an instructional and supervisory arrangement in which all relevant parties may have confidence.

Academic appointees must keep in mind that a graduate/ professional school student’s initial consent to a romantic relationship does not preclude a charge of sexual misconduct in the future.

While there may be no apparent impediment to a sexual and/or romantic relationship between an academic appointee and a graduate/professional school student outside each one’s disciplinary realm, students’ academic interests and pursuits often shift. Beliefs about what is consensual may also shift over time. What may appear to be consensual at one point may subsequently be interpreted as coercive, especially in hindsight and after the end of the relationship. The inherent power differential between an academic appointee and a graduate/professional school student heightens the risks inherent in such relationships, prompting the University to advise strongly against them altogether even in the absence of a perceived or real conflict of interest.

In addition, any graduate student with an academic teaching or academic supervisory role is forbidden from having sexual and/or romantic relationship with a student whom he or she teaches or supervises during the duration of the teaching or supervisory relationship (e.g., a graduate student serving as a lecturer may not have a sexual and/or romantic relationship with a student who is enrolled in that course during the duration of the course).

Other Imbalances of Power within the University

As discussed above, an academic appointee is in a position of trust and authority with regard to students. Other examples of an unequal power dynamic include supervisor-subordinate, senior faculty member-junior faculty member, mentor-mentee, advisor-advisee, teaching assistant-student, faculty member-postdoctoral researcher, academic appointee-staff employee, faculty member-other academic appointee, and attending physician-resident/fellow.  Supervisory employment relations involve obligations of fairness and seeming fairness in the management and evaluation of employees. The University’s Nepotism Policies speak to some of these situations, and basic ethics and expectations of professionalism may also apply. (See Section IV Related Policies in the Policy Appendices.)

Reporting and Non-Retaliation

Complaints or concerns about violations of this policy should be submitted to the appropriate dean or chair or to the Title IX Coordinator for the University.  All complaints and concerns will be treated as confidentially as is feasible and will be addressed by the Title IX Coordinator for the University in partnership with the chair or dean.  Retaliation against anybody who makes a complaint or raises a concern about a possible policy violation is prohibited.

VII. Important Principles

University Reporting Options

Responsible Employees

As noted above, some University employees (referred to as “Responsible Employees”) are required to report all incidents of sexual misconduct (including sexual harassment), dating violence, domestic violence, and stalking to the Title IX Coordinator for the University.  Responsible employees must report such information regardless of where the incident occurred.  Responsible employees include (among others) faculty and instructors, RAs, Resident Heads, Resident Masters, TAs, preceptors, administrative assistants, UCPD staff, and other university employees.

 

Please note that reporting an incident to the Title IX Coordinator for the University (or the Deputy Title IX Coordinator for Students) is private, and it does not mean the person who experienced sexual misconduct, dating violence, domestic violence, or stalking somehow loses control of the process.  To the contrary, the Title IX Coordinators are here to advise members of our community on their options regarding remaining anonymous, confidentiality, the University’s process for investigating complaints of sexual misconduct, dating violence, domestic violence, and stalking, and the University’s disciplinary process.  Indeed, in some cases, individuals choose not to move forward with the investigation process, but still request support services. When the University receives a report that someone in our community experienced sexual misconduct, dating violence, domestic violence, or stalking, the University will provide that person with a written summary of their rights and options, including information on contacting local law enforcement and community-based resources.

While only responsible employees are required to report all incidents of sexual misconduct (including sexual harassment), dating violence, domestic violence, and stalking to the Title IX Coordinator for the University, all other members of our community (including students) are encouraged to report such incidents to the Title IX Coordinator or Deputy Title IX Coordinator for students.

Associate Provost & Director of the Office for Equal Opportunity Programs

Title IX Coordinator for the University 

The University official responsible for coordinating compliance with the University’s Policy on Harassment, Discrimination, and Sexual Misconduct is Sarah Wake, Associate Provost and Director of the Office for Equal Opportunity Programs. Ms. Wake also serves as the University’s Title IX Coordinator for the University, Affirmative Action Officer, and Section 504/ADA Coordinator.  You may contact Ms. Wake by emailing swake@uchicago.edu, by calling 773-702-5671, or by writing to Sarah Wake, Office of the Provost, The University of Chicago, 5801 S. Ellis Ave., Levi Hall 427, Chicago, IL 60637.

You may contact the Associate Provost and Director of the Office for Equal Opportunity Programs to report any complaints of discrimination, unlawful harassment, and sexual misconduct. The Associate Provost and Director of the Office for Equal Opportunity Programs can also assist you in the following ways:

• If you are unsure of where to turn for help.
• If you have questions regarding the University’s Policy on Harassment, Discrimination, and Sexual Misconduct.
• If you have questions regarding Title IX of the Education Amendments of 1972.
• If you are seeking information regarding or the implementation of interim protective measures and accommodations related to a sexual misconduct matter.
• If you have a complaint or question regarding postdoctoral researchers, staff, faculty members, or other academic appointees engaging in harassment, discrimination, sexual misconduct, dating violence, domestic violence, stalking, or retaliation.
• If you need information regarding campus accessibility and accommodations for individuals with disabilities.

Please see http://provost.uchicago.edu/issues/discrimination-harassment-and-sexual-misconduct for additional information.

Deputy Title IX Coordinator for Students & Associate Dean of Students in the University

Please contact the Deputy Title IX Coordinator for Students & Associate Dean of Students in the University at swolfe1@uchicago.edu or 773-702-0438:

• If you are a student in need of any support services related to an incident of sexual misconduct, dating violence, domestic violence, or stalking.
• If you are a student who has questions regarding the University’s Policy on Harassment, Discrimination, and Sexual Misconduct.
• If you are a student who has questions regarding Title IX of the Education Amendments of 1972.
• If you are a student seeking information regarding or the implementation of interim protective measures and accommodations related to a sexual misconduct matter.

Associate Dean of Students in the University for Disciplinary Affairs

Please contact the following individual if you would like to make a complaint regarding a student engaging in harassment, discrimination, sexual misconduct, dating violence, domestic violence, stalking, or retaliation.

Jeremy Inabinet, 773-702-5243, inabinet@uchicago.edu

Executive Director, Employee and Labor Relations

Questions about or complaints regarding misconduct by a staff member should be directed to the Associate Provost & Director of the Office for Equal Opportunity Programs (referenced above) or the Employee and Labor Relations team in Human Resources.

Jake Rubinstein, 773.834.2657, jakerubinstein@uchicago.edu

Electronic Reporting; Anonymous Reporting

Any person may report a potential violation of this Policy by filling out the electronic form available at: http://umatter.uchicago.edu/file-a-report/add-to-the-university/. Such a report will be anonymous if filed without disclosing one’s name or contact information.

University of Chicago Police Department (UCPD)

773-702-8181 or 1-2-3 from a campus phone (24-hours); or in-person at 6054 South Drexel Ave.

Responsibilities of the UCPD when receiving a report of sexual assault, dating violence, domestic violence, or stalking include:

• Attending to the immediate needs of the victim, including personal safety and prompt medical care.
• When appropriate, broadcasting a description of the offender.
• Notifying the Title IX Coordinator for the University.
• Notifying the Sexual Assault  Dean-on-Call if the victim is a student.
• Providing victims with information concerning the importance of preserving evidence, and the rights of victims and the University’s responsibilities regarding orders of protection, no-contact orders, and other similar court orders.

Third-Party/Bystander Reporting

Any person may report a potential violation of this Policy through any of the means listed above.

Confidential Reporting 

Students may confidentially report a violation of this Policy to:

• Sexual Assault Dean-on-Call (SADoC) by calling 773-834-HELP.
• Confidential Advisor by calling Student Counseling Service at 773-702-9800 and asking for an appointment with the Confidential Advisor.
• Student Counseling Service by calling 773-702-9800.

Confidential resources such as the Sexual Assault Dean-on-Call, Confidential Advisor, and Student Counseling Service do not have an obligation to report sexual misconduct, dating violence, domestic violence, and stalking to the Title IX Coordinator and will not do so without the explicit consent of the complaining party. For more information about and a complete list of Confidential Resources, see Appendix I (Support Services and Resources for Those Who Have Experienced Sexual Assault) or http://provost.uchicago.edu/initiatives/confidential-resources.

Confidentiality 

Institutional Obligation to Respond

If a known complainant discloses an incident or incidents of sexual misconduct to the University but asks to remain anonymous during the investigation and/or asks that the University refrain from investigating, the investigator, in consultation with the Title IX Coordinator for the University, will consider how to proceed, taking into account the complainant’s wishes, the University’s obligation to provide a safe and non-discriminatory environment, and the respondent’s right to have specific notice of the allegations and an opportunity to be heard if the University were to take action that affects them. In such circumstances, the investigator may arrange for limited fact-finding to better understand the context of the complaint and explore viable options for investigation, adjudication, and remediation.

Because sexual assault is a serious crime that may threaten the community as a whole, in some instances the University may be obliged to address an alleged sexual assault through internal disciplinary procedures without the cooperation of the individual alleging the assault. Always in such instances, the University will respect the parties’ privacy to the extent possible consistent with its legal obligations, and will inform the individual of its obligation to address a community safety issue. All publicly available recordkeeping, including Clery Act reporting and public disclosures, will not contain personally identifying information about the victim.

Confidentiality Obligations of Participants

The University must protect privacy and confidentiality to fulfill its commitment to address complaints of sexual misconduct fairly and expeditiously. Every member of the University community should recognize that confidentiality breaches erode the community’s trust in this process, impair its effectiveness, and may have the purpose or effect (unintended or intended) of retaliating against those who participate in the process.

Fidelity to confidentiality is more likely to encourage parties and witnesses to participate in the process and share all information they possess, which is necessary for achieving fair outcomes.  If parties or witnesses fear that their participation and the information they share will be revealed, then concerns about reputation, peer pressure, and retaliation may deter them and others from participating or even bringing forward complaints in the first instance.

For these reasons, all parties and witnesses involved in an investigation or hearing under this policy are prohibited from disclosing, at any time and through any medium (including social media), the identity of the parties and witnesses, and any details or information regarding an incident, investigation, or hearing to anyone except:

(1) to University employees as necessary to implement any provisions of this policy or the business of the University;

(2) as permitted by this policy (see exceptions below); or

(3) as permitted or required by law.

In some circumstances, a person who fails to preserve confidentiality may face disciplinary action. For example, if a party or witness breaches confidentiality in order to retaliate against a person for his or her participation in an investigation or hearing, the disciplinary committee may hear a complaint of retaliation and impose sanctions. In addition, to ensure that parties and witnesses can participate in the investigation and any hearing in the absence of intimidation, harassment, or coercion, the University has the authority to issue a no-contact directive pursuant to which the individuals notified are forbidden from having contact, directly or indirectly, personally or through others, and through any medium (including but not limited to social media), with others specified in the directive. Violation of a no-contact directive may result in a disciplinary proceeding and the imposition of sanctions.

As noted, there are exceptions to the principle of confidentiality. First, the complainant and respondent are not subject to confidentiality with regard to the result of a disciplinary proceeding alleging domestic violence, dating violence, sexual assault or stalking. “Result” refers to the disciplinary proceeding’s determination, namely whether the alleged conduct was found to have occurred, any sanction imposed, and the rationale for the result and sanctions. As a practical matter, this means that after a disciplinary proceeding, the complainant and respondent may disclose to others the core allegations, the outcome, and the sanction imposed, if any, but not the identity of the parties, witnesses to the proceeding, or any information learned during the investigation or hearing that the complainant and respondent did not already know. Unnecessary or indiscreet disclosures may be viewed as retaliatory and may constitute grounds for University disciplinary action or, as discussed below, a lawsuit.

Second, the complainant and respondent may also share any information with certain people with whom they have a special relationship: parents or guardians, siblings, spouses, legal counsel, health care and mental health providers, clergy, and the person who is supporting them during the proceeding as permitted by the policy.  It is generally wise to limit the number of people with whom information is shared, particularly because they, too, must hold the information in confidence. The complainant and respondent’s relationships with others, such as close friends, romantic or sexual partners, roommates, housemates, teammates, fraternity brothers, etc., do not constitute special relationships within which sharing of confidential information is permitted.

Third, the University may disclose any information related to the matter as necessary (1) to those to whom it is necessary to give fair notice of the allegations and to conduct the investigation; (2) to law enforcement consistent with state and federal law; (3) to other University officials as necessary for coordinating interim measures or for health, welfare, and safety reasons; (4) to government agencies that review the University’s compliance with federal law; and (5) to third parties as permitted or compelled by law (e.g., in response to a lawful subpoena or in compliance with federal privacy law).

A final, cautionary note is in order.  There may be serious and personal legal consequences for those who breach the requirement of confidentiality. Facts surrounding allegations of sexual misconduct are often deeply disputed and thus breaches of confidentiality have the potential to seriously affect the reputations of the individuals involved. Although statements made in good faith as part of University disciplinary proceedings are legally protected and should not be used as the basis for a defamation lawsuit, statements made outside of the proceedings lack that protection and could lead to a legal claim by a person who believes that the statements are false, identify him or her to others, or have harmed his or her reputation.

Leniency for Other Policy Violations

To encourage reports of sexual misconduct, the University normally will offer leniency to a student who reports an alleged violation of this Policy in good faith with respect to other student conduct violations that come to light as a result of such reports.  For example, the University ordinarily will not pursue disciplinary charges related to underage drinking by the reporting person if that policy violation comes to light as the result of a sexual assault complaint. The University will not discipline a reporting student for such conduct violations unless the University determines that the violation was egregious, including without limitation an action that places the health or safety of any other person at risk.

Non-Retaliation

The University prohibits retaliation against any person who exercises any rights or responsibilities under this policy. Any act of retaliation may be a separate violation of this Policy and is subject to the full range of sanctions set forth in Section X and/or the Student Manual.  

VIII. Prevention and Education Programs

The University provides numerous education programs and awareness campaigns to prevent and promote awareness of sexual assault, domestic violence, dating violence, stalking, rape, and acquaintance rape.  In addition to covering the information addressed in this policy, these programs will, among other things, provide information regarding options for bystander intervention and information on risk reduction strategies. Descriptions of these prevention and education programs can be found in the University’s annual security report titled Annual Security and Fire Safety Report.

IX. Informal Resolution of Complaints

The University’s procedures for responding to incidents depends on the nature of the incident, the relationship of the respondent to the institution, and, to the extent possible, the wishes of the person bringing forward the complaint. As explained below, allegations of discrimination, unlawful harassment, and sexual misconduct may be resolved informally by the Associate Provost & Director of the Office for Equal Opportunity Programs or their designee (for faculty, other academic appointees, or postdoctoral researchers) or the Associate Dean of Students in the University for Disciplinary Affairs (for students), depending on the status of the respondent. Under Title IX and VAWA, the University has an obligation to respond to all allegations of sexual misconduct (including sexual assault) domestic violence, dating violence, and stalking about which a “responsible employee” knows or should have known.

Informal Resolution of Complaints Where a Student is the Respondent

If the person informally accused of a violation of this Policy is a student, an informal complaint shall be made using the procedures for student discipline described in the Student Manual. The complaint should be addressed to the Associate Dean of Students in the University for Disciplinary Affairs.

Informal Resolution of Complaints Where an Academic Appointee or Postdoctoral Researcher is the Respondent

Administrative Resolution 

At the request of the complaining party, the Associate Provost and Director of the Office for Equal Opportunity Programs has the authority to resolve allegations of discrimination, unlawful harassment, or sexual misconduct informally. The Associate Provost will notify the Chair of the Panel on Unlawful Harassment when such an investigation commences, and will notify the parties of the option to have the case heard by the Panel. Both the complainant and respondent will have the ability to present information and suggest witnesses related to an allegation of misconduct. After considering all the information available, the Associate Provost and Director of the Office for Equal Opportunity Programs will use the preponderance of evidence standard to conclude if the respondent is in violation of the University’s Policy on Harassment, Discrimination, and Sexual Misconduct.

If the Associate Provost and Director of the Office for Equal Opportunity Programs concludes the respondent is in violation of the University’s Policy on Harassment, Discrimination, and Sexual Misconduct, the Associate Provost and Director of the Office for Equal Opportunity Programs will consult with the respondent’s dean or department chair to apply an appropriate sanction, including but not limited to, an official warning, disciplinary probation, and/or the suspension of specific rights and privileges for a designated period of time.  The Associate Provost and Director of the Office for Equal Opportunity Programs cannot recommend invocation of statutory procedures for terminationthrough the informal process.  A copy of the written outcome and notice that the respondent has violated University policy or regulations will be placed in the respondent’s official file in the Office of the Provost.

If the Associate Provost and Director of the Office for Equal Opportunity Programs later finds that the academic appointee or postdoctoral researcher has engaged in additional misconduct, the Panel on Unlawful Harassment may be informed of the earlier allegation, outcome, and sanction. If the Panel on Unlawful Harassment is informed of the earlier allegation, outcome, and sanction, the Committee must consider them in determining further sanctions.

Either the complainant or respondent may at any time ask that the matter be handled formally rather than informally. The Associate Provost and Director of the Office for Equal Opportunity Programs may at any time discontinue the informal resolution process and refer the matter for formal resolution.

Mediation

Mediation is an attempt to come to a mutually acceptable or agreed-upon resolution to a complaint.  The goal of the mediation procedure is to provide a forum where the complainant and the respondent can, with the aid of a third party, come to a mutually agreed-upon resolution. Consequently, mediation will occur only if both the complainant and the respondent are willing to participate. A third party such as the Associate Provost & Director of the Office for Equal Opportunity Programs, a Harassment Complaint Advisor, or a faculty member from the Panel on Unlawful Harassment may act as mediator.  All involved parties must voluntarily agree to mediation in order for it to occur.  Mediation is not appropriate, even on a voluntary basis, in matters involving allegations of sexual assault, dating violence, domestic violence, and stalking.

Remedies and Other Measures

As mentioned above, a complainant is not required to pursue University discipline to be eligible for remedies related to an incident of sexual misconduct, dating violence, domestic violence, or stalking.  The Title IX Coordinator for students can work with a complainant to explore these options which include, but are not limited to, no-contact directive, housing accommodations, and academic accommodations.

X. Formal Resolution of Complaints

The appropriate procedure for resolving a formal complaint depends on the nature of the incident, the relationship of the respondent to the institution, and, to the extent possible, the wishes of the person bringing forward the complaint.

Formal Resolution of Complaints Where a Student is the Respondent

If the person formally accused of a violation of this Policy is a student, a formal complaint shall be made using the procedures for student discipline described in the Student Manual. The complaint should be addressed to the Associate Dean of Students in the University for Disciplinary Affairs.

Formal Resolution of Complaints Where an Academic Appointee or Postdoctoral Researcher is the Respondent

If the person formally accused of a violation of this Policy is a faculty member, other academic appointee, or postdoctoral researcher, the investigation will be conducted by the Associate Provost & Director of the Office for Equal Opportunity Programs or their designee and the matter will be adjudicated by the Panel on Unlawful Harassment.

The Panel consists of four faculty members appointed by the Provost for three-year terms (with the possibility of reappointment) and the Student Ombudsperson (as a non-voting student member). The Associate Provost & Director of the Office for Equal Opportunity Programs will sit with the Panel ex officio and does not vote. A list of the current members of the Harassment Panel may be found at http://www.uchicago.edu/about/boards_committees_and_councils/unlawful/.  If a hearing is requested, it is the task of the Panel to determine the facts in coordination with the Associate Provost & Director of the Office for Equal Opportunity Programs. At any time in its proceedings, the Panel may decide that the complaint should be dismissed. The Panel will be provided with written statements from the complainant and the respondent and, if necessary, will interview persons with knowledge bearing on the matter, including the complainant and the respondent.

If the complaint is found to have merit, the Panel will relay its findings to the Provost who will take appropriate action (for example, a reprimand, leave of absence without pay, or invocation of statutory procedures for termination). If the complaint is found to have no merit (or if the facts cannot be established), the complaint will be dismissed. Both parties must be simultaneously informed of the outcome. When a policy violation is found, a report of the complaint, including any disciplinary action, is placed in the respondent’s official file in the Office of the Provost.

Formal Resolution of Complaints Where a Staff Member is the Respondent

If the person formally accused of a violation of this Policy is a staff employee, Human Resources or their designee will normally conduct the investigation in partnership with the Associate Provost & Director of the Office for Equal Opportunity Programs. Both parties will be simultaneously informed of the outcome of the investigation.  When a policy violation is found, a report of the complaint, including any disciplinary action, is placed in the respondent’s official file.

Formal Resolution of Complaints of Sexual Assault, Dating Violence, Domestic Violence, or Stalking

Anyone may choose to bring forward a complaint within the University instead of, or in addition to, seeking redress outside the institution in the legal system. Someone with a complaint of sexual assault, domestic violence, dating violence or stalking may also opt to pursue his or her complaint via the legal system without engaging the University’s disciplinary process, although, in the interest of community safety, the University may be obliged to address an alleged sexual assault through internal disciplinary procedures.

In all cases, the University is committed to providing a prompt, fair, impartial, and thorough investigation and resolution that is consistent with the University’s policies and is transparent to the complainant and the respondent. Such an investigation may occur alongside an independent law enforcement investigation and will be conducted by University officials who do not have a conflict of interest or bias for or against the complainant or the respondent. In the event of a conflict of interest or recusal, another trained University official or external subject matter expert will be assigned to investigate and/or resolve the case. In most cases, the University’s investigation and resolution process will be complete within 60 days of receiving a complaint.  The University, in its discretion, may extend its investigation for good cause. If the timeframe for the investigation is extended, the University will provide written notice to the complainant and the respondent of the delay and the reason for the delay.

As explained above, although the procedures for investigating an alleged violation of this policy depend upon the status of the accused individual, such investigations will generally include: (1) assisting and interviewing the complainant (and the alleged victim, if that person is not the complainant); (2) identifying and locating witnesses; (3) contacting and interviewing the respondent; (4) if applicable, contacting and cooperating with law enforcement; and (5) providing information, including information regarding the importance of preserving physical evidence of the alleged sexual violence and the availability of a medical forensic examination at no charge to the victim.

The complainant’s and/or respondent’s sexual history with others will generally not be sought or used in determining whether sexual assault has occurred.  However, in certain circumstances the sexual history between the parties may have limited relevance to explain context.  For example, if consent is at issue, the sexual history between the parties may be relevant to determining whether consent was sought and given during the incident in question.  Additionally, under limited circumstances necessary to understand the context, sexual history between the parties may be relevant to explain an injury, to provide proof of a pattern, or to address an allegation.

The standard used in such proceedings is a preponderance of the evidence. The respondent and complainant are entitled to bring a person of their choice to the proceedings, whose role is limited to providing support, not acting as an advocate, participant, or witness. In the interests of limiting the number of people with confidential information about the matter, each of the parties is expected to identify one support person and to make a change only in exceptional circumstances. The complainant, the respondent, and appropriate University officials will receive timely and equal access to information that will be used during formal disciplinary proceedings. The complainant and respondent are simultaneously informed, in writing, of the result of the formal disciplinary proceedings, the procedures for seeking review of the result (if applicable), and when the result becomes final.  This notification will include the determination of whether a violation occurred, any sanction, and the rationale for the result and sanction. If the complainant or respondent seeks review of the result, both will be simultaneously informed in writing of any change to the outcome.

Please see the Student Manual for information regarding procedures for the student complaint resolution process and sanctions that may be imposed upon a student found responsible for a violation of this Policy. Third parties found to have violated the Policy may be banned from campus and/or otherwise restricted from attending or participating in University activities and programs.

All individuals whose duties include resolution of complaints of student violations of the Policy on Harassment, Discrimination, and Sexual Misconduct shall receive a minimum of 8 hours of annual training on issues related to sexual violence, domestic violence, dating violence, and stalking and how to conduct the University’s complaint resolution procedures, in addition to annual survivor-centered and trauma-informed response training.

Time Limits

There is no time limit for filing a complaint of sexual misconduct, dating violence, domestic violence, or stalking.  However, complainants should report as soon as possible to maximize the University’s ability to respond promptly and effectively.  Delayed reporting often results in the loss of relevant evidence, and/or in faded and unreliable memories; it also impairs the University’s ability to summon witnesses, assess evidence, and, if appropriate, adjudicate claims and impose sanctions and other remedies.  Furthermore, if the respondent is no longer affiliated with the University at the time of the complaint, it is likely that the University will be unable to summon the respondent or take disciplinary action against him or her, although the University will take reasonable steps to understand the facts, assess whether the respondent poses a present or ongoing risk of safety to the University community, and take any measures necessary to mitigate safety risk.

Appendices

I. Support Services and Resources for Those Who Have Experienced Sexual Misconduct

The needs of someone who has experienced sexual misconduct such as sexual assault, domestic violence, dating violence, or stalking vary from person to person and may vary over time. The University offers a diverse array of services and external resources, many of which may be accessed 24 hours a day, so that a person may choose whatever would be most helpful and healing.  Written information regarding these services and resources will be provided to individuals who report being victims of sexual assault, domestic violence, dating violence, or stalking. Exercising reasoned discretion, the University will provide interim protective measures and accommodations including, but not limited to, University no-contact orders, changes to academic, living, dining, transportation, and working situations, and honoring an order or protection or no-contact order entered by a State civil or criminal court, to any victim who asks for them, so long as they are reasonably available, regardless of whether the victim reports the incident to law enforcement. Information regarding accommodations and interim protective measures may be obtained from the Title IX Coordinator for the University.  Any accommodations or protective measures will be confidential so long as confidentiality will not impair the University’s ability to provide the accommodations or protective measures.

The University urges anyone who has experienced sexual assault, domestic violence, dating violence, or stalking to seek support as soon as possible to minimize and treat physical harm, assist with processing the unique and complex emotional aftermath, and help preserve and understand options for pressing charges. Individuals have many options with regard to reporting sexual assault, domestic violence, dating violence, and stalking, including reporting to the University of Chicago Police Department, the Chicago Police Department, and to various campus authorities. Additionally, victims have recourse through the civil and criminal court systems, by being able to seek orders of protection, no-contact orders, and other similar court orders. As feasible, the University will honor an order of protection or no-contact order entered by a State civil or criminal court so long as it has been notified of the order and its terms. Victims also have the option to decline to notify such authorities.

Even for someone who does not wish to report the event to the police or pursue disciplinary action, seeking medical attention as soon as possible is important. Victims should be aware of the importance of preserving evidence, which may be necessary to the proof of criminal sexual assault, domestic violence, dating violence, or stalking, or to obtain an order of protection.

Resources for Everyone

Associate Provost & Director of the Office for Equal Opportunity Programs

Title IX Coordinator for the University 

The University official responsible for coordinating compliance with the University’s Policy on Harassment, Discrimination, and Sexual Misconduct is Sarah Wake, Associate Provost and Director of the Office for Equal Opportunity Programs. Ms. Wake also serves as the University’s Title IX Coordinator for the University, Affirmative Action Officer, and Section 504/ADA Coordinator.  You may contact Ms. Wake by emailing swake@uchicago.edu, by calling 773-702-5671, or by writing to Sarah Wake, Office of the Provost, The University of Chicago, 5801 S. Ellis Ave., Levi Hall 427, Chicago, IL 60637.

You may contact the Associate Provost and Director of the Office for Equal Opportunity Programs to report any complaints of discrimination, unlawful harassment, and sexual misconduct. The Associate Provost and Director of the Office for Equal Opportunity Programs can also assist you in the following ways:

• If you are unsure of where to turn for help.
• If you have questions regarding the University’s Policy on Harassment, Discrimination, and Sexual Misconduct.
• If you have questions regarding Title IX of the Education Amendments of 1972.
• If you are seeking information regarding or the implementation of interim protective measures and accommodations related to a sexual misconduct matter.
• If you have a complaint or question regarding postdoctoral researchers, staff, faculty members, or other academic appointees engaging in harassment, discrimination, sexual misconduct, dating violence, domestic violence, stalking, or retaliation.
• If you need information regarding campus accessibility and accommodations for individuals with disabilities.

Please see http://provost.uchicago.edu/issues/discrimination-harassment-and-sexual-misconduct for additional information.

Medical Facilities

Hyde Park

University of Chicago Medicine Mitchell Emergency Room: Medical and Counseling Services: 773-702-6250, 901 East 58^th St., Chicago (24-hours)

The Mitchell Emergency Room is the nearest medical facility to the Hyde Park campus and follows specific policies and procedures, approved by the State, in treating an individual who has been sexually assaulted. The State will pay for emergency room care for victims who have been sexually assaulted and do not have health insurance; if a victim provides health insurance information to the emergency room, the emergency room will bill the insurance company and the policy holder will be notified as usual.

• The victim is placed in a private room.
• Medical care is given as soon as possible.
• A Sexual Assault Survivor Advocate or a Sexual Assault Dean-on-Call (for a student) may be called based on a victim’s preferences.
• By law, city police are notified, and the victim may choose to file a report.
• The victim may have a medical forensic examination completed at no cost, pursuant to the Sexual Assault Survivors Emergency Treatment Act.

Gleacher Center

Northwestern Memorial Hospital Emergency Department is the medical facility offering sexual assault evidence collection and treatment nearest to the Gleacher Center.

251 E. Huron St., Chicago (24-hours)

Telephone: 312-926-5188

Other Campuses

Medical providers near each of the University of Chicago’s other campuses are listed below. However, please note that outside the state of Illinois, hospitals are not subject to the Illinois law requiring the provision of certain services to sexual assault survivors free of cost.

Beijing

Haidian Hospital

29^th Zhongguancun Dajie, Haidan District, Beijing

Telephone: 62583042/62583093

Beijing United Family Hospital

Beijing United Family Hospital is farther from campus than Haidan Hospital, but offers English-speaking staff.

#2 Jiangtai Road, Chaoyang District, Beijing, China, 100015

Telephone: 400 891 9191

Delhi

Primus Super Specialty Hospital

2, Chandragupt Marg, Chanakyapuri, New Delhi 110 021, India

Telephone: (011) 66206620/30/40

All public or private medical hospitals in Delhi are required by law to provide free medical assistance to victims of sexual assault.

Hong Kong

Queen Mary Hospital

102 Pok Fu Lam Road, Hong Kong

Emergency Room (24 hours): +852-2255-3838

Private Clinic (limited hours): +852-2255-3001

London

The Havens

The Havens are self-contained centers located near London hospitals which are dedicated to providing assistance to victims of sexual assault. Among other things, the Havens offer forensic medical examinations, first aid, advice, emergency contraception, medical aftercare, and specialist support (e.g., counseling, psychology, and advocacy).

The Havens locations are: Camberwell Haven, near to King’s College Hospital (south); Whitechapel Haven, near to Royal London Hospital (east); and Paddington Haven, near to St Mary’s Hospital (west). Before visiting any of the Havens, you must first call 020-3299-6900 (available 24/7) to make an appointment.

Marine Biological Laboratory (Woods Hole, Massachusetts)

Falmouth Hospital

100 Ter Heun Drive, Falmouth, MA 02540

Telephone: 508-548-5300

Paris

Hopital Saint Joseph

85 Rue Raymond Losserand, 75014 Paris

Telephone: 01 44 12 33 33

Please note that hospitals in France will not conduct a medical forensic examination without a police order. Local law enforcement nearest to the Paris campus is:  Commissariat du 13ème arrondissement de Paris, 144 boulevard de l’Hôpital, 75013 Paris.

Singapore

Raffles Hospital

585 North Bridge Road Singapore 188770

Telephone: (65) 6311 1555 (emergency); (65) 6311 1111 (24/hr hotline for appointments)

Law Enforcement

University of Chicago Police Department: 773-702-8181 or 1-2-3 from a campus phone (24-hours)

The University of Chicago Police Department (UCPD) urges anyone who has been sexually assaulted to call immediately in order to strengthen the likelihood of successful prosecution. A UCPD officer can be summoned by calling 773.702.8181, pressing the red button on any of the emergency phones located throughout the community, or coming directly to the UCPD office at 6054 South Drexel Ave.

Responsibilities of the UCPD when receiving a report of sexual assault, dating violence, domestic violence, or stalking include:

• Attending to the immediate needs of the victim, including personal safety and prompt medical care.
• When appropriate, broadcasting a description of the offender.
• Notifying the Title IX Coordinator for the University.
• Notifying the Sexual Assault Dean-on-Call if the victim is a student.
• Providing victims with information concerning the importance of preserving evidence, and the rights of victims and the University’s responsibilities regarding orders of protection, no-contact orders, and other similar court orders

The UCPD recommends the prompt reporting of sexual assault, domestic violence, dating violence, and stalking. Nevertheless, individuals should not be reluctant to file a report at a later date. Reporting an incident does not obligate a person to press charges.

Chicago Police Department: 911 (24-hours) or 9-911 from a campus phone

Anyone preferring not to report a matter to the University of Chicago Police Department may contact the Chicago Police Department.

Harassment Complaint Advisors: http://provost.uchicago.edu/initiatives/additional-resources

An individual who feels he or she has been harassed in an incident without a sexual misconduct, dating violence, domestic violence, or stalking dimension may bring the matter to a Complaint Advisor, whose role is to discuss with the complainant available options on how to proceed. The advising is intended to provide a forum for free and open discussion between the complainant and the Advisor. Consequently, no record will be kept of the advising conversation other than an incident report, which will not contain the names of either the complainant or the respondent and which will be used only to keep a yearly record of the number of different types of reported incidents. Every attempt will be made to protect the privacy of an individual who seeks the assistance of an Advisor. If the Advisor learns of allegations that are so serious that they obligate the University to act there will be an administrative response, which may include a formal investigation and will include notifying germane administrative or managerial personnel (e.g., department chair and/or dean in matters involving faculty members, other academic appointees, and postdoctoral researchers; deans of students in matters involving students; and supervisors, managers, and/or directors in matters involving staff employees).

 

Religious Organizations

A variety of groups offer pastoral care and a community of faith to address individual needs.  For more information, visit http://spirit.uchicago.edu/

Office of International Affairs: 773-702-7752; international-affairs@uchicago.edu

The Office of International Affairs can provide information and assistance regarding visas and immigration. For more information, visit https://internationalaffairs.uchicago.edu/.

504/ADA Coordinator for the University: 773-702-5671, swake@uchicago.edu  

To raise concerns or to file a 504 or ADA complaint under our Policy on Harassment, Discrimination, and Sexual Misconduct, Section 504, or ADA, contact Sarah Wake, Associate Provost & Director of the Office for Equal Opportunity Programs, Title IX Coordinator, Affirmative Action Officer, 504/ADA Coordinator. Levi Hall 427.

Resources Especially for Students

Sexual Assault Dean-on-Call: 773-702-8181, via University Police (24-hours) or 773-834-HELP (4357), a direct paging system.

At any time, students may contact a Sexual Assault Dean-on-Call, who is trained to respond to sexual assault, domestic violence, dating violence, and stalking emergencies. A student may contact this Dean-on-Call even before deciding whether to report the sexual assault, domestic violence, dating violence, or stalking to the police. The Sexual Assault Dean-on-Call is available to answer any general or personal questions related to sexual assault, domestic violence, dating violence, and stalking, and can help with:

• Finding emotional support
• Getting medical care
• Reporting the crime to the police
• Preserving evidence, and pressing charges
• Obtaining information regarding the rights of victims and the University’s responsibilities regarding orders of protection, no-contact orders, and other similar court orders.
• Adjusting living arrangements
• Managing academic obligations
• Getting counseling
• Referring complaints of harassment to a harassment Complaint Advisor

For more information, visit, http://deanoncall.uchicago.edu/.

Please contact the Deputy Title IX Coordinator for Students & Associate Dean of Students in the University at swolfe1@uchicago.edu or 773-702-0438:

• If you are a student in need of any support services related to an incident of sexual misconduct, dating violence, domestic violence, or stalking.
• If you are a student who has questions regarding the University’s Policy on Harassment, Discrimination, and Sexual Misconduct.
• If you are a student who has questions regarding Title IX of the Education Amendments of 1972.
• If you are a student seeking information regarding or the implementation of interim protective measures and accommodations related to a sexual misconduct matter.

Student Health Service: 773-702-4156, 5839 South Maryland Avenue, R-100

Physicians and certified nurse practitioners provide for students ongoing follow-up health care and services, including pregnancy testing, counseling, and referral services; and sexually transmitted disease testing, diagnosis, and treatment. There is a 24-hours-a-day advice line available to students for consultation.  While acute, immediate post-assault treatment is provided at the Mitchell Emergency Room, the Student Health Service offers follow-up care, including health care services for students who have chosen not seek care immediately after an assault.  For more information, visit http://healthcare.uchicago.edu.

 

Student Health Service Nurse Triage Line:  773-702-1915

Student Counseling Service: 773-702-9800, 5555 South Woodlawn Avenue (SCS Staff Member-on-Call 24-hours)

SCS supports students who are working through an experience of sexual assault, domestic violence, dating violence, or stalking, or questions about relationships and sexuality. Consultation with a staff member is available in person during regular business hours and by telephone for after-hours emergencies.  For more information, visit http://counseling.uchicago.edu/.

Confidential Advisor: 773-702-9800, 5555 South Woodlawn Avenue (Ask to Speak With a Confidential Advisor)

A Confidential Advisor is available by appointment through the Student Counseling Service.  This is a licensed clinician who has received an additional 40 hours of training on Sexual Violence. Communication with a Confidential Advisor is considered privileged communication.

Area Deans of Students

At any time, students may contact their area Dean of Students or Campus and Student Life. Deans of Students are available to help and work with students throughout the process, addressing short-term and long-term personal or academic issues that arise, including options for with changing academic, living, transportation, and working situations if requested and available. http://csl.uchicago.edu/get-help/dean-call-program/area-dean-students.

Resources for Sexual Violence Prevention (RSVP): 773-834-7738

RSVP organizes interactive peer workshops and educational programs on acquaintance rape prevention, sexual violence, and gender issues.  For more information, visit http://csl.uchicago.edu/get-help/resources-sexual-violence-prevention.

Peer Health Educators: 773-702-8935

Organized by Health Promotion and Wellness, this group of students develops programs and presentations for students on a variety of sensitive subjects, including sexual health.  For more information, visit http://wellness.uchicago.edu/.

Financial Aid

The University’s financial aid offices can provide information regarding and assistance navigating the University’s financial aid programs. Students may find contact information for their applicable financial aid office here: http://csl.uchicago.edu/policies/disclosures#financial_aid_information.

 

Resources Especially for Staff, Postdoctoral Researchers (PDR), Other Academic Appointees (OAA), and Faculty

Associate Provost and Director of the Office for Equal Opportunity Programs

The University official responsible for coordinating compliance with the University’s Policy on Harassment, Discrimination, and Sexual Misconduct is Sarah Wake, Associate Provost and Director of the Office for Equal Opportunity Programs. Ms. Wake also serves as the University’s Title IX Coordinator for the University, Affirmative Action Officer, and Section 504/ADA Coordinator.  You may contact Ms. Wake by emailing swake@uchicago.edu, by calling 773-702-5671, or by writing to Sarah Wake, Office of the Provost, The University of Chicago, 5801 S. Ellis Ave., Levi Hall 427, Chicago, IL 60637.

Please see http://provost.uchicago.edu/issues/discrimination-harassment-and-sexual-misconduct for additional information.

Human Resources Employee and Labor Relations (for Staff): 773-702-4411

Questions or complaints regarding misconduct by a staff member should be directed to the Employee and Labor Relations team in Human Resources.  You may also contact the Associate Provost and Director of the Office for Equal Opportunity Programs regarding complaints of harassment, discrimination, sexual misconduct, dating violence, domestic violence, stalking, or retaliation by a staff member.

Perspectives (Employee Assistance Program) 24-hours: 800-456-6327

Counseling services are provided to staff, faculty, OAA, and PDR affected directly and indirectly by sexual misconduct, domestic violence, dating violence, and stalking. http://www.perspectivesltd.com/.

Non-University Resources for Everyone

Community-based, State, and National Sexual Assault Crisis Centers

Chicago Rape Crisis Hotline (24 hours): 888-293-2080

Immediate and long-term referrals, information, and counseling.

LGBTQ Crisis Hotline (24 hours): 773-871-2273

Information, counseling, and referrals

Chicago Women’s Health Center: 773-935-6126

Gynecological care and counseling

1025 W. Sunnyside Ave., Suite 201, Chicago, 60640

http://www.chicagowomenshealthcenter.org

YWCA Metropolitan Chicago: 312-372-6600

Counseling and legal advocacy

1 N. LaSalle St. #1150, Chicago, 60602

http://www.ywcachicago.org

Parks Francis YWCA: 773-955-3100

Counseling and legal advocacy

6600 S. Cottage Grove Ave., Chicago, 60637

The Center on Halsted: 773-472-6469

Services for the LGBTQ community

3656 N. Halsted, Chicago, 60613

http://www.centeronhalsted.org

Rape Victim Advocates: 312-443-9603

Counseling

180 N. Michigan Ave. #600, Chicago, 60601

http://www.rapevictimadvocates.org

Mayor’s Office for Domestic Violence Help Line (24 hours): 877-863-6338

Information and referrals for shelters, counseling, legal advocacy, and more

Chicago Bar Association: 312-554-2000

Lawyer referral service

For more Illinois community-based sexual assault crisis centers, visit the Illinois Coalition on Sexual Assault, http://www.icasa.org

Marine Biological Laboratory (Woods Hole, Massachusetts)

Independence House, Inc.

Counseling, advocacy, and group counseling for survivors of rape, incest, stalking, sexual harassment, molestation, childhood sexual assault and intimate partner violence.

220 Main St. Fl. Ste. 200, Falmouth, MA 02540

800-439-6507

International Resources for Victims of Sexual Assault

Delhi

Rape Crisis Cell Delhi

Free legal services for rape victims; also assists with contacting law enforcement and obtaining medical examinations

 

2nd Floor, ‘C’ Block,

Vikas Bhawan, I.P. Estate,

New Delhi – 110002.

Nearest Metro Station: ITO

Telephone: 23378317, 23378044

 

Hong Kong

RainLily

24-hour crisis support, coordination with healthcare workers, social workers and police, forensic medical examinations

 

Room 405-410, Kin Man House, Oi Man Estate, Ho Man Tin, Kowloon, Hong Kong

Telephone: 2392 2569; 2375 5322 (hotline)

 

Additional information regarding Hong Kong resources may be found on the U.S. Consulate’s website.

London

The Havens

As described above, the Havens are self-contained centers located near London hospitals which are dedicated to providing assistance to victims of sexual assault. In addition to medical examinations and first aid, the Havens offer advice, emergency contraception, medical aftercare, and specialist support (e.g., counseling, psychology, and advocacy).

Locations: Camberwell Haven, near to King’s College Hospital (south);
Whitechapel Haven, near to Royal London Hospital (east); and Paddington Haven, near to St Mary’s Hospital (west). Before visiting any of the Havens, you must first call 020-3299-6900 (available 24/7) to make an appointment.

Rape Crisis England and Wales

Counseling, advocacy, and support to rape victims (women and girls only)

East London: PO Box 58203, London, N1 3XP

Telephone (helpline): 020 7683 1210

 

North London: Head Office, Unit 5-7 Blenheim Court, 62 Brewery Road, London, N7 9NY

Telephone (helpline): 0808 801 0305

 

South London: P.O. Box 383, Croydon, London, CR9 2AW

Telephone (helpline): 0808 802 9999

 

West London: PO Box 56663, London, W13 3BJ

Telephone (helpline): 0808 801 0770

 

Singapore

Sexual Assault Care Center (SACC) at Association of Women for Action and Research (AWARE)

Counseling, legal services, and social work services for victims of sexual assault

Drop-in center: 5 Dover Crescent #01-22

Telephone (hotline): 6779 0282

II. Yearly Report on Harassment and Sexual Misconduct to the Council of the University Senate

A yearly report will be made to the Council of the University Senate: (1) detailing the number of different types of incidents of harassment and sexual misconduct brought to the attention of the University-wide Student Disciplinary Committee, Title IX Coordinators, Human Resources, the Complaint Advisors, and the Panel on Unlawful Harassment; and (2) describing the goals of the University-wide program to prevent harassment and sexual misconduct and the ways in which those goals were implemented during the year. The report will be prepared by the Associate Provost & Director of the Office for Equal Opportunity Programs and reviewed and approved by the Panel on Unlawful Harassment, the Chair of which will present the report to the Council.

III. Compliance and Locating This Policy

Regulations Prohibiting Discrimination

The University’s Policy is consistent with federal, state, and local regulations governing non-discrimination and harassment including: the Age Discrimination in Employment Act, the Americans with Disabilities Act (as amended), the Civil Rights Acts of 1964 and 1991, Executive Order 11246, the Equal Pay Act of 1963, the Rehabilitation Act of 1973 (as amended), Title IX of the Education Amendments of 1972, Genetic Information Nondiscrimination Act of 2008, Lilly Ledbetter Fair Pay Act of 2009, the Illinois Human Rights Act, the City of Chicago Human Rights Ordinance, and the Cook County Human Rights Ordinance.

The crimes of domestic violence, dating violence and stalking were added by VAWA (effective March 7, 2014) as crimes reportable under the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (“Clery Act”).  Pursuant to the Clery Act, these crimes are reported in the publication Annual Security and Fire Safety Report.

IDHR, IHRC, and OCR Legal Recourse and Investigative/Complaint Process

A University of Chicago employee has the right to contact the Illinois Department of Human Rights (IDHR) for further information or to file a formal charge of unlawful discrimination, harassment, or retaliation. Charges must be filed within 180 days of alleged sexual harassment or other alleged discrimination unless it is a continuing offense. An appeal process is available through the Illinois Human Rights Commission (IHRC) after IDHR has completed its investigation of the complaint. The investigative, charge, and complaint process, and legal recourse processes are described in more detail at http://www2.illinois.gov/dhr/FilingaCharge/Pages/Employment.aspx.

IDHR may be reached at: Illinois Department of Human Rights 100 W. Randolph St., 10th Flr. Intake Unit Chicago, IL 60601 (312) 814-6200 (866) 740-3953 (TTY) Other IDHR Offices: Springfield:    (217) 785-5100 (866) 740-3953   (TTY) Marion:           (618) 993-7463 (866) 740-3953   (TTY)

IHRC may be reached at: Illinois Human Rights Commission 100 W. Randolph St., Suite 5-100 Chicago, IL 60601 (312) 814-6269 (312) 814-4760 (TTY) Other IHRC Office: Springfield:    (217) 785-4350 (217) 557-1500   (TTY)

All members of the University community may also contact the Office for Civil Rights (a division of the United States Department of Education) to file a complaint pertaining to Title IX:

Office for Civil Rights

Chicago Office

U.S. Department of Education

Citigroup Center

500 W. Madison Street

Suite 1475

Chicago, IL 60661

(312) 730-1560

 

Access to Information on Harassment, Discrimination, and Sexual Misconduct

The University’s Policy on Harassment, Discrimination, and Sexual Misconduct can be found in the Student Manual of University Policies and Regulations (http://studentmanual.uchicago.edu/), on the Human Resources’ Web site (http://hr.uchicago.edu/policy), at http://harassmentpolicy.uchicago.edu, and at http://provost.uchicago.edu/issues/discrimination-harassment-and-sexual-misconduct.

IV. Related Policies

Counseling Service-Staff and Faculty Assistance Program

(Personnel Policy U402)

http://humanresources.uchicago.edu/fpg/policies/400/p402.shtml

Disciplinary Systems for Students

https://studentmanual.sites.uchicago.edu/page/university-disciplinary-systems

Discipline for Faculty and Other Academic Appointees

https://provost.uchicago.edu/handbook/clause/termination-or-removal-cause

Nepotism Policy for Faculty and Other Academic Appointees

http://provost.uchicago.edu/handbook/clause/nepotism-policy-faculty-and-other-academic-appointees

Nepotism Policy for Staff (Personnel Policy U206)

https://humanresources.uchicago.edu/fpg/policies/200/p206.shtml

Progressive Corrective Action (Personnel Policy U703)

http://humanresources.uchicago.edu/fpg/policies/700/p703.shtml

Termination of Employment Information (Personnel Policy U208)

http://humanresources.uchicago.edu/fpg/policies/200/p208.shtml

Treatment of Confidential Information (Personnel Policy U601)

http://humanresources.uchicago.edu/fpg/policies/600/p601.shtml

Policy effective: August 1, 2016

Last administrative update: August 23, 2016

Section: U610

Date: January 5, 2015

PURPOSE

To express the University’s commitment to providing a safe and secure learning, working and living environment.

POLICY

To express the University’s commitment to providing a safe and secure learning, working and living environment.  Subject to the exceptions in Section III, the University prohibits the possession, use or storage of firearms, other lethal weapons, fireworks, and other dangerous objects or materials by anyone: (i) on any property owned, leased or controlled by the University, including but not limited to all buildings, land, parking areas, sidewalks and common areas; (ii) in any vehicle, owned, leased or controlled by the University regardless of location; (iii) at any external, University-sponsored activities or events; and (iv) employed by the University when conducting University business anywhere.

DEFINITIONS

Firearm means any device, regardless of its name, that is designed to expel a projectile by the action of an explosion, expansion of gas or escape of gas; any imitation or replica firearm; and any firearm that has been rendered inoperative.

Other lethal weapons consist of instruments, material or devices that ordinarily could result in or are readily capable of causing serious bodily injury or death, including replicas of the same. These include but are not limited to ammunition, gunpowder, BB guns, pellet guns, paint guns, stun guns, flare guns, blow guns, clubs, slingshots, blackjacks, swords, sabers, daggers, machetes, hatchets, crossbows, nunchucks, throwing stars, batons, billy clubs, and knives except those used as common eating utensils and personal use knives with folding blades four inches or less.*

Fireworks include but are not limited to firecrackers, rockets, roman candles, cherry bombs, toy cannons and toy guns in which explosive materials are used, fire balloons, or other devices containing any combustible or explosive substance used to propel another object.

Other dangerous objects or materials means any object or material designed to inflict injury or death, including items that pose a potential hazard to the safety or health of others, and unauthorized hazardous materials or chemicals.

* Many common objects and materials may be used or modified for use as a weapon. In deciding whether such an object or material is a weapon under this policy, the University will use reasoned judgment when considering, among other factors, the time, place and circumstances surrounding the use and possession of the common object or tool, including the explanation for its possession or use and whether it has been modified or altered to make it more effective as a weapon.

EXCEPTIONS

A. Law Enforcement. This policy permits the possession, use and storage of firearms and other lethal weapons by sworn law enforcement personnel, authorized security officers and armed guards possessing, using and storing such devices as required by their job.

B. University Work. This policy permits lawful possession, use and storage of knives, other lethal weapons, and dangerous objects or materials within the scope of a person’s employment by the University or work as a University contractor. For example, this policy does not prohibit the authorized possession, use and storage of radioactive materials in connection with laboratory research, or knives and other lethal weapons in connection with food preparation or consumption, or saws or shearing devices by Facilities Services employees or contractors.

C. Sponsored Programs. This policy permits the lawful possession, use and storage of other lethal weapons in connection with regularly scheduled and University-authorized educational, recreational or training programs, where the weapon is required for or is a central part of the curriculum or activity (e.g., the use of foils in fencing classes).

D. Ceremonies, Parades and Performances. This policy permits the lawful possession, use and storage of imitation firearms or lethal weapons by participants in any University-sponsored ceremony, parade or theatrical performance, provided that an academic appointee or staff employee has expressly agreed to supervise their use as part of his or her regular job responsibilities and advance written approval has been obtained from the Associate Vice President/Chief of Police (or his/her designee). NOTE: imitation firearms and lethal weapons should only be possessed, used and stored in settings where it is unlikely that their purpose would be misunderstood; also, easily identifiable toys, such as brightly colored or clear water guns, are excepted from this policy.

E. Parking Lots and Non-University Vehicles. This policy permits a person carrying a validly licensed concealed firearm under Illinois law to park a non-University owned or controlled vehicle he or she is driving or in which he or she is a passenger in any University owned, leased or occupied parking area or lot, but only if the firearm and any associated ammunition are maintained, at all times, in a case within the locked vehicle or in a locked container out of plain view and within the vehicle. A “case” includes a glove compartment or console that completely encloses the firearm and ammunition, the trunk of the vehicle, or a firearm-carrying box, shipping box, or other container. Also, the person may carry the concealed firearm in the immediate area surrounding the vehicle within the parking lot, but only for the limited purpose of storing or retrieving it from the trunk and only if the person unloads the firearm before exiting the vehicle. The University retains the authority to designate certain University owned, leased or occupied parking areas or lots as restricted areas in which all vehicles containing firearms are prohibited. In those instances, the University will post signage indicating the prohibition.

F. At Home. Nothing in this policy prohibits a University employee who is conducting University business while at home (other than in University housing) from possessing or storing firearms, other lethal weapons, fireworks, and other dangerous objects or materials. Nothing in this policy prohibits possession of knives in University housing for common eating utensils and food preparation purposes.

G. Special Exceptions. In addition, the University’s Chief of Police (or his/her designee) is authorized to grant additional exceptions either in connection with extraordinary emergency situations or in response to written requests and as follows. Written requests must be made at least 10 days in advance of the date on which possession, use or storage of the prohibited item is proposed. Using reasoned judgment, the Chief of Police will consider each request based on the circumstances associated with the request. The Chief of Police will issue his or her determination and any associated restrictions or conditions in writing.

VIOLATIONS AND REPORTING

Any student or group that violates this policy will be subject to discipline under the Housing Disciplinary System and/or an Area Disciplinary System. Contractors who violate this policy will be subject to contract termination. Staff employees, academic appointees, visiting academics, post-doctoral researchers, employees of affiliates and volunteers who violate this policy will be subject to discipline using the disciplinary processes applicable to each category. Employees of affiliates, volunteers, visitors or guests who violate this policy will be subject to the University’s Ban Policy. Discipline includes removal from the Housing System, suspension, expulsion, termination of employment or appointment, revocation of volunteer status, and a ban from accessing University property. In addition, because conduct that violates this policy may also constitute a crime, the University may refer any violation of this policy to law enforcement officials and thus persons who violate this policy may be arrested and prosecuted.

Any person with knowledge of a policy violation is expected to communicate promptly with the University of Chicago Police Department, the Office of the Vice President of Campus Life and Student Services, the Office of the Provost, or Human Resources. Reports also may be made using the University’s whistleblower hotline (800-971-4317).