Harassment and Discrimination

Overview | Sexual Harassment | Discrimination | HMS/HSDM Procedures for Resolving Complaints of Discrimination, Harassment, or Unprofessional Relationships and Abuse of Authority | HSPH Policy on Sexual Harassment

I. STATEMENTS OF POLICY

A. Non-Discrimination

The President and Fellows of Harvard College have adopted the following statement of nondiscrimination policy applicable to all programs and activities of Harvard University. The Harvard Medical School (HMS) and the Harvard School of Dental Medicine (HSDM) affirm and apply these principles:

Harvard University's policy is to make decisions concerning applicants, students, faculty and staff on the basis of the individual's qualifications to contribute to Harvard's educational objectives and institutional needs. The principle of not discriminating against individuals on the basis of race, color, sex, sexual orientation, gender identity, religion, age, national or ethnic origin, political beliefs, veteran status, or disability unrelated to job or course of study requirements is consistent with the purposes of a university and with the law. Harvard expects that those with whom it deals will comply with all applicable antidiscrimination laws.

B. Discriminatory Harassment

It is the strong and consistent policy of the Harvard Medical School and the Harvard School of Dental Medicine to treat all members of the HMS/HSDM community with respect, to provide an environment conducive to learning and working, and to ensure equal access to rights, privileges and opportunities without regard to race, color, sex, sexual orientation, gender identity, religion, age, national or ethnic origin, political beliefs, veteran status, or disability. Harassment on the basis of these characteristics is inconsistent with these principles and violates obligations of non-discrimination imposed by law and Harvard policy.

Harvard Medical School and the Harvard School of Dental Medicine value and are committed to diversity of views and to principles of free inquiry and expression. All members of the HMS/HSDM community have the right to hold and vigorously defend and promote their opinions. Respect for this right requires that community members tolerate even expressions of opinions that they may find repugnant or offensive. There are, however, obligations of civility and respect for others that underlie rational discourse. Racial, sexual, and intense personal harassment not only show grave disrespect for the dignity of others, but also prevent rational discourse. Behavior evidently intended to dishonor such characteristics as race, gender, national origin or ethnic group, religious belief, or sexual orientation is contrary to the pursuit of inquiry and education and may be discriminatory harassment violative of law and Harvard policy. Such grave disrespect for the dignity of others may be addressed and punished under these or other existing procedures where it violates the balance of rights upon which a University is based. It is expected that when there is a need to weigh the right of freedom of expression against other rights, the balance will be struck after a careful review of all relevant facts and will be consistent with established First Amendment standards.

C. Sexual Harassment

Sexual harassment is unacceptable because it interferes with a person's dignity and well-being in the HMS/HSDM community, seriously undermines the atmosphere of trust essential to the academic enterprise, and is discrimination violative of law and Harvard policy. The determination of what constitutes sexual harassment will vary with the particular circumstances, but it may generally be described as unwelcome behavior of a sexual nature (including but not limited to physical contact; verbal conduct including comments, invitations, questions, suggestions, or jokes; staring or leering) that meet at least one of the following three criteria: (1) submission to such conduct is, either explicitly or implicitly, a term or condition of an individual's employment or educational experience; or (2) submission to or rejection of such conduct is used as a basis for making employment or educational decisions affecting an individual; or (3) such conduct unreasonably interferes with an individual's work or academic performance or creates a pervasively and objectively hostile work or learning environment. In the academic context, a particularly serious occurrence of sexual harassment exists when attention of a sexual nature by a faculty member, fellow, supervisor, or other officer is directed to an individual over whom he or she is in a position to exercise professional power. Sexual harassment can also occur between persons of the same HMS or HSDM status.

D. Unprofessional Relationships and Abuse of Authority

Amorous relationships that might be appropriate in other circumstances have inherent dangers when they occur between any HMS or HSDM faculty, fellow, or officer and any person over whom he/she has a professional responsibility, e.g., as a teacher, advisor, preceptor, or supervisor. Such relationships are fundamentally asymmetric, unprofessional, and an abuse of authority.

HMS and HSDM faculty, fellows, and officers should be aware that any romantic involvement with students, junior colleagues, or staff members over whom they have supervisory or instructional responsibility makes them liable to complaint and formal action under these procedures. Even when both parties have initially consented to such a relationship, it is the faculty member, instructor, or officer who, by virtue of his/her special responsibility, may be held accountable for the unprofessional relationship or abuse of authority.

If an amorous relationship develops between a senior and junior member of the HMS community the reporting relationship should be dissolved promptly by the more senior person. Such relationships occurring outside a present or direct instructional or employment context are also to be avoided to eliminate the possibility that unexpected circumstances may place the faculty member, instructor or officer in an instructional, evaluative, or supervisory position with respect to the other individual.

In addition, such relationships are to be avoided because they may create an impression on the part of colleagues of inappropriate or inequitable academic or professional advantage or favoritism that is destructive of the learning or working environment. Relationships in which one party is in a position to review the work or influence the career of others may provide grounds for complaint by "third" parties when the relationship gives or is perceived to give undue access or advantage, restrict opportunities, or create an appearance of unfairness. By altering the reporting relationship, the possibility of unfairness to others can be removed.

II. GENERAL PRINCIPLES

A. All persons charged with responsibility under these procedures will discharge their obligations with fairness, objectivity and rigor.

B. All activities under these procedures will be conducted with regard for the legitimate privacy and reputational interests of the complainant and respondent. It is expected that complaints and other activities under these procedures will be confidential. However, disclosure of otherwise confidential information may be made where necessary to protect the health, safety or well-being of the complainant or others in the HMS/HSDM community, to comply with legal obligations of the University, or where, in the judgment of the Dean, certain disclosure would be in the best interest of the parties or the University.

C. All individuals and panels charged with responsibilities under these procedures are encouraged to take advantage of technical, administrative, legal, medical and other resources available at the University. Specifically, counsel for the University may be consulted and involved in all stages of these procedures to provide advice and support to responsible individuals or panels, but not to serve as advocates or counsel for either the complainant or respondent.

D. These are academic, not legal procedures. Any evidence that a fact-finder or panel deems relevant and trustworthy may be considered. Formal rules of evidence do not apply. Although complainants and respondents may seek legal advice, it is not expected that attorneys will represent individuals in appearances before individuals or panels charged with responsibility under these procedures.

E. A person subject to a complaint under these procedures may object for good cause, such as evidence of conflict of interest or bias, to the service of any person as a fact-finder or panel member. Such objection must be in writing, must fully state the reasons for the objection, and must be received by the Chair of the Standing Committee on Rights and Responsibilities (SCRR) within three days after the person is notified of the identity of a fact-finder or the membership of a panel. The Chair of the SCRR may, if warranted, remove and replace a fact-finder or panel member.

F. The Ombudsperson will inform and consult with officers of affiliated institutions, other faculties, and relevant external agencies to meet the legal and good faith obligations of the Faculty.

G. The term "days" as used herein means business days.

H. Upon prior notice to the parties, these procedures may be modified in order to reach a full and fair resolution of the complaint.

I. The composition and function of the SCRR is described in the Harvard Medical School Policy and Procedures on Student Rights and Responsibilities.

III. RESOURCES FOR COUNSELLING, ADVICE, AND INFORMAL RESOLUTION

In many instances, counselling, advice, informal discussion or mediation may be useful in resolving perceived instances of discrimination, harassment, unprofessional relationships and abuse of authority, or other conflicts between members of the HMS/HSDM community. A variety of resources are available for these purposes.

A. Officers of the Medical School and the School of Dental Medicine

Concerns, problems, questions, and complaints may be discussed with anyone in a supervisory position within the HMS/HSDM community including a faculty member, instructor, tutor, lab director, residency training director, Society Master, division chief, department head, or dean. The assistance provided may include counselling, coaching, or direction to other HMS/HSDM resources or processes.

B. Office of the Ombudsperson

A professionally trained Ombudsperson is available through the Medical School to assist in the informal and formal resolution of concerns or complaints of discrimination, harassment, unprofessional relationships and abuse of authority, or other conflicts between members of the HMS/HSDM community. The role of the Ombudsperson is to provide assistance in a neutral capacity and not to act as an advocate for any individual or point of view.

1. Informal Resolution

   The Ombudsperson may be particularly helpful in advising, coaching, mediating, and otherwise facilitating an informal resolution of a concern or complaint. The Ombudsperson is also equipped to provide advice and access to other HMS/HSDM resources or to formal complaint procedures.

2. Confidentiality

   Information disclosed to the Ombudsperson in the informal process will ordinarily be held in confidence unless and until the reporting individual agrees that another party or parties may be informed to facilitate a resolution. In cases where the information received by the Ombudsperson indicates a violation of law or a risk to the health, safety, or well-being of the reporting individual or others, the Ombudsperson may disclose relevant information to others on a need to know basis.

3. Communications

   The Ombudsperson will apprise the reporting individual of progress made towards an informal resolution of his/her concern or complaint. If the complaint cannot be resolved by informal means, the Ombudsperson will provide advice about the availability of formal procedures.

4. Outreach and Education

   The Ombudsperson, in consultation with other responsible HMS and HSDM officers, will provide a program of education on issues of discrimination, harassment, diversity and like subjects to members of the HMS/HSDM community. The Ombudsperson will prepare and disseminate appropriate educational materials. The Ombudsperson will convene the SCRR once each academic year and will provide members with relevant training. The Ombudsperson will act as a liaison with affiliated institutions on the development and implementation of policies and procedures relating to discrimination, harassment, and abuse of authority and unprofessional relationships, and will serve as a liaison between such institutions in the handling of any particular matter. The Ombudsperson will prepare an annual report on the number, nature, and disposition of complaints coming to his/her attention. The Ombudsperson will serve as a resource for the Deans of the Faculties of Medicine and Dental Medicine and other responsible HMS or HSDM administrators on issues relating to discrimination, harassment, abuse of authority and unprofessional relationships and related matters. The Ombudsperson will serve as a liaison between HMS and HSDM and other Harvard faculties with respect to the work of the Office and matters of mutual concern.

IV. FORMAL COMPLAINT PROCEDURES

The formal procedures described below are available to resolve complaints of discrimination, harassment, and abuse of authority/unprofessional relationships involving members of the HSDM/HMS faculty. Formal complaints involving other members of the HMS/HSDM community are addressed by other established procedures. The Ombudsperson is equipped to advise a complainant as to what avenues of redress may be available.

A. Jurisdiction

1. Complaints Against Individuals at Affiliated Institutions

   (a) If the individual against whom a complaint is lodged has no HMS or HSDM affiliation, these procedures will not apply. While the Ombudsperson may be informed about the case and may provide advice and assistance, any formal proceedings will be within the jurisdiction of the affiliated institution

   (b) If the individual against whom a complaint is lodged has an HMS or HSDM affiliation, he/she is subject to these procedures in addition to any procedures of the affiliated institution that may be applicable. The Ombudsperson will be in communication with and will seek the cooperation of responsible officials of the affiliated institution to initiate joint, and to avoid duplicative, proceedings where possible.

2. Complaints Against Individuals with an HMS or HSDM affiliation.

   (a) If the individual against whom a complaint is lodged is an HMS or HSDM faculty member, the Ombudsperson will consult with the HMS Dean for Faculty Affairs and/or the Chair of the HMS Committee on Faculty Conduct. Ordinarily, such a complaint will be handled under these procedures; provided however, that complaints of discrimination in HMS or HSDM appointments or promotions will ordinarily be handled by the Committee on Consultation and Appeals.

   (b) If the individual against whom a complaint is lodged is an HMS or HSDM student, the Ombudsperson will consult with the Screening Committee established under the Procedures for Consideration of Unprofessional Conduct and, in the case of an HSDM student, with the HSDM Associate Dean for Curriculum and Student Affairs. Ordinarily, such a complaint will be handled under the Procedures for Consideration of Unprofessional Conduct.

   (c) If the individual against whom a complaint is lodged is an HMS or HSDM non-exempt staff member represented by the Harvard Union of Clerical and Technical Workers (HUCTW), the Ombudsperson will consult with the HMS Office of Human Resources. Ordinarily, such a complaint will be handled under the procedures of the HUCTW Personnel Manual.

   (d) If the individual against whom a complaint is lodged is an HMS or HSDM exempt staff member, the Ombudsperson will consult with the HMS Office of Human Resources. Ordinarily, such a complaint will be handled under the procedures of the Harvard University Personnel Manual.

   (e) Where there is uncertainty or dispute as to which committee or procedure has jurisdiction over a complaint, the matter will be referred to the Dean of the Faculty of Medicine and/or the Dean of the Faculty of Dental Medicine for consultation and decision.

   (f) Where these procedures and those of another institution or another HMS or HSDM committee are involved, the Ombudsperson will be responsible for ensuring that all lines of communications are in place and that all processes are appropriately coordinated.

B. Formal Complaint Procedure

1. Initiation and Screening of a Formal Complaint

   (a) A formal complaint is initiated when a full written and signed statement of the complaint is submitted to the Ombudsperson. Prompt submission of complaints is encouraged. The Ombudsperson will discuss the matter with the complainant and will describe the review process. Such complaints and any related information will be held in confidence to the degree reasonably practicable under the circumstances;

   (b) The Ombudsperson will promptly undertake a review of the complaint and, in consultation with the Chair of the SCRR, may dismiss it without further process or review if the complaint on its face is frivolous, insubstantial, not credible, clearly without merit, or outside the scope of these procedures.

   (c) If the complaint is not dismissed, the statement of complaint will be provided to the respondent and he/she will be required to respond in writing to the Ombudsperson within ten days. This response will be provided to the complainant for comment. Any such comments will be in writing directed to the Ombudsperson and will be received within ten days.

2. Fact-Finding

   (a) The Ombudsperson, or his/her designee, will meet with the complainant and respondent and may interview other individuals with relevant knowledge, review any documentary evidence, and take any other action deemed necessary to establish the facts of the matter. The Ombudsperson is permitted and encouraged to take advantage of University technical, administrative, legal, and medical resources in his/her investigation.

   (b) The Ombudsperson, or his/her designee, will prepare a written report stating the relevant facts and identifying any disputed facts. The fact-finding report will be provided to both the complainant and respondent for comment and any comments must be received by the Ombudsperson within ten days after receipt of the report for comment.

   (c) The Ombudsperson will seek to resolve the complaint at this stage. If the complaint is not satisfactorily resolved, a grievance panel will be convened.

3. Grievance Panels

   (a) When a formal complaint cannot be resolved by the Ombudsperson after fact-finding and discussion, a three member grievance panel will be selected by the SCRR Chair and Ombudsperson from the members of the SCRR. In any case where additional or special expertise would be useful, the Chair of the SCRR, in consultation with the HMS or HSDM Dean, as appropriate, may designate members of the senior faculty of the University, other than those serving on the SCRR, to membership on a grievance panel.

   (b) The grievance panel will consider the fact-finding report of the Ombudsperson or his/her designee, and the written submissions of the complainant and respondent, and will meet with each of them. The grievance panel may interview other individuals with relevant knowledge, review documentary evidence, and take any other action to adduce and consider relevant information. The grievance panel may dismiss the complaint at this point if it determines the complaint to be frivolous, not credible, insubstantial or without merit.

   (c) The grievance panel will prepare a written report of its findings, conclusions, and recommendations and will provide its report to the complainant and respondent for review and comment. Any comments must be in writing and submitted to the Ombudsperson within ten days of receipt of the report of the grievance panel. If not appealed, the decision of the grievance panel is the final resolution of the complaint.

4. Appeals Panels

   (a) Either the complainant or the respondent may appeal the decision of the grievance panel. Any appeal must be in writing and must state in detail the reasons upon which the appeal is based. The appeal must be submitted to the Ombudsperson within seven days of the decision of the grievance panel. The non-appealing party will be provided with a copy of the appeal and may respond to it in writing within seven days.

   (b) A three member appeals panel will be appointed by the Dean of the Faculty of Medicine, in consultation with the Dean of the Faculty of Dental Medicine when the parties are affiliated with the HSDM. The appeals panel will be drawn from previously uninvolved members of the SCRR. In any case where additional or special expertise would be useful, or for other good cause, the Chair of the SCRR, in consultation with the HMS or HSDM Dean, as appropriate, may designate members of the senior faculty of the University, other than those serving on the SCRR, to membership on an appeals panel.

   (c) The appeals panel will review the report of the grievance panel, any underlying documents, the appeal, and the response of the non-appealing party. The appeals panel may undertake any other action it deems necessary to inform its decision. The appeals panel will prepare a written report, including conclusions and recommendations for resolution, that will be provided to the complainant, the respondent and to the HMS Dean or HSDM Dean, as appropriate. If no review is requested, the decision of the appeals panel is the final resolution of the complaint.

   (d) Either party may request that the HMS or HSDM Dean, as appropriate, review the matter. Any such request for review must be in writing and received by the Office of the Dean within seven days of the decision of the appeals panel. The Dean will review the matter, in consultation with others as he sees fit. The decision of the Dean will on the matter will be final and binding.

C. Penalties and Corrective Action

Penalties and corrective actions may be imposed for violation of the policies on discrimination, harassment, and unprofessional relationships and abuse of authority. These will vary depending on the nature of the case. Penalties and corrective actions may include, but are not limited to, counselling, warning, reprimand, suspension, probation, monitoring, community service, and separation from the School. The responsible Office of the Dean is responsible for ensuring that all penalties and corrective actions are implemented. The Ombudsperson will monitor implementation, in consultation with others as appropriate.

Last updated: August 2004