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C. How the University handles discrimination/harassment cases?
01

The University has procedures to deal with allegations or complaints of the unlawful acts under the anti-discrimination ordinances, and to provide proper redress if and when discrimination, harassment and vilification occur. According to the complaint procedures, there are informal resolution and formal complaints. Conciliation and complaint investigation processes are available to staff and students through the Panel Against Discrimination and Sexual Harassment. All complaints will be received and handled in a confidential manner in accordance with the existing University policies and applicable laws.

1.1.    Informal Resolution

a.The aim of the informal resolution is to address your concern with a view to clarifying the problem and facilitating early resolution. You may approach your immediate supervisor, unit head or an advisor/a resource person for advice and help to resolve the problem informally. If the resolution has not been achieved to your satisfaction, you may contact the responsible officer at DIO who can assist you in:
 
(i)Clarifying what has occurred and whether the behaviour might constitute unlawful acts under the anti-discrimination ordinances;
(ii)Providing information about the complaint procedures;
(iii)Understanding your rights under the relevant laws and regulations including victimization;
(iv)

Knowing about available options which include:

  • Early resolution, i.e. the responsible officer at DIO may attempt to resolve the problem informally by taking appropriate preventive or remedial measures. The purpose would be to make the discriminators aware of the way their behaviour has been perceived and ask them to stop the behaviour immediately;
  • Conciliation and complaint investigation by the University;
  • Your right to lodge complaints with the Equal Opportunities Commission or to take civil action in the District Court of Hong Kong.
(v)Obtaining information and advice about where you can go to get more help, e.g. counselling and how to initiate a complaint.
 

1.2    Conciliation

a.

What is conciliation?

Conciliation is a voluntary process. It will only be arranged where both the complainants and respondents are willing to take part in the conciliation. If the parties reach a settlement, the agreement signed by the parties is legally binding. Under normal circumstances, attempts at conciliation do not require the filing of a written complaint.

b.

Who will conduct conciliation?

The CS of CADSH or a conciliator acceptable to both parties will normally be appointed to conduct the conciliation. The conciliator will serve as facilitator to help the parties identify issues, explore possible ways to resolve the dispute, and help them reach an agreement that both find satisfactory. The conciliator will interview the complainants and the respondents separately. In the conciliation process, no meeting notes will be taken.

c.

What are the possible outcomes of conciliation?

(i)

If the conciliation fails to reach a settlement, the complainants can continue to enforce their rights. If a settlement has been reached during the conciliation, the parties may enter into a legally binding agreement to record the terms of the settlement. The settlement can contain:

  • an apology;
  • a guarantee that no further discriminatory acts will occur; and
  • an agreed procedure for monitoring the situation and resolving any future concerns.
(ii)Each party will sign the agreement and keep a copy. Information about the complaint and resolution including a copy of the agreement will be kept in the office of the CS of CADSH for record purpose and shall be dealt with by all the parties concerned in strict confidence and in accordance with the University’s existing policies and applicable laws.
d.

Will the conciliator monitor the performance of the agreement?

No. But the conciliator would inform the parties that if a breach occurs, the complainants have the right to file a written complaint pursuing a formal investigation.

 

1.3.    Investigation

a.What is investigation?
 
(i)Investigation is a formal procedure. If you wish the University to initiate an investigation into an act of discrimination, harassment or vilification, you should make a written request for a formal investigation by completing a complaint form.
(ii)You should note that, apart from background or certain personal information, details of the complaint, including your name and the allegation made, will be disclosed to the respondent under the principle of natural justice.
(iii)Upon receipt of a written request, the Panel Convenor will appoint at least two panelists of different gender to investigate the complaint. The CS of CADSH will be appointed as Secretary of the Investigation Team. Members of the Investigation Team should not be from the department/unit in which the complainants or the respondents are concerned.
(iv)Under special circumstances as deemed necessary by the Panel Convenor, a non-staff Council member, an external member or a student representative may be invited to join the Investigation Team to assist in the process and secure the confidence of the parties.
(v)The Investigation Team will interview you and the respondents separately. You will usually be interviewed first. If necessary, witnesses and any other parties concerned will also be interviewed individually in conformance with the privacy and confidentiality laws.
b.

What role will an investigation team play?

The Investigation Team will conduct a full and impartial investigation to determine whether the complaint can be substantiated. Upon completion of the investigation, the Investigation Team will submit a fact-finding report to the Panel Convenor. The Investigation Team would not play any role in recommending sanction, penalty, or disciplinary action which will rest on relevant disciplinary committee(s).

c.

What are the possible outcomes of an investigation?

(i)The Panel Convenor shall review the fact-finding report submitted by the Investigation Team and notify both parties concerned in writing of the fact-finding report. If the decision of the Investigation Team is that the allegation of an unlawful act is established, then the respondents may submit an appeal to the Panel Convenor. If the decision is that the allegation of a lawful act is not established, then you may submit an appeal to the Panel Convenor. If there is no appeal (or the appeal is not allowed), the Panel Convenor shall submit a final report to the Vice-President (Administration) (VP(A)) for consideration.
(ii)If there is a finding of an unlawful act, then the Panel Convenor shall make recommendations on disposal of the case and submit a final report to VP(A) for consideration. VP(A) shall make a specific decision on the disposal of the case and convey the decision in writing to the complainants and respondents.
d.

Will you have the right to appeal against the decision of the investigation team?

(i)Yes. If the decision of the Investigation Team is that the complaint is not established, you will have the right to appeal in writing to the Panel Convenor.
(ii)An appeal will be allowed only where you have new evidence and other information and material relevant to the case, or you can demonstrate that there is procedural unfairness in handling the complaint.
(iii)If the appeal is allowed, the Panel Convenor will establish an Ad Hoc Panel to review the fact-finding report, taking into account the written appeal stated in your written submission. The Ad Hoc Panel shall include a panel of three members of the Panel Against Discrimination and Sexual Harassment who have not had any prior involvement in the case. Their decision on the facts will be final, and will be reported to the Panel Convenor.
e.

What action will the University take if the complaint is found to be substantiated?

The University is entitled to invoke formal disciplinary procedures and take appropriate disciplinary action against the staff members or students concerned.

f.

Will anyone be punished if the complaint is found to be unsubstantiated?

No staff members or students of the University will be punished for initiating a good faith complaint or for providing information in the complaint investigation processes. However, the University reserves the right to take disciplinary action against any staff member or student making a false complaint or intentionally providing false information in any complaint process.

Further information about formal procedures for investigation is set out in the University’s Procedures for Handling Discrimination Complaints which can be downloaded from the website of DIO at http://www.dio.cuhk.edu.hk/ or the website of CADSH at https://cadsh.cuhk.edu.hk/en-gb/.

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