Policy on Harassment, Discrimination, and Sexual Misconduct

Policy on Harassment, Discrimination, and Sexual Misconduct1

1sexual misconduct includes sexual harassment, sexual assault, domestic violence, dating violence, and stalking

Policy effective: 1 July 2015

Table of Contents

Policy

  1. Introduction
  2. Policy Basis and Application
  3. Harassment and Discrimination
  4. Sexual Misconduct and Definitions
  5. Consent
  6. Consensual Relations
  7. Important Principles: Confidentiality; Institutional Obligation to Respond; Leniency for Other Policy Violations; and Non-Retaliation
  8. Prevention and Education Programs
  9. Informal Resolution of Complaints That Do Not Involve Sexual Assault
  10. Formal Resolution of Complaints

Policy Appendices

  1. Support Services and Resources for Those Who Have Experienced Sexual Misconduct
  2. Yearly Report on Harassment and Sexual Misconduct to the Council of the University Senate
  3. Compliance and Locating This Policy
  4. 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. 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 offensive, intimidating or hostile does not make that behavior harassment. The behavior must be objectively unreasonable. Expression occurring in an academic, educational or research context is considered as 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 anoyone 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 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 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" 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 accused 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 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.

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 accused threatens to use force or violence on the victim or on any other person, and the victim under the circumstances reasonably believes that the accused has the ability to execute that threat or (2) when the accused 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 such as social media 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 and/or adjustments to living, transportation, dining, and working arrangements.

“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 report sexual misconduct to the department chair or supervisor, dean, or Affirmative Action Officer.

“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, the Associate Dean of Students in the University for Disciplinary Affairs, or the Affirmative Action Officer 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
  • When 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 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 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 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 asleep or otherwise mentally or physically incapacitated, whether due to alcohol, drugs, or some other condition. 

  • 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. Initiation of sexual activity with someone whom a reasonable person knows or should have known to be deemed incapacitated is not consent.
  • 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.  It exists when a person lacks the ability to make or act on a considered decision to engage in sexual activity. 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.
  • 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.

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 doe not constitute consent to another sexual act.
  • Consent cannot be inferred from a person's manner or 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 or resistance alone or in combination does not constitute consent.
  • Incapacitation by the person inititating 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, or supervisor 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 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 Office of the Provost.  All complaints and concerns will be treated as confidentially as is feasible and will be addressed by the chair, dean, or the Office of the Provost.  Retaliation against anybody who makes a complaint or raises a concern about a possible policy violation is prohibited.

VII. IMPORTANT PRINCIPLES

Confidentiality

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.

Institutional Obligation to Respond

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 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.

Leniency for Other Policy Violations

To encourage reports of sexual misconduct, the University normally will offer leniency with respect to other violations by the complainant that come to light as a result of such reports.  For example, the University ordinarily will not pursue disciplinary charges related to underage drinking if that policy violation comes to light as the result of a sexual assault complaint.

Non-Retaliation

The University prohibits retaliation against any person who exercises any rights or responsibilities under this policy.

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 Common Sense.

IX. INFORMAL RESOLUTION OF COMPLAINTS THAT DO NOT INVOLVE SEXUAL ASSAULT

The University's procedures for handling incidents depend on the nature of the incident, the relationship of the accused to the institution, and, to the extent possible, the wishes of the person bringing forward the complaint. Under Title IX, the University has an obligation to investigate all allegations of sexual misconduct, including sexual assault, sexual harassment, domestic violence, dating violence, stalking, rape, and acquaintance rape about which a “responsible employee” knows or should have known. Any University employee who would reasonably be expected to have the authority or duty to report or take action to redress sexual misconduct is a “responsible employee.” All members of the faculty and many other academic appointees and staff are “responsible employees” and, as such, are obligated to report sexual misconduct to the department chair or supervisor, dean, or Affirmative Action Officer.

Harassment complaints without a sexual misconduct dimension may be resolved informally via advising and mediation. It is important to note that the procedures do not preempt other formal or informal channels available within the University.

People who believe that their educational or work experience may be compromised by harassment or discrimination should feel free to discuss the problem with a department chair, dean, or supervisor and, if desired, to request that department chair, dean, or supervisor to speak informally to the accused. If this does not resolve the matter, or if the complainant prefers, the complainant may make use of the following avenues for resolution. No one at the University may reprimand, discriminate, or retaliate against an individual for having initiated an inquiry or complaint in good faith

Advising

An individual who feels he or she has been unlawfully harassed in an incident without a sexual misconduct dimension may bring the matter to a Complaint Advisor, whose role is to discuss with the complainant available options on how to proceed. (A list of current Advisors also appears in the University Directory.) 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 accused 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 the individual who seeks the assistance of an Advisor. If the Advisor learns of allegations that are so serious they obligate the University to act, then, upon the recommendation of the Coordinating Officer (defined below) or Provost, 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).

Complaint Advisors are academic and staff employees drawn from a variety of different areas throughout the University, selected and supervised by the Coordinating Officer (a position filled by a member of the Provost’s Office) for a two –year term. The number of Advisors is sufficiently large that individuals from all areas in the University are able to have access to the Advisors. Advisors are required to participate in a training program concerning issues involved in dealing with harassment, discrimination, and sexual misconduct cases.

Mediation

When a complaint is brought to a Complaint Advisor, the complainant may ask for a mediated meeting with the accused. The goal of the mediation procedure is to provide a forum where the complainant and the accused 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 accused are willing to participate. The Complaint Advisor may serve as mediator or suggest a third party such as the Coordinating Officer or a faculty member of the Harassment Panel to act as mediator. Mediation will not be used to resolve complaints of alleged sexual assault, which require more formal investigation.

X. FORMAL INVESTIGATION AND RESOLUTION OF COMPLAINTS

Formal Investigation for Complaints That Do Not Involve Sexual Misconduct

Any person who wishes to discuss a possible complaint of harassment that does not involve sexual misconduct may use the informal advising and mediation avenues described above. But either the complainant or the respondent may at any time ask that the matter be handled formally rather than informally. The appropriate procedure for a formal complaint depends on who is being accused of harassment.

Student

If the person accused of harassment without a sexual misconduct component is a student, a formal complaint should 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.

Staff Member

If the person accused of harassment without a sexual misconduct component is a staff employee, Human Resources will investigate. Both parties must be informed of the investigation.

Academic Appointee or Postdoctoral Researcher

If the person accused of harassment without a sexual misconduct component is a faculty member, other academic appointee, or postdoctoral researcher, the same formal complaint procedures described below apply.

Formal Investigation for Complaints of Sexual Misconduct

The appropriate University disciplinary avenue is determined by the status of the person accused of sexual assault, domestic violence, dating 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. Unlike the State of Illinois, the University does not impose a time limit (i.e., a statute of limitations) after which it will not consider formal complaints of sexual assault, domestic violence, dating violence, or stalking. Though this is the case, timely filing typically allows access to the most useful and relevant recent recollections and evidence and facilitates more prompt resolution.

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. University officials participating in disciplinary proceedings involving sexual assault, domestic violence, dating violence, and stalking receive, at a minimum, annual training on issues related to these offenses, as well as training on how to conduct an investigation and hearing. In most cases, the University’s investigation will be completed within 60 days of 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.

The complainant’s and/or respondent’s sexual history with others will generally not be sought or used in determining whether sexual misconduct 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 disciplinary proceedings. The complainant and respondent are simultaneously informed, in writing, of the result of the proceedings, the procedures for seeking review of the result, 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.

Sanctions for a student found responsible for sexual assault, domestic or dating violence, or stalking include but are not limited to warning, probation, loss of privileges, discretionary assignments such as community service or academic work, restitution or fines, removal from the University House System, restrictions regarding access to University property or University events, discharge from student employment, probation, suspension, and expulsion. After a University degree is awarded, if a Dean of Students is informed of misconduct that occurred before the degree was awarded, disciplinary proceedings may be initiated. If the University-wide Disciplinary Committee is convened, the Committee may recommend revocation of a degree. For employees, possible sanctions are suspension, demotion, salary decrease, diminution of responsibilities, termination of employment or appointment, disqualification from future employment, and prohibition from accessing University property.

Student

If the person accused of sexual misconduct is a student, a formal complaint should 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.

Staff Member

If the person accused of sexual misconduct is a staff employee, Human Resources will investigation. Both parties must be informed of the outcome of the investigation.

Academic Appointee or Postdoctoral Researcher

If the person accused of sexual misconduct is a faculty member, other academic appointee, or postdoctoral researcher and a formal procedure is requested, the Harassment Panel will move to comply as quickly as possible. The Panel consists of three 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 Coordinating Officer 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/.

It is the task of the Panel to determine the facts. At any time in its proceedings, the Panel may decide that the complaint should be rejected as clearly unfounded. The Panel will be provided with written statements from the complainant and the accused and, if necessary, will interview persons with knowledge bearing on the matter, including the complainant and the accused. The proceedings will be kept confidential.

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 informed of the determination. When a policy violation is found, a report of that complaint, including the Provost's action, is placed in the accused's official file in the Office of the Provost.

Anonymous Reporting

If a complainant discloses an incident or incidents of sexual misconduct to the University but asks to remain anonymous during the investigation, the investigator will consider how to proceed, taking into account the complainant’s wishes, the University’s commitment to providing a 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 him or her. In such circumstances, the investigator may arrange for limited fact-finding in order to better understand the context of the complaint and explore viable options for investigation, adjudication, and remediation.

Time Limits

There is no time limit for filing a complaint of sexual misconduct.  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 protective measures and accommodations for academic, living, transportation, and working situations 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 protective measures may be obtained from the cognizant Dean of Students, the Dean of Students in the University, the Title IX Coordinator for Students, or the Sexual Assault Dean on Call (students), Human Resources Employee/Labor Relations (staff), and the Provost’s Office (faculty, other academic appointees, and postdoctoral researchers). 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. 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

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

The Mitchell Emergency Room 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 victime 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.

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 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 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.

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/

The University of Chicago Coordinating Officer: 773-702-0287, i-gould@uchicago.edu

The Coordinating Officer for the Harassment, Discrimination, and Sexual Misconduct Policy is the Associate Provost and Interim Affirmative Action Officer and Equal Opportunity Coordinator. Questions about this policy or concerns regarding harassment, discrimination, or sexual misconduct may be directed to Ingrid Gould, 5801 S. Ellis Ave., Levi Hall 510.

Title IX Coordinator for the University: 773-834-9710, belinda@uchicago.edu

To raise concerns or file a Title IX complaint under our Harassment, Discrimination, and Sexual Misconduct Policy or Title IX, contact Belinda Cortez Vazquez, Associate Dean of Students in the University for Student Affairs, Levi Hall 212.

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: 773-702-7776, gmoorehead@uchicago.edu

To raise concerns or to file a 504 or ADA complaint under our Harassment, Discrimination, and Sexual Misconduct Policy, 504, or ADA, contact Greg Moorehead, Director of Student Disability Services, 5501 S. Ellis Ave.

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 an unlawful harassment Complaint Advisor

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

Student Health Service: 773-702-4156, 5839 South Maryland Ave., 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 healthcare.uchicago.edu.

Student Health Service nurse triage line: 773-702-1915

Student Counseling Service: 773-702-9800, 5737 S. University Ave. (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/.

Dean of Students: 773-702-7770, 5801 S. Ellis Ave. (Campus and Student Life)

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 assistance with changing academic, living, transportation, and working situations if requested and available. http://csl.uchicago.edu/get-help/dean-call-program/area-dean-students.

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 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 Educator: 773-702-8935

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

College Programming Office: 773-702-8616

CPO presents an annual program called Sex Signals for incoming undergraduate students on issues of alcohol, dating, sex, and consent. http://cpo.uchicago.edu/.

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

Human Resources Employee/Labor Relations (for staff):                                                                                773-702-4411

Provost's Office (for faculty, OAA and PDR for concerns relating to sexual misconduct):                                                            773-702-8846

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 assault, domestic violence, dating violence, and stalking. http://www.perspectivesltd.com/

Non-University Resources for Everyone

Chicago Rape Crisis Hotline                                                             (24hours)                                                     

Immediate and long-term referrals, information, and counseling 888-293-2080

LGBTQ Crisis Hotline (24hours)                                                                    

Information, counseling, and referrals                                      773-871-2273

Chicago Women's Health Center                                                                         

Gynecological care and counseling                                           773-935-6126

YWCA Metropolitan Chicago                                                                 

Counseling and legal advocacy                                                 312-372-6600

Parks Francis YWCA                                                                             

Counseling and legal advocacy                                                 773-955-3100

Center on Halsted                                                                                             

Services for the LGBTQ community                                          773-472-6469

Rape Victim Advocates                                                                                   

Counseling                                                                             312-443-9603

Mayor's Office for Domestic Violence (24 hours)                                   

Information and referrals                                                        877-863-6338

Chicago Bar Association                                                                                

Lawyer                                                                                  312-554-2000

II. YEARLY REPORT ON UNLAWFUL 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 Harassment Panel 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 Coordinating Officer and reviewed and approved by the Harassment Panel, 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 Common Sense.

Access to Information on Harassment, Discrimination, and Sexual Misconduct

The University's policy on 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), and at http://harassmentpolicy.uchicago.edu/policy

IV. RELATED POLICIES

Counseling Service-Staff and Faculty Assistance Program (Personnel Policy U 402)

http://hrservices.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

http://facultyhandbook.uchicago.edu/page/termination-removal-cause

Nepotism Policy for Faculty and Other Academic Appointees

https://facultyhandbook.uchicago.edu/page/nepotism-policy-faculty-and-other-academic-appointees#

Nepotism Policy for Staff

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

Progressive Corrective Action (Personnel Policy U703)

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

Termination of Employment Information (Personnel Policy U208)

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

Treatment of Confidential Information (Personnel Policy U601) http://hrservices.uchicago.edu/fpg/policies/600/p601.shtml

 

Revision Committee Members

Jessica Kandel, Mary Campau Ryerson Professor of Surgery, Section Chief of Pediatric Surgery, and Committee Chair

Kerwin Charles, Deputy Dean of the Harris School and Edwin and Betty L. Bergman Distinguished Service Professor

Wendy Doniger, Mircea Eliade Distinguished Service Professor in the Divinity School and the College

David Huang, student in the College

Jason Merchant, Deputy Dean for Languages and Instruction, Chair of Slavic Languages and Literatures, and Professor of Linguistics and the College

Jake Rubenstein, Director of Employee and Labor Relations

Kristen Schilt, Associate Professor of Sociology and the College

Katharine Sidelnik, graduate student in the School of Social Service Administration

Belinda Cortez Vazquez, Associate Dean of Students in the University

 

 

Policy effective: 1 July 2015

(Replaces Policy on Unlawful Discrimination and Sexual Misconduct, which became effective 1 July 2014.)