Volume II: 2.1 General Institutional Policies

2.1.1        Anti-Discrimination and Harassment Policy

PURPOSE

The purpose of this policy is to ensure compliance with applicable federal and state laws prohibiting unlawful discrimination and harassment and to foster the university’s commitment to providing an educational and working environment free from discrimination and harassment.

POLICY

I.  Statement of Policy

Canisius University strives to provide an educational and working environment that is free from all forms of discrimination and harassment and is committed to providing an environment that values diversity and emphasizes the dignity and worth of every individual, and an environment in which every individual is treated with respect.  As part of this commitment, Canisius University does not discriminate on the basis of age, race, religion or creed, color, sex, national or ethnic origin, sexual orientation, marital status, military status, genetic predisposition or carrier status, gender identity, gender expression, familial status, domestic violence victim status, pregnancy, citizenship or immigration status, disability, criminal conviction, criminal arrest record or any other status protected by local, state or federal law in administration of its educational policies, employment practices, admissions policies, scholarship and loan programs, and athletic and other school administered programs.

Discrimination or harassment in any form is inimical to these goals and fundamentally at odds with the values of Canisius University.  They are unacceptable behaviors and will not be tolerated.  Accordingly, individuals who discriminate against or harass others in violation of this policy, regardless of whether such conduct rises to the level of unlawful discrimination or harassment, may be subject to disciplinary action, up to and including termination of employment, association with the university, or dismissal from the university. The university also prohibits retaliation by any person against any person for filing or supporting a complaint under this policy. 

II. Scope

A.    Generally

This policy applies to prohibited discrimination or harassment conduct in all university education programs and activities and to all participants in such education programs and activities, including administrators, faculty, staff, students, volunteers, contractors, and guests. This policy covers prohibited conduct that occurs on campus, in connection with an official university program or activity (regardless of location), and to off-campus conduct when the conduct, in the judgment of the university, could deny or limit a person’s ability to participate in or benefit from the university’s programs and activities or when the university, in its sole discretion, otherwise has an identifiable interest in the off-campus conduct.

B.    Interaction with Sexual and Gender-Based Misconduct (Title IX) & Sexual Harassment Prevention Policies

In support of its commitment to provide an educational and working environment free from all forms of discrimination and harassment, Canisius University has adopted this policy prohibiting discrimination and harassment in all forms identified below (the “Anti-Discrimination/Harassment Policy” or the “Policy”).  In addition, Canisius University maintains a separate Sexual and Gender-Based Misconduct (Title IX) Policy and a separate Sexual Harassment Prevention Policy that will govern certain allegations of sexual and gender-based misconduct and harassment.  These separate policies may be summarized, in general, as follows:

• Sexual and Gender-Based Misconduct Policy: Canisius University is committed to eliminating Sexual and Gender-Based Misconduct, preventing its recurrence, and addressing and remedying its effects.  In compliance with Title IX of the Educational Amendments of 1972 and 34 CFR Part 106, the Violence Against Women Act as reauthorized by the Campus SaVE Act, and New York’s Enough is Enough Law, the university has adopted a Sexual and Gender-Based Misconduct Policy that specifically addresses incidents of Sex and Gender-Based Discrimination, Sexual Harassment, Sexual Assault, Domestic Violence, Dating Violence, and Stalking.  The entirety of this Sexual and Gender-Based Misconduct Policy may be accessed here. 

• Sexual Harassment Prevention Policy:  Canisius University is committed to maintaining a workplace free from sexual harassment.  In compliance with New York State law, the university has adopted a Sexual Harassment Prevention Policy that specifically addresses sexual harassment against employees, applicants for employment, interns and non-employees, such as volunteers, providing services in the workplace pursuant to a contract with the university or any of their employees, regardless of immigration status.  Sexual harassment covered by the policy includes any harassment based on a person’s sex, sexual orientation, self-identified or perceived sex, gender expression, gender identify and the status of being transgender.  The policy also prohibits retaliation for reporting or complaining about sexual harassment or providing information, testifying or assisting in any investigation or proceeding involving sexual harassment.  The entirety of this Sexual Harassment Prevention Policy may be accessed here. 

All members of the university community are expected to carefully review the Sexual and Gender-Based Misconduct Policy and are responsible for complying with its terms.  Violations of the University’s Sexual and Gender-Based Misconduct Policy may result in the imposition of sanctions up to and including termination, dismissal, or expulsion.

All employees also are expected to carefully review the Sexual Harassment Prevention Policy and are responsible for complying with its terms.  Violations of the University’s Sexual Harassment Prevention Policy may result in sanctions up to and including termination.

The university has also adopted this Anti-Discrimination/Harassment Policy to ensure a prompt and equitable resolution of all reports or complaints of discrimination and harassment it deems not to fall within the scope of either the Sexual and Gender-Based Misconduct or the Sexual Harassment Prevention Policies. 

This policy is designed to do the following:

• Reaffirm the university’s commitment to providing a positive, supportive and tolerant environment for study and work, free from discrimination, harassment, and retaliation;
• Alert all members of the university community to the kind of conduct that is expected, and conduct that is discouraged or proscribed;
• Inform victims of discrimination, harassment, and retaliation of their options and rights, including rights to pursue complaints of discrimination, harassment, or retaliation;
• Inform all members of the university community about the procedures available at the university for addressing, investigating, and resolving discrimination, harassment, and retaliation complaints filed under this policy;
• Protect the rights of all parties to confidentiality of complaints, to the extent reasonably possible; and
• Prevent retaliation against persons making complaints under this policy, as well as persons who participate in or cooperate with an investigation under this policy.

As is the case with the Sexual and Gender-Based Misconduct Policy and the Sexual Harassment Prevention Policies, all members of the university community are expected to carefully review this policy, and are responsible for complying with its terms.  Violations may result in the imposition of sanctions up to and including termination, dismissal, or expulsion.

As certain reported misconduct claims may implicate more than one of the policies referenced in this Section B, such as where the alleged misconduct may violate provisions of this Anti-Discrimination/Harassment Policy as well as the university’s Sexual and Gender-Based Misconduct Policy and/or its Sexual Harassment Prevention Policy, the university will in its sole discretion determine the policy or policies that will govern, and the procedures that will be implemented with respect to the disposition of any complaint.  As a general matter, and without in any way limiting the breadth of the university’s discretion, allegations of sex discrimination which rise to the level of sexual harassment and which occur within the university’s educational programs and activities will be handled in accordance with the university’s Sexual and Gender-Based Misconduct Policy. 

III. Prohibited Conduct Defined

The following are categories of conduct that are prohibited by this policy (“prohibited conduct”) and may result in disciplinary action if committed by university employees or students.

A.    Discrimination

Discrimination is conduct directed at a specific individual or a group of identifiable individuals that subjects the individual or group to treatment that adversely affects their education or employment because of their age, race, religion or creed, color, gender, sex, national or ethnic origin, sexual orientation, marital status, military status, genetic predisposition or carrier status, gender identity or expression, familial status, domestic violence victim status, pregnancy, citizen status, disability, criminal conviction history, criminal arrest record or any other status protected by local, state or federal law (collectively, “protected characteristics”).

Listed below are examples of conduct that can constitute discrimination if motivated by or based on a subject’s protected characteristic(s).  This list is not intended to be all-inclusive, and each situation will be considered by the university in light of the specific facts and circumstances.

• Singling out or targeting an individual for different or adverse treatment (e.g., more severe discipline, lower salary increase, change in work conditions, verbal abuse) because of one or more of his or her actual protected characteristic(s), or the individual’s perception as to such protected characteristic(s);
• Failing or refusing to hire or admit an individual because of his/her actual protected characteristic(s), or the individual’s perception as to such protected characteristic(s); and
• Terminating an individual from employment or an educational program or activity based on his/her actual protected characteristic(s), or the individual’s perception as to such protected characteristic(s).

Other Forms of Discrimination—In addition to the above, the following are acts of discrimination which are prohibited under this policy:

• Causing physical harm, verbally abusing, intimidating or engaging in other conduct that threatens the health or safety of any member of the university community based on his or her actual protected characteristic(s), or the individual’s perception as to such protected characteristic(s);
• Hazing (defined as acts likely to cause physical or psychological harm or social exclusion or humiliation) any member of the university community based on his or her actual protected characteristic(s), or the individual’s perception as to such protected characteristic(s); and
• Bullying (defined as repeated and/or severe aggressive behavior likely to intimidate or intentionally hurt, control or degrade another person physically or mentally) any member of the university community based on his or her actual protected characteristic(s), or the individuals’s perception as to such protected characteristic(s).

B. Harassment

Harassment is a form of discriminatory misconduct, and it encompasses any conduct against an individual, on the basis of or motivated by one or more protected characteristics, when the conduct is objectively offense (something more than a petty slight or triviality), and:

• exposes the subject to inferior terms, conditions or privileges of employment or educational opportunity;
•  denies or limits the subject’s ability to participate in or benefit from the university’s programs or activities; or
• has the purpose or effect of otherwise unreasonably interfering with the subject’s employment or education. 

The determination of whether harassment is established by specific acts or omissions will be based on all of the circumstances, giving consideration to whether a reasonable person in a similar situation would have perceived the conduct as offensive.  Also, the following factors will be among those considered by the university in assessing harassment claims under this policy: (a) the degree to which the conduct affected the educational environment or the workplace; (b) the nature, scope, frequency, duration, severity, and location of incident or incidents; (c) the intent, purpose or objective(s) of the participants involved in the conduct; and (d) the identity, number, and relationships of persons involved.  While the intent of the individuals involved will be considered as part of the overall assessment, the absence of intent to offend, demean, injure or harass will not be determinative of the issue. Nor is this policy intended to address differences of opinion that may arise and lead to argument or discord, where the words or actions are not based on or motivated by the subject’s protected characteristic(s).

Even a single or isolated incident of harassment may create the basis for finding a policy violation. However, this policy will be interpreted in light of one of the fundamental purposes of a Canisius University education—which is to teach students to think, write, and express themselves critically.  This is a demanding skill and students must confront, in stark and sometimes painful ways, the comfortable assumptions that they often bring to the university experience.  Instruction in critical thinking very well may involve saying or presenting materials that are felt by individuals to be offensive or embarrassing.  In an effort to balance competing considerations in this area, and to distinguish legitimate academic and social debate with communications that demonstrate proper respect for the dignity and worth of others, the university has promulgated a Freedom of Expression policy- (: https://wiki.canisius.edu/display/HR/Volume+II%3A+2.1+General+Institutional+Policies#VolumeII:2.1GeneralInstitutionalPolicies-2.1.4FreedomofExpressionPolicy).  In cases where actions or communications are thought to reflect bias or an absence of proper respect for the dignity of others in the community or society at large, or otherwise constitute harassment or retaliation, students or others are encouraged to communicate directly with the faculty member involved, the department chair or the associate dean of the applicable school, or report them in the manner provided in Section IV of this policy.  When complaints involve consideration of pedagogical concerns, the university will evaluate such complaints, and balance any relevant, legitimate principles of academic freedom and independence of thought and expression with intrusions on the subject’s ability to participate in or benefit from the relevant class, educational program or university activity.

C. Other Unprofessional/Inappropriate Conduct

Behavior or conduct that is unprofessional and/or inappropriate for the educational and/or working environment, and based on or motivated by a subject’s protected characteristic(s) is also prohibited by this policy.

D. Retaliation

Retaliation means any adverse action taken against a person who has filed a complaint under this policy, or who has participated in or cooperated with an investigation or a process under this policy, in reprisal for having done so, that might dissuade a reasonable person from making or supporting a complaint or participating in a process under this policy.

E. Other Definitions

Complainant or Subject means an individual who is alleged to be the victim of conduct prohibited under this policy.

Respondent means an individual who has been reported to be the perpetrator of prohibited conduct.

Party is a Complainant (or Subject), or a Respondent.

IV. Reporting Procedures

A. Reporting to the University

Complaints of violations of this policy, including complaints of retaliation, should be made to 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 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 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..

While verbal reports of prohibited conduct will be received and responded to as appropriate considering the wishes of the reporting individual(s) and the circumstances of each case, the university ultimately will require, within 48 hours of a verbal report, that such report alleging a violation of this policy be submitted in writing. The written complaint should:

• Identify the parties involved;
• Describe the policy violation, including when and where it occurred; and
• Identify by name or description any witnesses and/or evidence.

Written complaints will be treated as confidentially as practical and shared only on a need-to-know basis or as otherwise required under the law. Anonymous reports will be accepted.  The determination of need-to-know shall be in the university’s sole discretion. 

B. External Complaints

The availability and use of this policy does not prevent a member of the university community from filing an inquiry with external agencies such as the Office for Civil Rights or the U. S. Equal Employment Opportunity Commission.

Students: Students and student applicants may file formal complaints with the following agency:

Office for Civil Rights (OCR), Headquarters

400 Maryland Avenue, SW

Washington, DC 20202-1100

Customer Service Hotline: (800) 421-3481

TDD: (877) 521-2172

Facsimile: (202) 453-6012

Email: OCR@ed.gov

Web: http://www.ed.gov/ocr

Employees, Employment Applicants, Volunteers and other 3^rd Parties: Employees, applicants for employment and other 3^rd Parties may file formal complaints with the following agencies:

1. S. Equal Employment Opportunity Commission

Two Gateway Center

Suite 1703

283-299 Market Street

Newark, NJ 07102

Phone: 1-800-669-4000

Fax: 973-645-4524

TDD: 1-800-669-6820

The New York State Division of Human Rights

One Fordham Plaza 4th Floor

Bronx, New York 10458

Phone: (718) 741-8400

TDD: 1-718-741-8300
Website: https://dhr.ny.gov/ 

The City of Buffalo Commission on Citizens’ Rights and Community Relations

City Hall

Room 1316-C

Buffalo, NY, 14202
716-851-8000

V. Investigation and Resolution

No more than five (5) business days after a written report is received, 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, 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 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.

A. Informal Resolution

At any time prior to the review of an investigative report, a party may request an informal resolution of the complaint.  All parties and 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, 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 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 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 Human Resources (or designee) determines that a formal investigation is warranted to resolve a complaint, 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.  Human Resources may designate external or internal investigators should Human Resources deem a designee investigator to be necessary or appropriate.

The Investigation

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 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 Human Resources (or designee), as well as identify witnesses who may have relevant information.

The Investigative Report and Conclusions

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 Human Resources (or designee) determines that the respondent did not violate any provision of this policy, 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 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 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.

Appeals

The provisions governing the availability of appeals from or reviews of the investigative determinations made under this policy, and the appellate process if an appeal is available, will be set forth:

1. For Students:  In the Community Standards.
2. For Staff and Non-faculty Employees: In applicable non-faculty employee and staff policies;
3. For Faculty: In applicable provisions of the Faculty Handbook and such other faculty policies as may be applicable.

Corrective Action

If the respondent is found responsible by the preponderance of the evidence, the matter will be referred as applicable to either Student Affairs (student respondents), Academic Affairs (faculty respondents), or Human Resources (staff respondents and third-party respondents), for the imposition of corrective action(s).  The range of corrective actions include:

1. Employee Respondents: Sanctions and/or responsive action for employees or volunteers may include work restrictions, requirement to seek or secure counseling, requirement to attend and complete conduct-focused education or training, salary reduction or limitation, loss or reduction of an employment-related benefit or privilege, an oral warning, a written reprimand, suspension from employment, revocation of tenure (for tenured faculty), and/or dismissal from or termination of employment. This list is not intended to be exhaustive, and other types of corrective action for employees or volunteers can include corrective actions intended to remediate the impact of the misconduct that violated the policy, and hold the employee or volunteer violating the policy accountable for such misconduct.  
2. Student Respondents: Sanctions and/or responsive action for students found responsible for Policy violations may include warnings, fines, restitution, requirement to seek or secure counseling, requirement to attend and complete conduct-focused education or training, other discretionary sanctions, assignment to complete an educational program or activity on a different timeline or in a different format, loss of campus privileges, residence hall probation, administrative relocation, residence hall suspension, suspension or removal from a university team, club or activity, termination of recognized status as a university team, club or activity, residence hall expulsion, university probation, university suspension, university expulsion, revocation of admission and/or degree, and/or withholding or revocation of a degree (whether or not that degree has been conferred).   This list is not intended to be exhaustive, and other types of corrective action for students can include corrective actions intended to remediate the impact of the misconduct that violated the policy, and hold the student violating the policy accountable for such misconduct.
3. Third-Party Respondents: For policy violations by contractors, vendors, and others doing business with the university, the Associate Vice President for Business and Human Resources will consult with the contracting department to determine the appropriate resolution, up to and including termination of a contractual relationship. Again, this listing is not exhaustive, but is intended to be illustrative of the common forms of sanction that may be issued upon a finding of responsibility with respect to a third-party (e., not an employee, volunteer or student).

VI. Miscellaneous

Supportive Measures

Regardless of the complaint resolution process utilized in response to a complaint of prohibited conduct, the university will, to the extent practicable based on the university’s resources, provide the complainant (and the respondent, where appropriate) with support and resources to restore or preserve equal access to the university’s education programs and activities and/or employment. Such measures are designed to promote the well-being of all parties implicated by a report, to deter prohibited conduct and (if necessary) to protect the safety of the parties and the campus community. Supportive measures may include, but are not limited to: counseling, reasonable extensions of academic or other deadlines, course-related adjustments, modifications to work or class schedules, campus escort services, changes in work or housing locations, leaves of absence, increased security and monitoring of certain areas of campus, and other similar measures. Supportive measures may also include mutual restrictions on contact between the parties involved in a report or a complaint.

Confidentiality

All actions taken to investigate and resolve complaints through this procedure will be conducted with discretion, and in as confidential a matter as reasonably possible and appropriate, but without compromising the thoroughness and fairness of the investigation.  All persons involved are to treat the matter as sensitive, and are expected to be discreet as well.  To conduct a thorough investigation, however, the investigator(s) may well need to discuss the complaint with witnesses and those persons involved in or affected by the complaint, and other persons necessary to assist in the investigation or to implement appropriate disciplinary actions.  In such situations, the university will not be in a position to maintain confidentiality, but will strive to remain discreet.

Any person who knowingly and intentionally makes an unauthorized disclosure of confidential information contained in a complaint or otherwise relating to the investigation of a complaint under this policy is subject to disciplinary action, up to and including dismissal from the university or termination of employment.

Standard of Proof

All findings and determinations of responsibility under this policy will be made using a preponderance of the credible evidence standard. This standard requires the determination of whether it is more likely than not (>50%) that a fact exists or that a violation of this policy occurred, based on the totality of the circumstances and the credible proof available.

Time Frames

Time frames mentioned in these procedures may be extended for good cause, such as holidays or when classes are not in session, or when it is necessary to complete an investigation due to difficulties reaching witnesses or parties to the complaint.

Duty of Truthfulness

All parties and witnesses are obligated to be completely truthful during the course of the entire process set forth in this policy. Any person who knowingly makes a false statement, either explicitly or by omission, in connection with any part of the process, may be subject to separate disciplinary action, up to and including dismissal from the university or termination of employment. A report made in good faith, however, is not considered false merely because the evidence does not ultimately support or refute the allegation of violation of the policy.

Duty of Cooperation

All parties and witnesses are obligated to cooperate with any persons charged with implementing this policy and these procedures. Any person who knowingly interferes with the actions taken to implement the reporting, investigation, or resolution of matters under this policy may be subject to separate and/or additional disciplinary action, up to and including dismissal from the university or termination of employment.

Participation in Proceedings

To enable the most accurate and fair review of the facts, the parties are expected to attend and participate in meetings during the course of an investigation under this policy. If an individual chooses not to attend one or more meetings, the allegations will be reviewed on the basis of the information and evidence available, and a decision will be made.

Advisers

During the investigation and resolution process, the parties may designate and thereafter be accompanied by an advisor at meetings and interviews at which they are present; however, no advisor may examine witnesses or otherwise actively participate in a meeting or interview pursuant to this policy.  No meeting or other investigative activity may be postponed or rescheduled solely due to the absence of an adviser, or the failure of a party to designate an adviser. 

An adviser is subject to the same confidentiality expectations applicable to others in attendance.

Accommodations, including scheduling of interviews or reviews, generally will not be made for any advisers if they unduly delay the process. 

Without prior approval of the university, the adviser is not permitted to attend a meeting or proceeding without the complainant or respondent also being present, or in a “representative” capacity. 

The university reserves the right to bar further participation or take other appropriate remedial action regarding any adviser who disrupts the process, or who does not abide by the restrictions imposed by this policy.

Recording Proceedings

The parties are not permitted to make video, audio, or other electronic, photographic, or digital recordings of any meetings or proceedings held under this policy or these procedures, including the Investigative Report.  The university may make exceptions to this prohibition in limited circumstances, upon written request of the party seeking the recording.

Accommodations for Individuals with Disabilities

Reasonable accommodations will be provided to an individual with disabilities, in accordance with applicable law. An individual with a disability who requires an accommodation for any meeting or process this policy must request an accommodation, in writing or verbally with written memorialization to be created promptly thereafter; the university will make a determination regarding the request as soon as reasonably practical thereafter, and notify the appropriate parities.

Record Retention

Generally, records will be retained for seven (7) years after the date of an incident unless:

the university establishes a different time frame (either shorter or longer), or is mandated to maintain the record in compliance with federal, state, or local law or other university policy for a different period. 

Effect on Pending Actions

The filing of a discrimination, harassment or retaliation complaint under this policy will not stop or delay any investigation or disciplinary action otherwise related to the complainant, under this or any other university policy or process.

Relationship of Complaint Process to Outside Governmental Agency Complaints and Time Limits

The filing of a discrimination, harassment or retaliation complaint under this policy does not prevent or preclude the complainant from filing complaints with any governmental agency with respect to any allegedly discriminatory or retaliatory misconduct, or any alleged act of harassment, nor does it excuse the complainant from meeting any time limits or deadlines established by any governmental outside agencies with respect to such complaints.

Special Situations

The university retains the right to determine, in its sole discretion, if it will address a report of conduct under this policy administratively and outside of the process described herein when the safety of the university community is at risk, if the material facts are undisputed, if there are extenuating circumstances involving either of the parties, or if the applicable university official(s) determine it is in the best interest of the university and/or the community to do so.

2.1.2        Constitution Day Policy

PURPOSE

The purpose of this policy is to comply with Consolidated Appropriations Act of 2005 (Public Law 108-477), which requires educational institutions receiving Federal funding to hold an educational program pertaining to the United States Constitution on September 17 of each year.

POLICY

Canisius University will hold an educational program pertaining to Constitution Day on or around September 17^th of each year.

DEFINITIONS

Not Applicable.

PROCEDURES/GUIDELINES

Each year the Political Science Department will hold educational programming pertaining to Constitution Day.

Announcement of events scheduled to celebrate Constitution Day is communicated to the campus community via the university’s online newsletter, The Dome.

RELATED POLICIES

Not applicable.

2.1.3        Copyright and Intellectual Property Policy

PURPOSE

The purpose of this policy is to provide guidance and resources regarding United States copyright laws as they relate to the use of copyright protected materials in an educational setting, including guidelines regarding the fair use of copyrighted material and information regarding the Digital Millennium Copyright Act and TEACH Act.  In addition, the policy sets expectation with regard to the appropriate use of intellectual property at the university.

POLICY

Canisius University is committed to following all requirements of U. S. Copyright Law.  All university employees, students, contractors, volunteers are expected to adhere to the provisions of Title 17 of the United States Code, entitled “Copyrights,” and other relative federal legislation and guidelines related to the duplication, retention, and use of copyrighted materials, including but not limited to the restrictions and requirements set forth in The TEACH Act – US Copyright Law, Chapter 1, Section 110(2)US Copyright Law, Chapter 1, Section 110(2)US Copyright Law, Chapter 1, Section 110(2) and the Digital Millennium Copyright Act (DMCA).  In addition, it is the policy of the university to abide by all contracts, non-disclosure agreements, laws, regulations, and policies of the university governing the use of intellectual property.

Members of the Canisius University community must:

• Honor all non-disclosure agreements entered into by or on behalf of the university;
• Abide by all laws, regulations, contracts and policies of the university governing the use of copyrighted materials, patented ideas, trademarks, licenses, and proprietary information;
• Refrain from any activity that constitutes infringement of intellectual property of the university or any other person; and
• Properly attribute the work and ideas of others.

Violations of any of the above may result in appropriate disciplinary action by the university.  In addition, violators may be subject to civil action and/or criminal charges.

DEFINITIONS

Copyright—copyright grants to the author or originator of a work of original authorship, art or a work that conveys information or ideas, the right to control how the work is used.  Copyright grants to the author or originator the sole and exclusive privilege of creating multiple copies of literary or artistic productions and publishing and selling them.  Copyright protection exists for original works fixed in any tangible medium of expression, including: literary works; musical works, including any accompanying words; dramatic works, including any accompanying music; pantomimes and choreographic work; pictorial, graphic, and sculpture work; motion pictures and other audiovisual works; and sound recordings.

Digital Millennium Copyright Act (P.L. 105-304)—a 1998 amendment to the Copyright Act of 1976 that establishes certain limitations of copyright infringement liability for online service providers (OSPs), including universitys and universities, when certain requirements are met by the OSP.  The Act contains a number of other provisions, including prohibitions on circumvention of technological protection measures among others.

Fair Use—Fair use limits the exclusive rights of copyright owners and gives the user rights to reproduce in copies or phonorecords for “purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research.”

DMCA Notice or Takedown Request—a warning or request issued from a copyright holder or a representative of the copyright holder.  These copyright holders have identified computers on the university’s network as having potentially violated the DMCA and issue warnings regarding the particular infringement to the university.

Information Technology Resources—computing resources, information technologies, networks, voice messaging equipment, computer software, data networking systems, including remote and wireless and electronically stored institutional data and messages owned, controlled, or managed by the university.

Intellectual Property—property of an intellectual nature belonging to an individual or an entity, including, but not limited to, proprietary information that is protected by patent, copyright, trademark, or a non-disclosure agreement.

Technology, Education and Copyright Harmonization Act (TEACH Act) (Section 110(2)Section 110(2)Section 110(2) of the U.S. copyright law)—a copyright exemption that addresses teaching conducted through digital transmission.  Under this law, if both the course instructor member and the university meet a number of specific guidelines (see below), the Act permits digital transmission of copyrighted works for educational purposes without obtaining permissions.

PROCEDURES/GUIDELINES

Copyright at Canisius University

Information and resources intended to provide guidance to university faculty, staff, and students in an effort to support the legal use of copyrighted materials in all aspects of the Canisius University Mission are available at http://libguides.canisius.edu/copyright.  In addition, the university’s Copyright Resources page provides links and brief descriptions of some excellent resources. 

Fair Use

Employees and students are permitted to use and duplicate copyrighted works for educational and classroom uses, provided such activities are within the “fair use” standard.  The provision of “Fair Use” is described in Section 107 of U.S. Copyright Law.  Under certain circumstances, fair use permits the reproduction of copyrighted materials without requiring permission from the copyright holder.

The U.S. Copyright Office factsheet on Fair Use, FL-102, explains that “Section 107 contains a list of the various purposes for which the reproduction of a particular work may be considered fair, such as criticism, comment, news reporting, teaching, scholarship, and research.”

Section 107 also outlines four (4) factors to be considered when determining whether or not a particular use is “fair”.  The Four Factors are:

• The purpose and character of the use, including whether such use is of commercial nature or is for nonprofit educational purposes: A nonprofit or noncommercial use weighs in favor of a fair use.  Non-profit educational purposes, such as duplication for classroom purposes rather than commercial purposes, generally tend to support a finding of fair use[1];
• The nature of the copyrighted work: Works fall into categories such as published or unpublished, fact or fiction.  Published factual works, such as form books, dictionaries or other factual works, by their nature more readily support a finding of fair use than do unpublished works or non-factual, fictional, creative works;
• The amount and substantiality of the portion used in relation to the copyrighted work as a whole: If the portion of the work copied or used in relation to the entire work is quantitatively and qualitatively insignificant that supports a finding of fair use.  No specific number of words or percentage copied of the work is set as being permissible.  Copying of a minor portion of a work may be found to be other than a fair use if the portion constitutes the essence or critical part of the copied or used work.  Users of copyrighted works are encouraged to post links to articles and materials whenever possible rather than duplicating complete works.; and
• The effect of the use upon the potential market for, or value of, the copyrighted work: This factor is considered the most important element to be considered under the fair use analysis.  Duplication or use of a copyrighted work that is not detrimental to and does not diminish the potential market for the work will support a finding of fair use.

The U.S. Copyright Office, itself, admits in FL-102 that the determination of fair use can be challenging. “The distinction between fair use and infringement may be unclear and not easily defined.  There is no specific number of words, lines, or notes that may safely be taken without permission....The safest course is always to get permission from the copyright owner before using copyrighted material....When it’s impractical to obtain permission, use of copyrighted material should be avoided unless the doctrine of fair use would clearly apply to the situation.”

Resources

Resources intended to provide guidance to university faculty, staff, and students regarding fair use matters are available at http://libguides.canisius.edu/copyright.

Classroom Exemptions (Face to Face)

Instructors and students at an accredited nonprofit educational institution in the United States may —in compliance with certain stipulations—use, display, and/or perform in a classroom environment, any copyright-protected material or work without seeking the copyright holder permission normally required under U.S. copyright law.  This section explains these stipulations and provides a general description of the most common types of materials covered by the face-to-face classroom exception under Section 110(1) of U.S. copyright law.  Please click on the following links to learn more about what is permitted:

Face-to-Face Classroom Stipulations: The stipulations governing the display and performance of copyright-protected material in the classroom are few, but important:

• The copyright protected materials must be legally obtained;
• The intent and purpose of in-class use must be strictly educational;
• Distribution must be in a location designated primarily for educational purposes; and
• Both teaching and learning must be occurring simultaneously.

As with distance education, it is the individual responsibility of every instructor at Canisius University, in compliance with federal law, to make good faith determinations regarding copyright-protected materials used in class and be able to argue credibly in support of those determinations.

Displays and performances falling outside the qualifying stipulations above, may very well fall within the fair use guidelines; however, each should be carefully scrutinized for compliance before proceeding.  (See Fair Use).

Most Common Materials Covered: Under the face-to-face classroom exemption, all types of the following copyright-protected materials may be displayed and/or performed in the normal classroom environment.  The stipulation being that the intent is for educational (not entertainment) purposes.

• Printed Materials: Book chapters as well as newspaper, magazine and academic journal articles may, in most every instance be copied and handed out in class, the exception being consumables.  In other words, such things as copies of whole textbooks (handed out chapter-by-chapter in successive classroom sessions), standardized workbooks and/or test materials, etc., intended for commercial distribution and individual purchase, may not under any circumstances be copied and given to students as a hand-out.
• Musical Reproductions: Audio recordings of musical performances may be played in class in most every instance.  An exception would be playing background “elevator” music in a classroom.  Such use does not have a teaching and/or learning component and would therefore infringe upon the rights of the copyright holder.
• Still Images: Visual images or “stills” as they are commonly referred to, including photos, graphs, charts, diagrams, maps, slideshows, powerpoints, etc. may be shown in the classroom in most every instance.
• Audiovisual Materials: Segments of TV shows, documentary films and movies, etc. —illustrative of or related to course content— are allowed in most every instance.

TEACH Act

The TEACH Act (Technology, Education, And Copyright Harmonization Act) modified U.S. Copyright law as it pertains to the use of copyrighted works in digital distance education.  When all of its requirements are met, the TEACH Act permits the use of copyrighted materials without having to obtain prior permission from the copyright owner.

TEACH Act Requirements for the Institution and Information Technology Department

• The institution must be an accredited nonprofit educational institution or government body: Canisius University meets both of these requirements.
• The institution must have a copyright policy in place and inform faculty, staff, and students about the policy: The Canisius Copyright and Intellectual Property Policy meets this requirement.
• The institution must take steps to ensure that copyrighted materials are made available only to students officially enrolled in the course: This is accomplished through the synchronization of the university’s course management program with the university’s Student Information System.  Only those students who are officially enrolled in a course will have access to the course content within the university’s course management program.
• The institution must provide notice to students that materials used in connection with the course may be subject to copyright protection: All courses generated in the university’s course management program include a copyright statement.
  • Transmission must be made solely for and limited to students officially enrolled in the course.
  • Reasonable efforts must be made to prevent students from distributing the material after viewing it.
  • Technological protections must be implemented to prevent students from retaining and further distributing the course materials; e.g., video streaming.

TEACH Act Requirements for Instructors

• The performance or display of materials must be: under the control or actual supervision of an instructor, an integral part of the class session and analogous to what takes place in a face-to-face classroom.
• The performance or display must be directly related and of material assistance to the teaching content.
• Students must be informed that materials used in connection with the course may be subject to copyright protection.
• The instructor must use a lawfully made and acquired copy.
• Use is limited to performances and displays.  TEACH does not apply to materials that are for students’ independent use and retention such as textbooks, coursepacks, or readings.
• Analog works can be converted into digital works if no digital version is already available.

Note: The TEACH Act and fair use operate independently of each other.  Individuals may encounter situations in which TEACH does not apply to a specific resource; however the work might be useable under the provisions of fair use.

TEACH Act Resources

Resources intended to provide guidance to university faculty, staff, and students regarding the TEACH Act are available at http://libguides.canisius.edu/copyright.

Digital Millennium Copyright Act Exemption

The U.S. Copyright Office explains that “the Digital Millennium Copyright Act of 1998 (DMCA) was the foundation of an effort...to move the nation’s copyright law into the digital age...” and that the “...enactment of the DMCA was only the beginning of an ongoing evaluation by Congress on the relationship between technological change and U.S. copyright law.”[2]

“Section 1201(a)(1) of the copyright law requires that every three years [the Librarian of Congress] is to determine whether there are any classes of works that will be subject to exemptions from the statute’s prohibition against circumvention of technology that effectively controls access to a copyrighted work."[3]

Exemptions to DMCA

Some recent revisions may affect higher education.

United States Copyright Office has a "Statement from the Librarian of Congress on the Anticircumvention Rulemaking" (dated 7/26/2010) in which the Librarian of Congress, James Billington, describes which types of work are to be exempt from DMCA.

Resources

Resources intended to provide guidance to university faculty, staff, and students regarding the DMCA are available at http://libguides.canisius.edu/copyright.

Digital Millennium Copyright Act Notices and Takedown Requests

The Digital Millennium Copyright Act (DMCA) provides an opportunity for university and universities such as Canisius University to shield themselves from liability for the actions of users that infringe on the copyrights of others.  Any use of the university’s information technology resources to illegally transfer copyrighted material including, but not limited to, software, text, images, audio and video is strictly prohibited and may lead to serious consequences, including disciplinary action, suspension, and possible lawsuits resulting in substantial financial penalties. 

In accordance with the DMCA, Canisius University has designated the vice president for student affairs to receive and respond to reports of alleged copyright infringement.  This designation is listed on the university’s public facing website.  Employees receiving DMCA notices and takedown requests (i.e., notices send to the university’s webmaster or a librarian) must be routed to the vice president for student affairs.  See the university’s Peer-to-Peer File Sharing Policy for additional information.

The Digital Millennium Copyright Act specifies that any DMCA notice or takedown requests must be in writing (either on paper or electronic mail) and must include the following elements: a physical or electronic signature; description of the work claimed to be infringed; description of the allegedly infringing work and the location on the university’s website; contact information for the complaining party; a statement that the complaining party has a good faith belief that the use of the material in the manner complained of is not authorized by the copyright owner or law; a statement that the information contained in the notification is accurate, and under penalty of perjury, that the complaining party is authorized to act on behalf of the copyright owner.

Upon receipt of a DMCA notice or takedown request, the vice president for student affairs will work with the appropriate area vice president to ensure that the takedown procedure outlined in the Digital Millennium Copyright Act – US Copyright Law, Chapter 5, section 512(c)(3) is followed.  In addition, the vice president for student affairs (or appropriate area vice president if the violator is not a student) will notify the individual responsible for the content that the takedown has taken place, and inform them of their rights regarding counter-notice and putback procedures, which are outlined in the Digital Millennium Copyright Act – US Copyright Law, Chapter 5, section 512(g).

Asking for Permission

Please refer to the http://libguides.canisius.edu/copyright first to determine if permission is required.

When the Limitations & Exemptions Do Not Apply

If the desired use doesn’t seem to be permitted under any of the limitations & exemptions -- or, if in doubt -- it is best to seek permission from the copyright holder.  This is especially true when planning to digitize a work in order to deliver it from a website or learning management system.

When asking for permission, a letter will need to be written to the copyright holder (often a permissions director or editor).  The request may be sent through e-mail but, if not, a letter via the postal service or fax will work just as well.  Permission must be received in writing.

In the email or letter, be specific and spell-out exactly what is being asked for, including details like how many students will be in the class and the dates the material will be available to the students.  (If delivering the material to students using the university’s course management program, be sure to make the content inaccessible once that portion of the course is over.)

Resources

Resources intended to provide guidance to university faculty, staff, and students seeking permission to use copyrighted data from a copyright holder are available at http://libguides.canisius.edu/copyright.

Violation of Copyright Laws

Upon obtaining knowledge that material residing on its information technology resources is infringing or that its resources are being used for infringing activities or receiving a takedown request, the university will act expeditiously to remove or disable access to the infringing materials and may deny the users responsible further access to its resources.

Students and employees who violate the provisions of the university’s copyright policies are subject to disciplinary action pursuant to the university’s applicable disciplinary policies, as well loss of access to the university’s computer and network systems.

Visitors and others third party users who violate the provisions of the university’s copyright policies are subject to loss of access to the university’s information technology resources.  Moreover, the vice president for finance and administration may administer other appropriate sanctions.

In addition to the above, the receipt of, possession of, or distribution of copyrighted material without the permission of the copyright holder are a violation of the laws of the United States (Title 17, U.S. Code).  Violators of copyright law could be subject to criminal and civil sanctions.  A summary of the current criminal penalties for violation of federal copyright laws is as follows: the infringer may be required to pay the actual dollar amount of damages in an amount equal to the profits gained from the infringement or, alternatively, pay what are termed “statutory damages.”  Statutory damages can range from $750 to $30,000 for each work infringed, unless the court finds that the infringement was willful.  In such cases, the maximum penalty is increased to $150,000; the court may also award attorney fees and court costs, issue an injunction to stop the infringing acts and impound the illegal works; the infringer can be sent to jail for up to 10 years.

RELATED POLICIES

Acceptable Use of Information Technology Resources Policy

Copyright and Intellectual Property Property

Peer-to-Peer File Sharing Policy

2.1.4        Freedom of Expression Policy

PURPOSE

Canisius University values the freedom of expression and assembly.  At the same time, the university recognizes that such freedom must exist within the context of the law, common decency, and responsibility for one’s actions.  The university has therefore established procedures and guidelines, which seek to preserve the integrity of freedom of speech, thought, assembly and expression, including artistic expression, while at the same time preserving the right of the university to make fair, balanced, and considered judgments not to permit or exhibit expressions which are either not appropriate within the context of the mission of the university and its Catholic, Jesuit identity or in violation of federal or state law or established university policies. 

DEFINITIONS

Artistic Expression—includes but is not limited to the fine arts, the performing arts, the graphic arts or less traditional forms of creative expression, i.e., electronic, computer, etc.

POLICY

As a Catholic, Jesuit university, Canisius fosters an environment in which a variety of ideas can be reasonably proposed and critically examined.  In particular, student groups have a right to invite speakers to campus within reasonable limitations applied by the university (see Guest Speakers and Performers Policy).  The university recognizes that the free exchange of ideas and expression may produce conflict.  This exchange is an important element in the pursuit of knowledge.  Implicit in the pursuit of this exchange is the privilege to dissent and demonstrate in a peaceful and non-disruptive manner without unreasonable obstruction or hindrance in a manner consistent with the university’s mission, Jesuit affiliation, federal and state laws, and university policies.  The university expects that those who enjoy this privilege also accept the responsibility for their actions and for maintaining order.  The university also recognizes the rights of those who desire not to protest and who wish to continue to participate in the normal activities of the university.  As responsible participants in the university community, students, alumni, and employees can expect fair and impartial treatment in their relations with the university and their dealings with university officials.

PROCEDURES/GUIDELINES

Freedom of Expression Guidelines

An individual’s expression must not:

• Deny or infringe upon the rights of other students, employees, or guests of the university community;
• Disrupt or interfere with the general operation of the university;
• Endanger the safety of any member of the university community;
• Be obscene, slanderous, or inappropriate within the context of the university’s mission or its status as a Catholic and Jesuit university;
• Demean an individual(s) on the basis of race, color, sex, religion, ancestry, national origin, age, sexual orientation, disability, veteran status, gender identification, or genetic information, or any other characteristic protected by federal, state or local law;
• Create a volume of sound that prevents members of the university from conducting their normal activities;
• Obstruct pedestrian or vehicular traffic on campus;
• Obstruct or restrict the free movement of persons in any part of property owned or leased by the university;
• Deny the normal use of offices or other facilities to the students, employees or guests of the university;
• Result in the defacement or destruction of university property;
• Violate federal, state, or local laws or established university policies.

Expressions uttered on campus or via the university’s information technology network must recognize the diversity of people and points of view.  Planned demonstrations, lectures, exhibits or artistic performances, whether presented on campus or via the university’s information technology network, that may be potentially offensive or controversial, if deemed appropriate and approved in advance in accordance with established approval procedures, must be advertised as such so people can make an informed decision before attending the event.  (See the Guest Speakers and Performers Policy for relevant approval procedures).

Employees and students of the university are citizens and members of an educational institution.  When they speak, write or create art, they are free from institutional censorship or discipline within the guidelines above.  Moreover, as members of the university, employees and students who freely choose to be part of the university have additional obligations imposed upon them.  They must remember that the public might judge the university by their words and works.  They must at all times exercise appropriate sensitivity, show respect for the opinions of others, and recognize that their words, actions and expressions will reflect on Canisius University.  They are also responsible for making clear that they are participating in such activities only as individuals and not on behalf of, at the direction of, or with the encouragement of the university.

Inevitably there will be differing opinions or doubt regarding whether the university should permit a planned assembly, demonstration, exhibit, or artistic performance.  At such times and in situations not specifically addressed in the Canisius University Policy Manual, the president will decide whether to approve the proposed assembly, demonstration, exhibit, or artistic performance. 

In permitting freedom of expression within the guidelines set forth above, the university does not endorse, or relieve any person from legal liability for actions that amount to libel, slander, or obscenity.  Moreover, by supporting the exercise of freedom of expression on campus, Canisius University does not sanction the messages that are being declared or the methods of expression used, unless expressly stated otherwise.  Finally, the university reserves the right to (a) adopt and enforce rules and regulations as it may deem necessary and proper in order to serve the interest of health and safety, prevent disruption of the educational process or working environment, and to protect against the invasion of the rights of others; and (b) may cancel any planned assembly, demonstration, exhibit or artistic performance that creates a public health or safety concern, disrupts the educational or working environment, or uses the university as a platform to disparage the Catholic Church or mission of the university.

RELATED POLICIES

Academic Freedom Policy

Demonstrations Policy

Anti-Discrimination and Non-Harassment Policy

Notice of Non-Discrimination Statement TBA (will be added to Volume II)

Guest Speakers and Performers Policy

Sexual and Gender-Based Misconduct Policy

2.1.5        Gambling Policy

PURPOSE

The purpose of this policy is to define Canisius University’s position related to gambling events and bookmaking activities on campus.

POLICY

Gambling while on university property or at university-sanctioned events is not acceptable behavior or permitted.  The following forms of gambling or bookmaking are prohibited on university property or as part of any university activities:

• Betting on, wagering on, or selling pools on any athletic event, whether professional or amateur; or betting on brackets, fantasy leagues, video game tournaments, or internet gambling;
• Possessing on one’s person (or in a room, car, etc.) any card, book, or other device for registering bets;
• Using or knowingly permitting the use of one’s premises, computer, telephone, or other electronic communication device for illegal gambling;
• Knowingly receiving or delivering a letter, package, parcel, or electronic communication related to illegal gambling;
• Offering, soliciting, or accepting a bribe to influence the outcome of an athletic event;
• Involvement in bookmaking with respect to sporting events or games of chance;
• Playing cards or other games of chance for money;
• Participation in unauthorized raffles or lotteries; and
• Any similar acts of gambling or betting, as those terms are commonly understood or as identified under New York or federal law.

In addition to the restrictions listed above, Athletics Department staff and student-athletes must adhere to NCAA regulations, and are therefore prohibited from participating in any sports gambling activities, whether on- or off-campus, concerning any intercollegiate or professional athletics team or competition on any sport in which the NCAA sponsors a championship in any division.  Moreover, university employees may not gamble while on duty regardless of location. These prohibitions apply without regard to whether the activities are legal under federal or state laws.

The university may hold, or authorize others to hold, gaming events (such as casino nights and raffles) for fundraising or other legal purposes upon approval (see Procedures/Guidelines below).

Violations of the law or of this policy may be grounds for criminal prosecution and referral for university disciplinary action.

DEFINITIONS

Gambling—playing a game of chance, with an uncertain outcome, for money or some other valuable item.

Bookmaking Activities—accepting the bets of others on the outcome of sports or other contests.

PROCEDURES/GUIDELINES

Approval of Non-Cash Gaming Events for Charitable Purposes

The vice president for student affairs and the vice president for institutional advancement (or designee) must jointly approve all raffles and sales for charitable purposes requested by students or a student organization.  The vice president for institutional advancement (or designee) will approve all raffles and sales for charitable purposes requested by employees.

IRS Reporting

In compliance with IRS reporting requirements, the university will report a payment of winnings (unless the winnings are from poker, keno, bingo, or slot machines) when the amount paid is $600 or more and at least 300 times the amount of the wager.

Gambling Resources

University community members are encouraged to seek help for themselves or others in need of assistance by contacting one or more of the following offices or organizations:

On-Campus: Counseling Center (716) 888-2620

Websites:

www.gamblersanonymous.org

www.ncpgambling.org

RELATED POLICIES

Not applicable.

2.1.6        Guest Speakers and Performers Policy

PURPOSE

The purpose of this policy is to assure the opportunity for the free expression and exchange of ideas, to minimize conflict between the exercise of that right and the rights of others in the effective use of Canisius University facilities, to minimize possible interference with the university’s responsibilities as an educational institution, and to preserve the university’s status as a 501(c)(3) tax exempt organization.

POLICY

The sponsorship of off-campus speakers or performers on the campus and via the university’s information technology resources is restricted to academic and co-curricular departments, the administration, and officially registered student and employee organizations and must be approved in accordance with the procedures and guidelines set forth within this policy.

The university reserves the right to adopt and enforce rules and regulations as it may deem necessary and proper in regard to the issuance of invitations to outside or off-campus speakers or performers in order to serve the interest of health and safety, prevent disruption of the educational process or working environment, and to protect against the invasion of the rights of others.  Moreover, the university president may cancel any event or lecture that creates a public health or safety concern, disrupts the educational or working environment, or uses the university as a platform to disparage the mission of the university or its Catholic, Jesuit identity.  See the university’s Freedom of Expression Policy for additional information.  Finally, an invitation to speak or perform at Canisius University does not include license for unlawful activity or activity that endangers or imminently threatens to endanger the safety of any member of the community or any of the community’s physical facilities, nor any activity that disrupts or obstructs the functions of the university or imminently threatens such disruption or obstruction.

Note: This policy and corresponding procedures do not apply to speakers invited by course instructors to address students enrolled in a course they are teaching, or to internal faculty and/or staff seminars, workshops, conferences, or colloquia

DEFINITIONS

Guest Speakers and Performers—a person or group neither attending the university, nor otherwise employed by the university, who is invited to make a public address or give a public performance or lecture outside of the classroom environment.

PROCEDURES/GUIDELINES

Sponsorship and Approval of Guest Speaker and Performers Procedures:

Individuals or organizations at Canisius University intending to invite a guest speaker or performer to campus must:

• Determine who would be an appropriate speaker or performer given the university’s mission and Catholic or Jesuit identity;
• Consult with the appropriate Senior Leadership Team member with oversight responsibility for the individual or organization sponsoring the speaker or performer concerning the qualifications and appropriateness of the proposed speaker or performer and receive preliminary approval;
• Prepare a budget (include speaker’s fees, reception costs, transportation costs, etc.) and submit a funding request to the appropriate department head.  A W-9 will be required to pay the individual;
• Receive final approval from the appropriate Senior Leadership Team member. The written request to the appropriate Senior Leadership Team member must include the following: the name of the individual(s) to be invited, the group(s) to be addressed, and the subject and title of the presentation or performance; if a speaking engagement, a professional vita or description of the qualifications of the speaker to address the subject of the presentation; the purpose, time and date of the presentation or performance, facility requirements, audio-visual needs, food service needs, etc.; and any associated costs of the presentation (speaker fees, food costs, travel expenses, rental expenses, housing costs, etc.);
• Requests to invite a guest speaker running for political office must be approved by the Office of the President and otherwise meet the regulations and procedures set forth in the university’s Political Activities Policy;
• If the speaker or performance is approved by the appropriate Senior Leadership Team member, a contract rider and/or performance agreement will need to be approved by the Finance and Administration Office, which will forward the approved rider and/or performance agreement to the speaker or performer; and
• Once the signed contract rider and/or performance agreement are received, the appropriate Senior Leadership Team member signs the final documents.

Approval of a guest speakers or performer(s) does not necessarily imply approval or endorsement of the views expressed by the speaker, the attendees, or the sponsoring university party or organization.  The university realizes that some among the invited speakers or performers will espouse ideas that individuals and groups within the university community consider hostile to their interests, values, or feelings.  Speakers or performers that may be potentially offensive or controversial, if deemed appropriate and approved in advance in accordance with established approval procedures above must be advertised as such so people can make an informed decision before attending the event.

Reservation of University Facilities

The reservation of university facilities for guest speakers or performers is required to ensure that there is orderly scheduling of facilities and adequate preparation for the event, and that the occasion is conducted in a manner appropriate to the academic community.  Reservation of university facilities and spaces must be made in accordance with applicable event management policies once approval of the event is received from the president (see Approval Guidelines).

Honorarium Payments to Foreign Nationals

U.S. law significantly restricts what employment foreign nationals may accept.  Before committing to an honorarium for a foreign national, departments must ensure the person has the appropriate visa that allows such a payment.  For short-term visits made for the purpose of delivering a lecture or speech, only certain visa classifications are authorized to accept an honorarium.  An individual already in the U.S. may not necessarily be here in the correct visa classification.  For instance, diplomats, employees of foreign governments, military personnel, or others on foreign government representative visas, employees of the World Bank or political officers attached to a foreign embassy in the U.S. hold visa classifications specific to the duties of their posts and are not permitted to earn additional income through activities such as speaking engagements.  Do not assume that an international visitor holds the correct visa classification, especially if the individual is already in the U.S. departments must look at additional sources of information that could include the individual's passport visa or stamped I-94 card to determine visa classification.

Visitor for Business B-1: Foreign Visitors present in the U.S. on a B-1 visa may be paid an honorarium; however, such individuals cannot provide services at the university for more than 9 days and must not accept payment or expenses from more than 5 institutions in the 6-month period of the visa’s duration.  Other types of payments that a B-1 visa holder may receive while in the U.S. include reimbursement for expenses including accommodations, meals and travel expenses.  Payments may be made directly to the provider of the service or to the nonresident visitor (all expenses must have original receipts and are subject to Canisius Travel Policy restrictions).  NOTE: The 9-day/five institution rule does not apply to those who are only reimbursed for receipted expenses and not receiving honoraria.  “B” immigration holders are not employees.

Visitor for Tourism B-2: Prior to 2006, foreign visitors in the U.S. on a B-2 visa were prohibited from receiving payments of any kind for any reason.  Payments made on behalf of B-2 visa holders for such things as lodging or transportation were also prohibited. An easing of these rules came when an IRS general information letter from the Office of the Asst. Chief Council was published, allowing B-2s already in the U.S. to accept an honorarium for a speaking engagement.

Visa Waiver Program

Foreign nationals from a participating country in the Visa Waiver Program (VWP) do not have to have a visa to enter the U.S. for business or tourist travel.  However, they must have a machine-readable passport valid for six months past their expected stay in the U.S. (unless a country-specific agreement provides an exemption).  The foreign national may stay in the U.S. for business or tourist purposes for a maximum of 90 days.  No extension of the stay is allowed.

Travelers from a VWP country must submit their request for a travel authorization to the U.S. through the ESTA Program (Electronic System for Travel Authorization).  Travelers complete the ESTA on-line form before entering the U.S. prior to boarding, the carrier will electronically verify with U.S. authorities that the traveler has an approved travel authorization file through ESTA.

Since the ESTA program started, some individuals who have been invited to the US as a B-1 have reportedly been admitted as a B-2 even after showing the B-1 invitation letter. If the individual is in the US for strictly business activities i.e. academic activities but their immigration stamp is B-2 then in this situation the university can reconsider making payments such as honoraria and travel to a B-2 by using the B-1 rules since the university has considered both the visa type and the purpose for the trip.

For more information on which countries are in the program, see the Department of State website about the Visa Waiver Program: http://travel.state.gov/content/visas/en/visit/visa-waiver-program.html

What Activities Can Be Paid Through an Honorarium?

An honorarium may be paid to a foreign national for "usual academic activity or activities."  These activities include lecturing, teaching and sharing of knowledge or performance.

Honorarium Rule ("9/5/6" Rule)

Foreign nationals in B-1, B-2, VWB, and VWT status may accept an honorarium and/or reimbursement of travel expenses under the following conditions:

• For "usual academic activity or activities;"
• Nine (9) days or less at Canisius;
• The individual has accepted such payment from no more than 5 educational or research institutions (including Canisius); and
• In the previous 6-month period.

If the individual does not meet the honorarium rule, then they cannot be paid for the honorarium.  Foreign nationals holding a B-1/VWB or B-2/VWT visa who exceed the honorarium rule are not prohibited from giving an invited lecture at Canisius.  They cannot, however, be paid an honorarium.  There is nothing that says an honorarium has to be offered.

EXAMPLE

Dr. Jones from New Zealand is invited by the Geology Department to give a talk for which he will be paid an honorarium and expenses.  This is his first trip on a B-1 visa to the U.S.  He will be on campus for 5 days.  During this trip in the U.S. he is also giving talks at four other universities.  Dr. Jones has now used the full benefits provided by the honorarium rule.  He will not be able to accept an honorarium from another U.S. university for another six months.

Have the visitor complete the B1/B2 Short-Term Visitor Declaration Form and submit it as backup to payment request forms

Who is Eligible to Receive an Honorarium?

• B-1 or B-2 provided the individual meets the conditions of the honorarium rule.
• VWB (Visa Waiver Business) or VWT (Visa Waiver Tourist) provided the individual meets the conditions of the honorarium rule.

Withholding

An honorarium paid to a foreign national is subject to 30% withholding.  This withholding also applies to a nonresident alien entity.  Travel reimbursement is not subject to withholding because it is not considered income.

The university is generally required to withhold on the compensation payment at a 30% rate, although this rate may be reduced or eliminated if there is an income tax treaty between the United States and the foreign individual's country of residence.  To claim benefits under an existing tax treaty, an eligible nonresident individual must file a form with the university (Form 8233) which requires the foreign individual to provide a taxpayer identification number and identify the treaty article providing the exemption.  Tax treaty benefits are NOT automatic.

Letter of Invitation

A letter of invitation must be sent to every foreign national invited to Canisius who will receive an honorarium or reimbursement for travel expenses.  The letter must come from the department that is sponsoring the activity. The letter must contain the following information:

• Name of the event or activity;
• Date of the event;
• The amount of any honorarium that will be paid if any;
• Whether travel and/or incidental expenses will be reimbursed; and
• Contact information at the sponsoring department for further information.

Attach a copy of the offer letter as backup to payment request forms.

RELATED POLICIES

Event Management Policy for External Clients

Event Management Policy for Internal Users

Freedom of Expression Policy

Political Activities and Speakers Policy

2.1.7        Institutional Data Requests Policy

PURPOSE

The purpose of this policy is to ensure that statistical representations of Canisius University to the public and any external agencies/entities are consistent, factually correct, and reflect as positively as possible on the institution; to avoid any unnecessary duplication of effort and minimize the departmental and human resource requirements in responding to such requests; and to maintain a clearinghouse of statistical reports and responses to requests from external agencies/entities submitted by university personnel on behalf of the university or any school or department of the university.

POLICY

The Office of Institutional Research and Effectiveness is the official source for all institutional data (e.g., student enrollment, employee counts) and coordinates the collection and reporting of external data requests.  In order to ensure the accuracy and consistency of institutional data supplied to external sources, the Office of Institutional Research and Effectiveness must be contacted for the integration of data gathering, analysis, and dissemination of university or any school or department of the university data to external sources.

Note: Requests for university financial data must be submitted to the Office of Finance and Administration, which will work in collaboration with the Office of Institutional Research and Effectiveness in disseminating such data to external sources.

DEFINITIONS

Data Request—a request for information about Canisius University students, courses, faculty, finances, research, universitys, schools, departments, or staff that is going to be used to support the administration of the university or its programs.

PROCEDURES/GUIDELINES

Responses to Data Requests that require the provision of university data that has not been published and compiled must be coordinated through and approved by the Office of Institutional Research and Effectiveness.  The Canisius University Fact Book published each year by the Office of Institutional Research contains official Canisius University data.  University trustees, employees, volunteers, contractors, vendors, etc. receiving such requests may use this publication as a primary source of information for data request responses before sending the response to the Office of Institutional Research and Effectiveness for final approval.

RELATED POLICIES

Not applicable.

2.1.8        Political Activities and Speakers Policy