It is the policy of The University of Texas Health Science Center at Houston (“the university”) to provide an educational and working environment that provides equal opportunity to all members of the university community. The university explicitly prohibits Discrimination and/or Harassment by any member of the university community on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability or veteran status.
To help achieve an environment free from prohibited Discrimination and Harassment, the university offers any individual who believes that he or she has been subjected to Discrimination or Harassment an informal resolution process and/or a formal complaint process to address his or her concerns. These two processes are described in detail within this policy.
Individuals who engage in Discrimination and/or Harassment in violation of this policy are subject to disciplinary action deemed appropriate by the university, including but not limited to written reprimands, imposition of conditions, suspension and dismissal.
For questions concerning this policy, contact the Human Resources – Equal Opportunity department.
This policy applies to the conduct of all members of the university community including departmental administrators, faculty, staff, students, residents, fellows and other trainees, volunteers, vendors, consultants, observers and visitors as well as to applicants for employment or admission.
This policy is the university's primary policy relating to complaints of Discrimination on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability or veteran status.
Complaints concerning accommodations based on disability will be addressed through HOOP Policy 2.18C Disability Accommodation for employees and through HOOP Policy 6.02 Grievances-Disability for students.
Complaints concerning wages; hours of work; working conditions; performance evaluations; merit raises; job assignments; reprimands; or the interpretation or application of a rule, regulation or policy that do not contain allegations of Discrimination will be addressed through HOOP Policy 2.50 Grievance.
Individuals can also file third-party complaints if Discrimination and/or Harassment are perceived to adversely affect the work environment.
The university has charged the Human Resources-Equal Opportunity (HR-EO) department with primary responsibility for:
Any member of the university community who gains knowledge of an act of Discrimination and/or Harassment should report the incident immediately to the Equal Opportunity Advisor (“EO Advisor”).
Individuals who are in a supervisory or managerial role are responsible for implementing this policy and for immediately responding appropriately to requests for informal resolution or complaints of Discrimination or Harassment brought to their attention. In most cases, the supervisor should contact the EO Advisor whenever a complaint of Discrimination or Harassment is made; however, in some cases, the supervisor or manager and the complaining employee may be able to immediately resolve the situation. Supervisors and managers must notify the EO Advisor of the resolution of any requests for informal resolution or complaints resolved at the supervisory or managerial level.
Individuals who believe Discrimination and/or Harassment has occurred should file a request for informal resolution or a formal complaint within 30 calendar days of the occurrence of the alleged Discriminatory or Harassment act; however, allegations of continuing Discrimination and/or Harassment will be fully investigated at any time. In the case of a currently enrolled student, if the last day for filing a complaint falls prior to the end of the academic semester in which the alleged violation occurred, then the complaint may be filed within 10 calendar days after the end of that semester.
In this, as in all such policies, the university expects all those who become involved in Discrimination or Harassment requests for informal resolution or complaints to uphold the highest standards of fairness, impartiality and privacy of any individuals involved.
University faculty, staff and students who retaliate in any way against an individual who has brought a request for an informal resolution or a complaint pursuant to this policy or against an individual who has participated in an investigation of a complaint are subject to disciplinary action. Refer to HOOP Policy 2.17.1 Protection from Retaliation.
A. Discrimination
Discrimination, including Harassment, is defined as conduct directed at a specific individual or a group of identifiable individuals that subjects the individual or group to treatment that adversely affects their employment or education on account of race, color, religion, sex, sexual orientation, national origin, age, disability or veteran status.
B. Harassment
Harassment, as a form of Discrimination, is defined as verbal or physical conduct directed at an individual or group because of race, color, religion, sex, sexual orientation, national origin, age, disability or veteran status when such conduct is sufficiently severe, pervasive or persistent so as to have the purpose or effect of interfering with an individual’s or group’s academic or work performance; or of creating a hostile academic or work environment. Constitutionally protected expression cannot be considered Harassment under this policy.
C. Sexual Harassment
Sexual Harassment is a form of sex Discrimination and includes unwelcome sexual advances, requests for sexual favors, verbal or physical conduct of a sexual nature when:
D. Disabled Person
A disabled person is defined as any person who has a physical or mental impairment that substantially limits one or more major life activities, has a record of such impairment, or is regarded as having such impairment.
E. Qualified Individual with a Disability
A qualified individual with a disability is defined as one who possesses the requisite skills, education, experience and training for a position and who can, with or without reasonable accommodation, perform the essential functions of the position the individual holds or desires to hold, and is capable of performing a particular job with reasonable accommodation for the disability.
A person who believes he or she has been subjected to Discrimination or Harassment in violation of this policy and seeks to take action should report their concerns to the academic or administrative authority responsible for that school or unit or HR-EO. While informal complaints may be filed and resolved within the school or unit, formal complaints must be filed with the EO Advisor for resolution.
Depending upon the nature of the concern and any discussions with the supervisor, manager or EO Advisor, the individual should determine whether to file a request for informal resolution or a formal complaint (see III and IV below).
A person who believes that he/she has been subjected to Discrimination or Harassment in violation of this policy and seeks to take action may consult with his/her supervisor, manager or EO Advisor. During the consultation, the individual's concerns will be discussed and the available options and processes will be described and reviewed. If it is determined as a result of the initial consultation, the subject matter is not relevant to this policy, the person will be referred to the appropriate area. If it is determined the subject matter relates to this policy, the individual should select a resolution option. The selected option (informal or formal complaint) will be verified by the complainant's signature. Selection of an option at this time does not preclude the individual from electing another option at a later time, where appropriate, as determined in consultation with the EO Advisor.
If, during the initial consultation, it is determined immediate action may be necessary to protect the rights or interests of the individual, respondent or the university community, the EO Advisor will conduct a preliminary inquiry to verify the need for immediate action and may advise the Office of Legal Affairs and Institutional Compliance of the situation. Upon consultation with appropriate university officials, immediate action may be taken which may include temporary changes in duties and responsibilities, directives to the complainant and respondent regarding personal contact, warnings to the respondent and, in severe cases, the immediate paid suspension of the respondent pending the completion of a formal investigation.
Informal resolution may be appropriate when the conduct complained of is not of a serious or repetitive nature and disciplinary action is not required to remedy the situation that is the subject of the request for informal resolution. A formal investigation will not be conducted in the informal resolution process.
Exceptions
Some concerns may not be appropriately handled as informal resolutions. Situations such as concerns that involve Discrimination against a group or class of individuals reflect a pattern and practice of Discrimination, involve criminal violations, or where there is a significant imbalance of power or authority between the parties, may be appropriately dealt with as a formal complaint. The EO Advisor will make such determinations. (Note: This is not an exhaustive listing.)
Upon receipt of a request for informal resolution, a supervisor, manager, departmental administrator or EO Advisor should suggest:
The EO Advisor is available for consultation with the department administrator who receives a request for informal resolution.
Once the informal resolution has been implemented to the satisfaction of the individual concerned, the departmental administrator must alert the EO Advisor and provide the individual's request for informal resolution, a statement of action(s) taken in response to the request and copies of relevant documents to the EO Advisor within 30 calendar days of the receipt of the request for informal resolution. Only the EO Advisor can grant additional time to file documents related to the request for informal resolution when unusual circumstances require more time. The department is expected to provide a resolution to the complaint within 10 working days. If the complaint was filed with the department, all documentation of the agreed upon implemented resolution is to be provided to the EO Advisor within 10 working days from the initial date of the complaint or immediately upon request from the EO Advisor. If the complaint has not been resolved to the satisfaction of the complainant within 10 working days, the complainant may contact the EO Advisor to file a formal complaint or discuss other options.
If a request for informal resolution is filed with HR-EO, the EO Advisor will notify the departmental administrator of the request and its resolution, if appropriate, and will document the informal resolution as described above.
The EO Advisor will retain documentation of informal resolutions and the university will endeavor to maintain confidentiality to the extent permitted by law. Where the individual’s desire to maintain anonymity constrains attempts at establishing facts and eliminating potential Discrimination and Harassment, the university will attempt to find the right balance between the individual’s desire for privacy and confidentiality with the responsibility of the university to provide an environment free of Discrimination and Harassment.
If a formal Discrimination or Harassment complaint is initially filed, or if a complainant chooses to change a request for informal resolution to a formal complaint, the complainant must file a full signed account of the alleged incident(s) with HR-EO including the dates on which the alleged incident(s) occurred. In order to initiate the investigation process, the complaint document should include a signed, written statement setting out the details of the conduct that is the subject of the complaint, including:
HR-EO will provide assistance to anyone for whom completion of the complaint form is difficult or impractical.
When a formal complaint is received, the EO Advisor may inform appropriate administrators of the university about the complaint and its resolution. When the respondent is a student, resident or other trainee, the EO Advisor will inform the dean of the appropriate school of the complaint.
If the EO Advisor determines a complaint will not be investigated because the facts alleged in the complaint, even if taken as true, do not constitute Discrimination or Harassment; the complaint fails to allege any facts which suggest Discrimination or Harassment occurred; or, the appropriate resolution or remedy has already been achieved, or been offered and rejected; the EO Advisor will send the complainant a letter explaining the reason for the dismissal and inform the complainant that, within 10 working days of the notification, she/he may appeal the decision not to proceed with a complaint investigation to the Executive Vice President, Chief Operating and Financial Officer. The written appeal must explain why the decision to dismiss the complaint was in error. The Executive Vice President, Chief Operating and Financial Officer will respond within 20 working days of receipt of the appeal. The Executive Vice President, Chief Operating and Financial Officer's decision is final. If the decision to dismiss is overturned, the complaint is sent back to HR-EO for investigation in accordance with the procedures outlined in this section.
The EO Advisor will notify the respondent in writing within 5 working days of the receipt of the complainant's written complaint and ask that individual to provide a written, signed response to the accusation within 5 working days. HR-EO must also identify the pertinent policies, procedures, statutes and regulations involved, and explain the investigative process and the rights and responsibilities of all the parties to the respondent. After receipt of the complaint and response at the request of either the respondent or the complainant, the dispute may be mediated between the two to seek resolution of the perceived problem. If the two parties cannot agree to a solution, or if one of the parties does not wish to participate in mediation of the Discrimination and/or Harassment complaint, HR-EO will conduct a full investigation.
The complainant and the accused may present any documentation or information that is believed to be relevant to the complaint. Any person(s) thought to have information relevant to the complaint will be interviewed and such interviews will be appropriately documented.
If, during the investigation, the complainant indicates a desire to withdraw the complaint, the case will be closed. However, in cases where the investigation discloses sufficient evidence to establish a violation of university policy and/or state or federal law, HR-EO must take action to address those violations regardless of the complainant's wishes.
The investigation of a complaint will be concluded as soon as possible after receipt of the written complaint. In investigations exceeding 60 days, a justification for the delay will be presented to and reviewed by the Executive Vice President, Chief Operating and Financial Officer. The complainant, respondent and appropriate supervisor will be provided an update on the progress of the investigation after the review.
Upon completion of the investigation, the EO Advisor will issue a report to the appropriate administrative authority in which the accused is organizationally located (the immediate supervisor for classified and administrative and professional (A&P) employees and faculty; the dean of the appropriate school for students; and the Associate Dean for Graduate Medical Education for residents). The report shall include:
Upon receipt of the investigation report, the appropriate administrative authority will provide the complainant and the respondent with a copy of the report. The complainant and the respondent will have 5 working days from receipt of the report to submit comments regarding the report to the administrative authority. However, if a complaint is filed against a student, the complainant and respondent may not receive or comment on the report due to the Family Education Rights and Privacy Act's restrictions on disclosure of educational records.
In the event a Discrimination or Harassment allegation rises to the level of a formal complaint, the EO Advisor will notify the dean of the school or the head of the operating unit immediately of the complaint and will keep the dean or unit head informed throughout the process.
A decision that this policy was violated will be made upon record provided by the EO Advisor and any comments submitted by the complainant or respondent; and will be based on the totality of circumstances surrounding the conduct complained of, including but not limited to: the context of that conduct, its severity, frequency, whether it was physically threatening, humiliating or was simply offensive in nature. Facts will be considered on the basis of what is reasonable to persons of ordinary sensitivity and not on the particular sensitivity or reaction of an individual.
When charges of Discrimination, Harassment, and/or retaliation are substantiated, the appropriate departmental administrator, in consultation with the EO Advisor, will render a determination regarding the appropriate disciplinary and/or corrective action. HR-EO input will be limited to issues presented in the case and specific questions regarding compliance with federal and state mandates. Questions regarding disciplinary action will involve consideration of the procedural requirements and statutory mandates. The appropriate departmental administrator is responsible for the implementation of all such disciplinary/corrective action measures.
At a minimum, the action taken must protect the complainant from future Discrimination, Harassment or retaliation, and resolve any procedural or statutory violations. Depending on the case, substantiated evidence of Discrimination, Harassment and/or retaliation on the part of a university employee can result in suspension or termination. Implementation of disciplinary action measures will adhere to university policies and procedures. Depending on the organizational status of the respondent, various actions and procedures may apply: for residents, as outlined in individual contracts; for faculty, in HOOP Policy 4.08 Termination for Good Cause; for A&P staff, in HOOP Policy 3.06 Termination of Employment; for classified staff, in HOOP Policy 5.13 Disciplinary Actions; and for students, in HOOP Policy 6.03 Conduct and Discipline.
HR-EO will inform the complainant regarding the outcome of the complaint. Following closure of a case, HR-EO may monitor the actions of the complainant and the respondent to ensure continued compliance.
Individuals entitled to a veteran’s employment preference under Texas law aggrieved of a decision of the university, related to hiring or to retention of the individual in a workforce reduction, must be filed with the President through the EO Advisor. The President will respond to the grievance within 15 business days of receipt.
Each employee shall receive training regarding the university’s Discrimination policies not later than the 30th day after the date the employee is hired and shall receive supplemental training every two years thereafter. All employees who attend training are required to sign a statement verifying the employee's receipt of the training. The statement shall be filed in the employee's personnel file.
The time limits set forth in this complaint procedure must be adhered to by both the complainant and the appropriate supervisory personnel or departmental administrator unless HR-EO determines need to modify the time limits. Where time limits are indicated in this policy, "day one" will be the next working day. The failure of a complainant to process the complaint in a timely manner will constitute a withdrawal of the complaint.
A request for an extension of time for a response may be made by the complainant, the respondent or the appropriate departmental administrator, by telephone, or in writing to the EO Advisor. The EO Advisor will make the decision regarding whether to grant an extension.
Documentation of each complaint of Discrimination or Harassment will be maintained by HR-EO. To the extent permitted by law, complaints and information received during the investigation will remain confidential.
Any member of the university community who in any way participates in proceedings regarding a complaint, response, investigation and/or disciplinary action may not disclose any information, and documents related thereto.
Any person who knowingly and intentionally files a false complaint under this policy or makes false statements in the course of the investigation is subject to disciplinary action up to and including dismissal from the university.
During the complaint process, a complainant or respondent may be assisted by a person of his or her choice; however, the assistant may not examine witnesses or otherwise actively participate in a meeting or interview.
For further clarification regarding procedures and responses in filing complaints of Discrimination, contact HR-EO.
This policy will be made available to all supervisors, employees and students at the university. Periodic notices sent to students, employees and supervisors about the university's HOOP Policy 2.18 Equal Employment Opportunity will include information about the informal resolutions and complaint procedure and will refer individuals to the designated office for additional information.
Updated 11/06, 11/07, 02/08