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- 1 - SEXUAL HARASSMENT POLICY Firm Statement of Philosophy ______________________________________ is proud of its tradition of a collegial work of the environment in which all the individuals are treated with respect and dignity. Each individual has the right to work in a professional atmosphere which promotes equal opportunities and prohibits discriminatory practices, including sexual harassment. At ________________________ sexual harassment, whether verbal, physical, or environmental, is unacceptable and will not be tolerated. (Managing Partner/General Counsel/CEO letter committing to the policy should be attached.) Definition of Sexual Harassment For purposes of this policy, sexual harassment is defined as unwelcome or unwanted advances, requests for sexual favors and any other verbal, visual, or physical conduct of a sexual nature when: (1) submission to or rejection of this conduct by an individual is used as a factor in decisions affecting hiring, evaluation, retention, promotion or other aspects of employment; or (2) this conduct substantially interferes with an individual's employment or creates an intimidating, hostile or offensive work environment. Examples of sexual harassment may include, but are not limited to: unwanted sexual advances; demands for sexual favors in exchange for favorable treatment or continued employment; threats and demands to submit to sexual requests in order to obtain or retain any employment benefit; verbal conduct such as epithets, derogatory or obscene comments, slurs or sexual invitations, sexual jokes, propositions, suggestive, insulting, obscene comments or gestures or other verbal abuse of a sexual nature; graphic, verbal commentary about an individual's body, sexual prowess or sexual deficiencies; flirtations, advances, leering, whistling, touching, pinching, assault, coerced sexual acts, blocking normal movements; visual conduct such as derogatory or sexual posters, photographs, cartoons, drawings or gestures or other displays in the work place of sexually suggestive objects or pictures; conduct or comments consistently targeted at only one gender, even if the content is not sexual; retaliation for having reported or threatened to report sexual harassment. This behavior is unacceptable in the workplace itself and in other work-related settings such as business trips, court appearances and business-related social events. In evaluating behavior, the standard to be applied is that of a reasonable victim of the same gender as the victim. DISSEMINATION OF POLICY This policy will be disseminated to all employees, and its existence will be displayed prominently at the place of employment. All supervisors are responsible for knowing of its existence and substance, and of their responsibility for its implementation. The - 2 - ____________________ will be available to answer all questions about the policy, or its implementation.Individuals Covered Under the Policy This policy covers all individuals in the workplace (including associates, paralegals, support staff, and partners). ______________________ will not tolerate, condone or allow sexual harassment, whether engaged in by fellow employees, supervisors, associates, partners or by outside clients, opposing counsel, court personnel or other non-employees who conduct business with this employer. The employer encourages reporting of all incidents of sexual harassment, regardless of who the offender may be, or of the offender's relationship to the firm. Reporting a Complaint While _______________________ encourages individuals who believe they are being harassed to firmly and promptly notify the offender that his or her behavior is unwelcome, the employer also recognizes that power and status disparities between an alleged harasser and a target may make such a confrontation impossible. In the event that such informal, direct communication between individuals is either ineffective or impossible, the following steps should be followed in reporting a sexual harassment complaint. 1. Notification of Appropriate Staff Individuals who believe they have been subjected to sexual harassment should report the incident to any member of the committee listed below. (The employer should designate a group of individuals within the employer who may receive complaints. These should be individuals of both genders, drawn from a variety of age groups, job positions and levels of seniority.) An individual also may choose to report the complaint to his/her supervisor. If the supervisor successfully resolves the complaint in an informal manner to the complainant's satisfaction, the supervisor must file a confidential report to _________________________________________ (employer management or designated individual) about the complaint and resolution so that the employer will be aware of any pattern of harassment by a particular individual and will also be aware of all complaints of sexual harassment on an employer-wide basis. If the supervisor does not successfully resolve the complaint informally, manner, a written report must be made to ___________________ [the personnel director] within one work day. A supervisor who has not had special training in dealing with sexual harassment complaints is strongly encouraged to consult a trained member of the employer's sexual harassment committee before taking action. - 3 - 2. Description of Misconduct An accurate record of objectionable behavior or misconduct is needed to resolve a formal complain of sexual harassment. Verbal reports of sexual harassment must be reduced to writing by either the complainant or the individual(s) designated to receive complaints, and must be signed by the complainant. Individuals who believe that they have been or are currently being harassed, should maintain a record of objectionable conduct in order to prepare effectively and substantiate their allegations. While ____________________ encourages individuals to keep written notes in order to accurately record offensive conduct or behavior, the employer hereby notifies all employees that, in the event that a lawsuit develops from the reported incident, the complainant's written notes might not be considered privileged or confidential information. 3. Timeframe for Reporting Complaint ____________________ encourages a prompt reporting of complaints so that rapid response and appropriate action may be taken. This policy not only aids the complainant, but also helps to maintain an environment free from discrimination for all employees. Employees should also be aware of the time limits imposed by local, state and national governmental agencies for the filing of complaints of harassment or discrimination; those time limits are posted on the official notices which are prominently displayed ___________________ (list location).Investigating the Complaint 1. Confidentiality Any allegation of sexual harassment brought to the attention of ___________________________ (the employer's appointed committee) will be promptly investigated. Confidentiality will be maintained throughout the investigatory process to the extent practical and appropriate under the circumstances. 2. Identification of Investigators Complaints will be investigated and resolved by the employer's sexual harassment committee. In addition, any of the following individuals may be included in reviewing the investigation and outcome:____________________________________________________________________________________________________________________________________________________ (list may include a number of appropriate partners, other members of the sexual harassment committee or other individuals such as the Director of Human Resources). - 4 - 3. Investigation Process In pursuing the investigation, the investigator will try to take the wishes of the complainant under consideration, but will thoroughly investigate the matter, keeping the complainant informed as to the status of the investigation. Steps to be taken in the investigation include: Confirm name and position of the complainant. Identify the alleged harasser. Thoroughly ascertain all facts that explain what happened. Questions should be asked in a non-judgmental manner. Determine frequency/type of alleged harassment and, if possible, the dates and locations where alleged harassment occurred. Find out if there were witnesses who observed the alleged harassment. Ask the individual how he/she responded to the alleged harassment. Develop a thorough understanding of the professional relationship, degree of control and amount of interaction between the alleged harasser and complainant. (Does the person control compensation, terms of employment or promotions? Do these individuals work in close proximity to one another and/or on the same projects?) Determine whether the alleged harasser has carried out any threats or promises directed at the complainant. Does the complainant know of or suspect that there are other individuals who have been harassed by the alleged harasser? Has the complainant informed other partners or supervisors of the situation? What response, if any, did complainant receive from these individuals? Ask complainant what action he/she would like the employer to take as a consequence of the harassment. When first interviewing the alleged harasser, remind him/her of the employer's policy against retaliation for making a complaint of sexual harassment.Resolving the Complaint - 5 - In order to minimize the damage to the firm, the complainant and the alleged harasser to the full extent possible, _____________________ will complete the investigation of a sexual harassment complaint and will communicate its findings and intended actions to the complainant and alleged harasser as expeditiously as possible. If the investigator, [together with review committee], finds that harassment occurred, the harasser will be subject to appropriate disciplinary procedures, as listed below. The complainant will be informed of the disciplinary action taken. If the investigator, [together with a review committee], determines that no sexual harassment has occurred, this finding will be communicated to the complainant in an appropriately sensitive manner. If the investigator [together with review committee] cannot determine whether or not sexual harassment has occurred, this finding will be communicated to the complainant and the alleged harasser, and the matter will be recorded as unresolved. Both the complainant and the alleged harasser will be informed again of the procedures set forth in this sexual harassment policy, including the appeal process contained below. In the event that no resolution satisfactory to both parties can be reached based on the initial investigation, the matter shall be referred to __________________________________________ (name an appropriate individual or group, such as the Managing Partner or Excessive Committee or Director of Human Resources). See "Appeals Process" below. 1. Sanctions Individuals found to have engaged in misconduct constituting sexual harassment will be severely disciplined, up to and including discharge. Appropriate sanctions will be determined by _____________________________________ (select the appropriate individual or group of individuals). In addressing incidents of sexual harassment, the employer's response at a minimum will include reprimanding the offender and preparing a written record. Additional action may include: referral to counseling, withholding of a promotion, reassignment, temporary suspension without pay, financial penalties or termination. This policy is designed to protect all employees from harassment in any way associated with the workplace or work environment, no matter who the harasser is. Although the employer's ability to discipline a non-employee harasser (e.g. client, opposing counsel, supplier, or court officials) may be limited by the degree of control, if any, that the employer has over the alleged harasser, any employee or partner who has been subjected to sexual harassment should file a complaint and be assured that action will be taken. Such action may include closing business with a client, reporting a client contact to his or her employer, reporting a public official to an appropriate agency, or any other appropriate action to protect employees. 2. Appeal Process If any party directly involved in a sexual harassment investigation is dissatisfied with the outcome or resolution, that individual has the right to appeal the decision. The dissatisfied party should submit his/her written comments in a timely manner to ___________________________ - 6 - (select the appropriate reviewers; individual or group of individuals, e.g. Administrative Partners of the employer).Maintaining a Written Report of the Complaint The employer shall maintain a complete written record of each complaint and how it was investigated and resolved. Written records shall be maintained in a confidential manner in the office of _________________________________ (name the appropriate individual or appropriate division within the office). The keeper of the records may vary depending on who filed the complaint - associate, partner, paralegal, administrative assistant, etc. Written records will be maintained for 5 years from the date of the resolution unless new circumstances dictate that the file should be kept for a longer period of time. Protection Against Retaliation The employer will not in any way retaliate against an individual who makes a complaint of sexual harassment or against any participant in the investigation, nor permit any partner or employee to do so. Retaliation is a serious violation of this sexual harassment policy and should be reported immediately. Any person found to have retaliated against another individual for reporting sexual harassment will be subject to the same disciplinary action provided for sexual harassment offenders (see "Resolving the Complaint" above). Formal Legal Proceedings The procedures above apply to internal complaints of harassment. Different procedures apply after a formal governmental administrative charge or civil lawsuit is filed. If you receive such a charge or complaint, you are directed to deliver it to ___________________________ [the personal director] immediately, all responses to such a formal charge or complaint will be made through ___________________________ [the personnel director]. RETALIATION AGAINST ANY PERSON WHO FILES A FORMAL CHARGE OR COMPLAINT OF HARASSMENT IS PROHIBITED, AND IS GROUNDS FOR DISCIPLINE UP TO AND INCLUDING TERMINATION. Conclusion _____________________ has developed this policy to ensure that all its employees and partners can work in an environment free from sexual harassment. The employer will make every effort to ensure that all personnel are familiar with the policy and know that any complaint received will be thoroughly investigated and appropriately resolved.