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Complaints of violations of this policy, including complaints of retaliation, should be made to the university’s Associate Vice President for Human Resources and Compliance (“AVP HR”).  The AVP for HR is:

Linda M. Walleshauser

Associate Vice President for Human Resources & Compliance

Old Main 100

walleshl@canisius.edu
716 888-2244

In the event that the AVP for HR Human Resources at:

hr@canisius.edu

Office of Human Resources

Bagen 106

2001 Main Street

Buffalo, NY 14208

Phone:  (716) 888-2240

In the event that an employee of Human Resources is the subject of a complaint under this policy, the Vice President for Business & Finance will assume the AVP HR rolethe Human Resources role.  If the president is the subject of a complaint, the chair of the board of trustees or the chair’s designee will assume the AVP HR Human Resources role.

Students who perceive themselves to be the victim of discrimination, harassment, or retaliation by another student may also report the incident via the reporting procedures outlined in the Community Standards..

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No more than five (5) business days after a written report is received, the AVP HR Human Resources (or designee) will meet separately with the parties to discuss the complaint.  If the parties choose not to participate, such non-participation will not prevent the matter from proceeding.

After meeting with the parties, the AVP HR Human Resources (or designee) will make a determination as to whether:

1. The matter can possibly be resolved through Informal Resolution;
2. A formal investigation is warranted to resolve the case; or
3. There are no reasonable grounds for believing that the alleged incident(s) constitutes discrimination, harassment and/or retaliation in violation of this policy.

In the event that the AVP HR Human Resources (or designee) determines there are no reasonable grounds for believing that the conduct at issue constitutes discrimination, harassment and/or retaliation as defined by this policy, the matter will be closed and the parties will be promptly notified of such resolution in writing.  The reasons for the conclusion that the conduct at issue does not constitute discrimination, harassment and/or retaliation will be set forth in the writing.

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At any time prior to the review of an investigative report, a party may request an informal resolution of the complaint.  All parties and the AVP HR Human Resources (or designee) must agree to informal resolution for this option to be used.  In assessing whether the informal resolution process is appropriate in a given matter, the AVP HR Human Resources (or designee) will assess the request for an informal resolution and the perceived benefit of informal resolution against the severity of the alleged violation, and any potential risks to a party, to other university community members, or to the university. 

If the AVP HR Human Resources (or designee) determines that an informal resolution is appropriate, she/he will facilitate a dialogue with the parties in an attempt to reach an amicable resolution.  The matter will be deemed resolved when the parties expressly agree to an outcome that is acceptable to them, and which is approved by the AVP HR Human Resources (or designee).  A party may withdraw from the informal resolution process at any time.  The administrator (or designee) may also reinitiate an investigation at any time deemed appropriate. 

If informal resolution efforts are unsuccessful, the Formal Resolution process will commence.

B. Formal Resolution

If the AVP HR Human Resources (or designee) determines that a formal investigation is warranted to resolve a complaint, the AVP HR Human Resources (or designee) then will investigate to determine whether the employee or student alleged to be responsible for a violation of this policy is in fact responsible and what, if any, corrective action is appropriate, in accordance with the procedures described below.  The AVP HR Human Resources may designate external or internal investigators should the AVP HR Human Resources deem a designee investigator to be necessary or appropriate.

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The investigation will be conducted in a manner appropriate in light of the circumstances of the case. The investigation may include, but is not limited to, conducting interviews of the complainant(s), the respondent(s), and any witnesses deemed relevant by the AVP HR Human Resources (or designee); reviewing law enforcement investigation documents, if applicable; reviewing  personnel files and other university documentation, if applicable; and gathering, examining, and preserving other relevant documents and physical, written, and electronic evidence (including text messages and other phone records, social media posts, security camera footage, and other probative evidence).

The parties will be afforded an opportunity to identify and present relevant witnesses and evidence to the AVP HR Human Resources (or designee), as well as identify witnesses who may have relevant information.

The Investigative Report and Conclusions

The AVP HR Human Resources (or designee) will make conclusions as to whether the respondent violated any provision of this policy. The standard of proof shall be by a preponderance of the credible evidence. The  findings and conclusions will be set forth in writing.

1. Determination of No Policy Violation. If the AVP HR Human Resources (or designee) determines that the respondent did not violate any provision of this policy, the AVP HR Human Resources (or designee) will determine and document this resolution, and notify the parties of that determination. A determination of no policy violation will result in a dismissal of the complaint, but shall not preclude the AVP HR Human Resources (or designee), in her/his discretion, from conducting conferences with one or more of the parties in an effort to educate them as to pertinent concerns about the reported behaviors, or the implementation of appropriate, non-punitive remedial and/or community-based efforts such as educational initiatives and/or trainings.
2. Determination of a Policy Violation.If the AVP HR Human Resources (or designee) determines there is sufficient information to find, by a preponderance of the evidence, that the respondent violated this policy, the matter will be referred for corrective action, as discussed below.

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This Policy does not preclude the destruction of any record the university does not consider germane.  Persons in charge of records shall ensure that only pertinent items are retained in student files.  The forms for “Request for Confidential Status of Directory Information” and “Authorization to Disclose Grades” shall be removed from a student’s educational records upon graduation unless the student makes a specific request that these forms remain.

RELATED POLICIES

Record Retention and Disposal Policy

Confidential Information Policy

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Individuals and offices wishing to conduct a survey that is covered by this Policy must complete and submit a written application to the appropriate area vice president, associate vice president, or committee/board as applicable (e.g. student surveys must be approved by the vice president for student affairs; alumni surveys approved by the vice president for institutional advancement; employee surveys by the associate vice president for human resources and compliance; human research subject surveys by the IRB; etc.).  Information required includes but is not limited to: a description of the survey project, including the purpose and intended use of results; the specific respondent population receiving the survey; the method of survey distribution (e.g. online or hard copy, via email, in class, at event, etc.); the time frame for administering the survey, including beginning and end dates; evidence of IRB approval (if necessary); description of any planned incentive program for respondents; and a current draft of the survey and all invitation and cover letters.

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• If the accused is an administrator/staff member or volunteer, the matter will be referred to the associate vice president for human resources and compliance human resources (see Volume III of the Canisius University Policy Manual);
• If the accused is a faculty member, the matter will be forwarded to the vice president for academic affairs for resolution pursuant to procedures set forth in the Faculty Handbook;
• If the accused is a student, the matter will be forwarded to the vice president for student affairs for formal resolution under the Community Standards procedures set forth in Volume VI of the Canisius University Policy Manual; and
• If the accused is a vendor or contractor, the vice president for finance and administration will enact appropriate corrective action, which may include removal from the campus(es) and termination of any applicable contractual or other arrangements.

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Conflict of Interest Policy

Record Retention and Disposal Policy

Research Ethics and Conduct Policy

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1. This Policy applies to the following persons regardless of immigration status:  all employees, applicants for employment, interns (paid or unpaid), and contractors, subcontractors, vendors, consultants and other persons providing services in the workplace pursuant to a contract with Canisiusor any of their employees who are providing services in the workplace.[2]  (All of these persons are referred to in the remainder of this Policy singularly as “Covered Person” and collectively as “Covered Persons.”)
2. Sexual harassment is prohibited and will not be tolerated.  Any Covered Person who engages in sexual harassment will be subject to remedial and/or disciplinary action (e.g., counseling, suspension or termination).  Any Covered Person who believes he or she has been a target of sexual harassment should report it using the procedures explained below in the section titled “Reporting Sexual Harassment and Retaliation.” 
3. Retaliation is prohibited.  Canisius will not tolerate any retaliatory adverse action against any Covered Person who, in good faith, reports sexual harassment or who provides information, testifies or otherwise assists in any investigation of or proceeding involving sexual harassment.  Any Covered Person who engages in such retaliation will be subject to disciplinary action, up to and including termination.  Any Covered Person who believes he or she has been a target of retaliation should report it using the procedures explained below in the section titled “Reporting Sexual Harassment and Retaliation.”   
4. Sexual harassment and retaliation are unlawful and a violation of this Policy and may subject Canisius to liability for harm to targets of such conduct.  Persons who engage in sexual  harassment and retaliation may also be subject to individual liability.  Covered Persons of every level who engage in sexual harassment and/or retaliation, including managers and supervisors who engage in such conduct or who knowingly allow such conduct to continue, will be penalized for such misconduct.   
5. All Covered Persons are encouraged to report any sexual harassment, retaliation or behaviors that violate this Policy.  Canisius will provide a complaint form for reporting such conduct and filing complaints. 
6. Managers and supervisors are required to report any complaint of sexual harassment or retaliation that they receive or any sexual harassment that they observe or become aware of to the Associate Vice President for Human Resources & Compliance in the Human Resources Department.
7. Canisius will conduct a prompt and thorough investigation that ensures due process for all parties whenever management receives a complaint about sexual harassment or retaliation or otherwise knows of possible sexual harassment or retaliation occurring.  Canisius will keep the investigation confidential to the extent possible.  Effective corrective action will be taken whenever sexual harassment or retaliation is found to have occurred. All employees, including managers and supervisors, are required to cooperate with any internal investigation.
8. This Policy applies to all Covered Persons and all must follow and uphold it.  This Policy must be provided to all employees and will be provided to employees upon hiring.

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• Physical acts of a sexual nature, such as:
• Touching, pinching, patting, kissing, hugging, grabbing, brushing against another person’s body or poking another person’s body;
• Rape, sexual battery, molestation or attempts to commit these assaults.
Unwanted sexual advances or propositions
• , such as:
  • Requests for sexual favors accompanied by implied or overt threats concerning the target’s job performance evaluation, a promotion or other job benefits or detriments;
  • Subtle or obvious pressure for unwelcome sexual activities.
  • Sexually oriented gestures, noises, remarks or jokes or comments about a person’s sexuality or sexual experience, which create a hostile work environment.
  • Sex stereotyping occurs when conduct or personality traits are considered inappropriate simply because they may not conform to other people’s ideas or perceptions about how individuals of a particular sex should act or look.
  • Sexual or discriminatory displays or publications anywhere in the workplace, such as:
    • Interfering with, destroying or damaging a person’s workstation, tools or equipment, or otherwise interfering with the individual’s ability to perform the job;
    • Sabotaging an individual’s work;
    • Bullying, yelling, name-calling.
  • Displaying pictures, posters, calendars, graffiti, objects, promotional material, reading materials or other materials that are sexually demeaning or pornographic. This includes such sexual displays on workplace computers or cell phones and sharing such displays while in the workplace.
  • Hostile actions taken against an individual because of that individual’s sex, sexual orientation, gender identity and the status of being transgender, such as:
• Interfering with, destroying or damaging a person’s workstation, tools or equipment, or otherwise interfering with the individual’s ability to perform the job;
• Sabotaging an individual’s work;
Bullying, yelling, name-calling.
• Touching, pinching, patting, kissing, hugging, grabbing, brushing against another person’s body or poking another person’s body;
• Rape, sexual battery, molestation or attempts to commit these assaults.
• Unwanted sexual advances or propositions, such as:

Who can be a target of sexual harassment?

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Preventing sexual harassment and retaliation is everyone’s responsibility. Canisiuscannot prevent or remedy sexual harassment and retaliation unless it knows about them. Any Covered Person who has been subjected to behavior that may constitute sexual harassment or retaliation should report such behavior to his or her supervisor or manager or to the Associate Vice President for Human Resources & Compliance in the Human Resources Department. Anyone who witnesses or becomes aware of potential instances of sexual harassment or retaliation should report such behavior to his or her supervisor or manager or to the Associate Vice President for Human Resources & Compliance in the Human Resources Department.

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All supervisors and managers who receive a complaint or information about suspected sexual harassment or retaliation, observe what may be sexually harassing behavior or retaliation or for any reason suspect that sexual harassment or retaliation is occurring, are required to report such suspected sexual harassment or retaliation to the Associate Vice President for Human Resources & Compliance in the Human Resources Department.

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All allegations of sexual harassment occurring within the university’s education programs and activities as defined by the university’s Sexual and Gender-Based Misconduct (Title IX) Policy will be handled exclusively pursuant to the investigation and grievance procedures outlined in that policy.  When the alleged sexual harassment conduct does not meet the university’s Sexual and Gender-Based Misconduct (Title IX) Policy definition of sexual harassment, then the university’s investigation and resolution efforts will be conducted in accordance with the university’s Anti-Discrimination and Harassment Policy.  The determination of which policy will govern is in the sole discretion of the Title IX officer and the Associate Vice President for Human Resources & Compliance. 

The university's investigation, regardless of which policy governs, will be kept confidential to the extent possible. Moreover, all persons involved, including complainants, witnesses and alleged harassers will be accorded due process, as outlined below, to protect their rights to a fair and impartial investigation.

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