3.3             Workplace Policies

The policies in this section identify many, but not all, of the University’s important workplace policies.  University employees are reminded that as members of the University community they are expected to be familiar with all relevant University policies and practices that have significance for their performance, including but not limited to those set forth in this Volume III and other volumes of the Canisius University Policy Manual, as well as the Catalogs and applicable departmental/divisional/administrative handbooks.

3.3.1        Absence and Tardiness (Staff) Policy

PURPOSE

The purpose of this policy is to provide guidelines which define acceptable attendance expectations for all administrative staff, staff, student employees, and grant supported employees (“employees”).

POLICY

It is the policy of Canisius University that employees maintain a strong record of attendance and punctuality.  Employees who are absent from work for three consecutive work days without notifying their immediate supervisor or Human Resources will be considered as having voluntarily resigned.

Employees expected to be out for five working days are required to contact Human Resources and apply for NYS Disability.

DEFINITIONS

Not applicable.

PROCEDURES/GUIDELINES

Unless exigent circumstances exist, employees unable to report to work must notify their immediate supervisor at least an hour before their shift begins on that work day, giving reason for absence and estimated time off.  Prompt notification is required: (1) to protect the employee’s leave credits, and (2) to allow appropriate arrangements to be made to cover the work.  If the immediate supervisor cannot be reached, the employee should contact the secondary contact within the department in the absence of the immediate supervisor.

Emergencies and illnesses do arise, but frequent absence or tardiness, as well as failure to give proper notice, will result in discipline, leading up to release from employment.

RELATED POLICIES

Discipline (Staff) Policy

Absences and Leaves Policies

3.3.2        Anti-Bribery Policy

PURPOSE

The purpose of this policy is to comply with requirements of the Federal Foreign Corrupt Practices Act.

POLICY

Canisius University prohibits anyone acting on its behalf to bribe any person, including but not limited to any foreign official.  This policy applies to informal interactions as well as formal agreements.

Any contracts with or involving foreign officials must be in writing and reviewed by the Vice President for Finance and Administration prior to execution of any such contract.  Specific contract language and provisions are required by the University to address compliance with the Foreign Corrupt Practices Act and this policy, including for contracts with third parties engaged by the University to represent its interests in another country.  

DEFINITIONS

Bribery—the offering of money, favors or other incentives to someone in a position of trust in order to induce or obtain preferential treatment or an unfair advantage.  Guidance and additional information on the Foreign Corrupt Practices Act can be found at the U.S. Department of Justice website: http://www.justice.gov/criminal/fraud/fcpa/

Foreign Official—means any official or employee of a foreign government, or any department, agency, or instrumentality thereof, or any public international organization, and includes agents acting in an official capacity for or on behalf of any such government, department, agency, or instrumentality, or public international organization.

PROCEDURES/GUIDELINES

Reporting Procedures

University employees must report any concerns with respect to this policy to an immediate supervisor or to any member of the senior leadership team.  In addition, individuals may also make a report by following the procedures set forth in the University’s Whistleblower Policy.

Those who report violations in good faith and in an appropriate manner, whether or not further investigation substantiates the claim, will be free from retaliation in any form.  The identity of complainants will be protected, within legal limits, and those who retaliate against them will be disciplined.  All reported violations will be investigated promptly.

Violations of Policy

Violations of this policy will result in the University taking appropriate disciplinary action against the violator, up to and including discharge from employment with the University.  Disciplinary action will be taken in accordance with the University’s policies and procedures that apply to the violator.  Conduct that violates this policy with respect to payments to foreign officials also may result in civil or criminal charges and penalties against the violator in accordance with The Foreign Corrupt Practices Act.

RELATED POLICIES

Gratuities and Kickbacks Policy

Procurement Policy and Purchasing Procedures

Standards of Ethical Conduct

Whistleblower Policy

3.3.3       University Closing and Class Cancellation Policy

PURPOSE

The purpose of this policy is to establish policy, procedures, and guidelines regarding the closure of the University campus and class cancellations.

POLICY

A. Circumstances may require the closing of all, or part, of the University’s operations and the cancellation of classes.  Such determinations will be made and announced in accordance with the procedures and policy guidelines set forth in this policy. 

Depending on the nature of the events, some University positions may be considered to be essential.  Employees in such positions may be required to report to work during an official University closedown.  At the time of hire and beginning each fall semester thereafter, employees in essential services positions will be so notified by the employee’s supervisor.  See the Procedures/Guidelines section of this policy for additional information.

DEFINITIONS

Essential Operating Personnel—include public safety administrators, officers and public safety staff, facilities management administrators and facilities staff and certain other administrators and staff determined by the senior leadership team.

PROCEDURES/GUIDELINES

The president, in consultation with the vice president for academic affairs, the vice president for student affairs, and the Vice President for Finance and Administration, will make decisions regarding class cancellations and/or campus closings.  Class cancellations and campus closings will be announced via local media outlets, as well as the Canisius Alert System and the Canisius University website.

Weather or Emergency Conditions Exist in Surrounding Area, But the University Remains Open and Classes are in Session

On such days that hazardous conditions exist in surrounding areas, but do not affect the University, the University will remain open and classes will be in session.  Students who are absent on such days will be responsible for making up any work missed.  Employees who do not report must notify their supervisors.  Full-time hourly employees who do not report will not be paid but may charge such absence to earned vacation or personal leave.  Part-time employees may charge earned vacation. Salaried employees who do not report to work may charge such absence to earned vacation or personal leave unless you have approval from the Supervisor to work remotely.

In-person Classes are Cancelled

On days where it becomes clear that the University is likely to have a large number of class cancellations, the University may elect to cancel in-person classes but otherwise leave the University open for business.  Individual professors have the discretion to provide online content (synchronous or asynchronous) for their in-person courses on these days; if providing online content professors must notify their students via the Canisius University Learning Management System and via email. If the University’s media announcements say “Classes Cancelled”, the University offices will remain open and all administrators and staff are expected to report to work.  Employees who do not report must notify their supervisors and are expected to work remotely.  All full-time employees who do not report may charge such absence to earned vacation or personal leave. Part-time employees may charge to earned vacation.

University is Closed

If the University’s media announcements say that the “University is Closed” only essential operating personnel are to report to work. 

All full-time  employees will be expected to work remotely or  may charge such absence to earned vacation or personal leave. Part-time employees may charge to earned vacation.

Early Dismissal Due to Weather

When employees are officially dismissed prior to the end of their normal shift due to weather conditions, they will be paid their full regular wages for the day.  Employees leaving before the officially designated time of dismissal will not be paid beyond time of departure.

Vacation Leave

When administrators and staff are on scheduled vacation leave and the University closes due to weather and/or emergency conditions, vacation leave is recorded as scheduled.  Administrators and staff do not receive additional time off.

RELATED PROCEDURES

Crisis Response Plan TBA

3.3.4        Confidential Information Policy

PURPOSE

The purpose of this policy is to provide University employees with a basic understanding of their responsibilities to protect and safeguard the University information to which they have access as a result of their employment and to establish guidelines for the use and dissemination of such information.

POLICY

Employees are entrusted with many kinds of confidential, proprietary and private information (“University information”) as a result of their affiliation with the University.  University employees who have access to University information shall use this information only for official University purposes in accordance with the guidelines set forth in this policy and shall not use this information for any personal or illegal advantage, either during or after employment.  Furthermore, University employees shall not make any unnecessary or unauthorized disclosures of such information, either during or after employment.

DEFINITIONS

University Information—is any data related to the business of the University including, but not limited to: financial, personnel, student, alumni, communication, and physical resources. It includes data maintained at the departmental and office level as well as centrally, regardless of the media on which they reside.  Examples include: credit card information; tax identification numbers; payroll information; cafeteria plan check requests and associated paperwork; student, parent, and employee tuition and loan accounts information; student educational records as defined by FERPA; photographic images (especially of face or other identifying characteristic), fingerprints, handwriting, or other biometric data (e.g., retina scan, voice signature, facial geometry); medical or financial information for any employee, temporary worker, or student; other personal information to include date of birth, address, phone numbers, maiden names, customer numbers, social security numbers; University contracts; University research data; alumni and donor records; personnel records; University financial data; passwords; University proprietary information/data; and any other information for which access, use, or disclosure is not authorized by: a) federal, state, or local law; or b) University policy or operations.

University Employees—Canisius University executive officers, administrators, faculty, staff, student employees, contractors, and others who act on behalf of the University.

PROCEDURES/GUIDELINES

General Policy Guidelines

The following policy guidelines govern confidentiality at Canisius University:

• All University employees with job duties that require them to handle confidential University information are required to safeguard such information and only use it or disclose it as expressly authorized or specifically required in the course of performing their specific job duties.  All such employees will be required to sign a data confidentiality agreement;

• University employees who have been assigned personal access codes to work with systems that generate, store or manage University information bear the responsibility for preserving the complete confidentiality of such codes to ensure against unauthorized use by any other person.  University employees who negligently or intentionally share their system passwords or accounts with anyone else for any reason will be held responsible for any resulting misuse of the system by others;

• University employees who have any reason to believe or suspect that someone else is using their personal access codes or passwords must immediately notify their supervisor;

• All University employees have a duty to use available physical, technological, and administrative safeguards to protect the security of all University information in whatever form or medium and abide by all applicable University, state and federal guidelines, policies, regulations, statutes and procedures pertaining to security, confidentiality and privacy, including, but not limited to the following University policies: Student Records (FERPA); Information Security; Identity Theft Prevention; and Health Insurance Portability and Accountability Act;

• Student education records are governed by the Family Educational Rights and Privacy Act (FERPA) and applicable University policy.  FERPA-protected student education records must not be disclosed under any circumstances absent the express consent of the student (or former student) or as authorized by the registrar.  Although FERPA also permits the University to disclose student directory information (as defined by FERPA), no such information may be disclosed until the registrar (or a designee) has confirmed that the student has not elected to restrict his or her directory information, as permitted by FERPA;

• University employees are expected to complete University-sponsored training relevant to the information/materials being handled; and

• University employees must notify their supervisor, department head, or area vice president of any violation of these guidelines.

Violations of Policy

Violations of this policy will result in the University taking appropriate disciplinary action against the violator, up to and including discharge from employment with the University.  Disciplinary action will be taken in accordance with the University’s policies and procedures that apply to the violator.  Conduct that violates this policy also may result in civil or criminal charges and penalties against the violator.

RELATED POLICIES

Health Insurance Portability and Accountability Act Policy

Information Security Program

Standards of Ethical Conduct

Student Records (FERPA) Policy

3.3.5        Conflict of Interest Policy

PURPOSE

The purpose of this policy is to establish a standard of conduct to protect the financial well-being, reputation, and legal obligations of the University, as well as establish a method to protect the University community from questionable circumstances that might arise and to resolve any apparent or real conflict of interest.

POLICY

Canisius University representatives (as defined below) have a duty to avoid entering into financial, business, or other relationships that conflict with the interests of the University or interfere with the performance of their professional duties.  Generally speaking, a conflict of interest arises when a University representative’s personal interests or financial affairs interfere with his or her professional judgment or job performance.  Additionally, interested persons (as defined below) have certain additional duties to the University, including duties to disclose relationships that result in or may result in related party transactions, as further explained in the Procedures/Guidelines section of this policy.

DEFINITIONS

Affiliate - any entity controlled by or in control of the University.

Compliance Officer—the human resources manager, who performs the function of the University’s overall ethics and compliance officer.

University Representatives - Canisius University trustees, executive officers, administrators, staff, student employees, contractors, and others who act on behalf of the University.

Conflict of Interest - a conflict of interest may occur when a University representative’s direct or indirect financial interest or personal interest; participation in any business, transaction or professional activity; or incurring of any obligation of any nature that is or appears to be in substantial conflict with the University representative’s duties to the University.  In addition, a conflict of interest may occur when an interested party has another interest that may adversely affect the University’s reputation or the public’s confidence in its integrity.

Circumstances suggesting a conflict of interest may include, but are not limited to the following: (i) The University representative is an officer, director, partner, trustee, employee, advisory board member, or agent of an external organization or corporation providing goods and services to the University; (ii) The University representative is the actual or beneficial owner of more than five percent (5%) of the voting stock or controlling interest of such organization or corporation or voting stock of such organization or corporation that exceeds $10,000 in value as determined by reference to public prices or other reasonable measures of value; (iii) The University representative has dealings with such organization or corporation from which he or she expects to receive salary, royalties or other payments of more than $10,000 during the next twelve months; (iv)  Any of the University representative’s relatives, or the University representative together with his or her relatives meet any of the criteria stated in i-iii above.

Financial Interest - a person has a financial interest if the person has, directly or indirectly, through business, investment, or a related party: (1) An ownership or investment interest in any entity with which the University has a transaction or arrangement; (2) A compensation arrangement with the University or with any entity or individual with which the University has a transaction or arrangement; or (3) A potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which the University is negotiating a transaction or arrangement.  Compensation includes direct and indirect remuneration as well as gifts or favors that are not insubstantial.  A financial interest is not necessarily a conflict of interest.  Under Section 5(c)(ii)(ii), a person who has a financial interest may have a conflict of interest only if the audit committee decides that a conflict of interest exists.

Interested Person - any trustee, officer, key employee, or member of a committee with board of trustees-delegated powers, who has a direct or indirect financial interest.

Key Person - any person, other than a director or officer, whether or not an employee of the University, who (i) has responsibilities, or exercises powers or influence over the corporation as a whole similar to the responsibilities, powers, or influence of directors and officers; (ii) manages the University, or a segment of the University that represents a substantial portion of the activities, assets, income or expenses of the University; or (iii) alone or with others controls or determines a substantial portion of the University’s capital expenditures or operating budget.

Other Interest—any interest that may impair or might reasonably appear to impair such person’s independent, unbiased judgment in the discharge of her/his fiduciary responsibilities to the University.

Related Party - (i) Any trustee, officer, or Key Person of the University or any affiliate of the University, or any other person who exercises the powers of directors, officers or Key Person over the affairs of the University or any affiliate of the University; (ii) any Relative of any individual described in clause (i); or (iii) any entity in which any individual described in clauses (i) and (ii) has a thirty-five percent or greater ownership or beneficial interest or, in the case of a partnership or professional corporation, a direct or indirect ownership interest in excess of five percent.

Related Party Transaction - any transaction, agreement, or any other arrangement in which a Related Party has a Financial Interest and in which the University or any Affiliate of the University is a participant, with the exception of a transaction where the transaction itself or the related party’s financial interest in the transaction is de minimis; the transaction that would not customarily be reviewed by the board or boards of similar organizations in the ordinary course of business and that is available to others on the same or similar terms; and the transaction that “constitutes” a benefit provided to a related party solely as a member of a class of beneficiaries that the University intends to benefit as part of the accomplishment of its mission, which benefit is available to all similarly situated members of the same class on the same terms.

Relative - a Relative of an individual means (i) his or her spouse or domestic partner as defined in Section 2994-a of the New York Public Health Law; (ii) his or her ancestors, brothers and sisters (whether whole or half-blood), children (whether natural or adopted), grandchildren, great-grandchildren; or (iii) the spouse or domestic partner of his or her brothers, sisters, children, grandchildren, and great-grandchildren.

PROCEDURES/GUIDELINES

Reporting

Any University representative, other than an interested person, who feels that he or she may have a conflict, now or in the future, must report all pertinent details to his or her supervisor or the University’s compliance officer.  The supervisor will be responsible for referring the question to the appropriate vice president or the compliance officer.  

Any interested person must immediately disclose the existence of the conflict of interest to the audit committee of the Board of Trustees and all material facts with respect to the conflict of interest.

Each faculty member participating in a sponsored project must disclose whether or not he or she has external affiliations that may constitute a conflict by falling within the criteria stated in paragraphs (i)-(iv) of the conflict of interest definition.  Specific requirements for the disclosure and review of conflicts of interest are in the Canisius University Conflict of Interest Policy for Sponsored Research Projects.

Determination of Existence of Conflict of Interest for Interested Persons

With regards to potential conflicts of interest with respect to interested persons: (a) an interested person may make a presentation at the audit committee meeting, but after the presentation, he/she shall leave the meeting during the deliberation of, and the vote on, the transaction or arrangement involving the possible conflict of interest; (b) the chair of the audit committee shall, if appropriate, appoint a disinterested person or committee to investigate alternatives to the proposed transaction or arrangement; (c) after exercising due diligence, the audit committee shall determine whether the University can obtain with reasonable efforts a more advantageous transaction or arrangement from a person or entity that would not give rise to a conflict of interest; and (d) if a more advantageous transaction or arrangement is not reasonably possible under circumstances not producing a conflict of interest, the audit committee shall determine by a majority vote of the disinterested directors whether the transaction or arrangement is in the University’s best interest, for its own benefit, and whether it is fair and reasonable.  In conformity with the above determination, the audit committee shall make its decision as to whether to enter into the transaction or arrangement.

Note: If the audit committee has reasonable cause to believe that interested person has failed to disclose an actual or possible conflict of interest, it will inform the individual of the basis for such belief and afford the individual an opportunity to explain the alleged failure to disclose in accordance with the procedures above.  If, after hearing the response of the interested person and making such further investigation as may be warranted in the circumstances, the audit committee determines that the interested person has in fact failed to disclose an actual or possible conflict of interest, it will take appropriate disciplinary and corrective action.

Records of Proceedings

The minutes of the audit committee shall contain: (a) the names of the persons who disclosed or otherwise were found to have a financial interest in connection with an actual or possible conflict of interest, the nature of the financial interest, any action taken to determine whether a conflict of interest was present, the audit committee’s decision as to whether a conflict of interest in fact existed, and any resolution of the conflict of interest by the audit committee; and (b) the names of the persons who were present for discussions, deliberations and votes relating to the transaction or arrangement, the content of the discussion and deliberation, including any alternatives to the proposed transaction or arrangement, and a record of any votes taken in connection with the proceedings

Sponsored Research

In the area of research funded by commercial sponsors or federal agencies, conflicts of interest are situations in which faculty members may have the opportunity to influence the University’s business decisions in ways that could lead to personal gain or give improper advantage to members of their families or to associates.  Specific requirements for the disclosure and review of conflicts of interest are in the Canisius University Conflict of Interest Policy for Sponsored Research.

Related Party Transactions

With respect to any related party transaction involving the University and in which a related party which has a substantial financial interest, the Board of Trustees or an authorized committee thereof shall (i) provide the related party with an opportunity to present information concerning the related party transaction at a meeting of the Board of Trustees or the authorized committee but prior to the commencement of deliberations or voting related thereto; (ii) prior to entering into the transaction, consider alternative transactions to the extent available; (iii) approve the transaction by not less than a majority vote of the trustees or committee members present at the meeting; and (iv) contemporaneously document in writing the basis for the approval by Board of Trustees or the authorized committee, including its consideration of alternative transactions.  No related party may participate in deliberations or voting related to the related party transaction.

Compensation

• A voting member or officer of the Board of Trustees who receives compensation, directly or indirectly, from the University for services is precluded from being present at any deliberation and voting on matters pertaining to that member’s compensation.

• A voting member or officer of any committee whose jurisdiction includes compensation matters and who receives compensation, directly or indirectly, from the University for services is precluded from being present at any deliberation and voting on matters pertaining to that member’s compensation.

No officer or voting member of the Board of Trustees or any committee whose jurisdiction includes compensation matters and who receives compensation, directly or indirectly, from the University, either individually or collectively, is prohibited from providing information to any committee regarding compensation.

Annual Statements

Interested persons are subject to conflict of interest and related party scrutiny because of the potential for conflicts when such parties are doing business with the University.  It is recognized that corporations or entities owned or controlled by interested parties may be doing business with the University.  Each year and prior to each interested person’s election or appointment, the secretary of the Board of Trustees shall circulate a conflict of interest disclosure form to each Interested Person which such Interested Person shall, prior to his or her initial election or appointment and thereafter annually, sign and submit to the secretary of the University.  The disclosure forms will be reviewed by the board’s audit committee in accordance with the procedures outlined above and the existence of any conflicts will be reported to the executive committee of the board for appropriate action.  Such disclosure form will contain information:

1. Which affirms such person:

   1. Has received a copy of this Conflicts of Interest Policy;

   2. Has read and understands the policy;

   3. Has agreed to comply with the policy, and

   4. Understands that the University is charitable and in order to maintain its federal tax exemption it must engage primarily in activities which accomplish one or more of its tax-exempt purposes.

   5. In which such person has identified any entity of which such person is an officer, director, trustee, member, owner (either as a sole proprietor or a partner), or employee and with which the University has a relationship, and any transaction in which the University is a participant and in which the person might have a conflicting interest.

   6. The secretary shall provide a copy of all completed statements to the chair of the Board of Trustees.

Periodic Reviews

To ensure the University operates in a manner consistent with its charitable purposes and does not engage in activities that could jeopardize its tax- exempt status, periodic reviews shall be conducted.  The periodic reviews shall, at a minimum, include the following subjects:

• Whether compensation arrangements and benefits are reasonable, based on competent survey information and the result of arm’s length bargaining.

• Whether partnerships, joint ventures, and arrangements with management of the University conform to the University’s written policies, are properly recorded, reflect reasonable investment or payments for goods and services, further charitable purposes and do not result in inurement, impermissible private benefit or in an excess benefit transaction.

When conducting the periodic reviews as provided for in this section, the University may, but need not, use outside advisors.  If outside experts are used, their use shall not relieve the Board of Trustees of its responsibility for ensuring periodic reviews are conducted.

RELATED POLICIES

Research Policies

Standards of Ethical Conduct

3.3.6        Consensual Relations Policy

PURPOSE

The purpose of this policy is to establish a standard of conduct regarding consensual relations between a University employee with supervisory, teaching, evaluation or advisory authority and an employee or student who is supervised, taught, or advised by that employee.

POLICY

The University prohibits romantic and/or sexual relationships between faculty/staff members and undergraduate students regardless of whether the relationship is consensual.  The University also prohibits romantic and/or sexual relationships between faculty/staff members and those graduate students over whom the faculty/staff member has direct academic/administrative responsibility or is likely to have academic/administrative responsibility for in the future (for example, because the student is in the faculty member’s department), regardless of whether the relationship would be consensual.  Nor may a faculty member exercise academic responsibility over an undergraduate or a graduate student with whom the faculty member has or had a romantic and/or sexual relationship, regardless of whether the relationship was consensual.  For purposes of this policy, “faculty member” includes any graduate student teaching assistants with respect to students whom they teach, supervise, or evaluate.

The University also actively discourages consensual relationships of an intimate or sexual nature between supervisory personnel and those staff who report to them.  The University discourages such relationships because, among other reasons, there is an implicit imbalance of power in them.  The University expects its supervisors and administrators to act in a fair, impartial manner when making administrative decisions, avoiding every appearance of impropriety or favoritism that might arise from consensual relationships.

DEFINITIONS

See policy statement above.

PROCEDURES/GUIDELINES

Non-Retaliation

No person shall retaliate against an individual for reporting a consensual relationship or participating in an investigation.  Any act of retaliation or reprisal violates this policy and will be treated as a separate matter.  Anyone found to have retaliated against someone making a report or participating in an investigation or disciplinary proceeding will be subject to corrective actions.

Corrective Action

Failure to comply with this policy can lead to disciplinary action, up to and including dismissal.  A more powerful party who enters into a consensual relationship and fails to comply with this policy should be aware that such action may constitute “malfeasance in office or willful or wanton neglect of duty.”  In such a case, the party may not be entitled to defense or indemnification by the University in any subsequent criminal or civil action or demand arising from or related to the relationship.

RELATED POLICIES

Sexual and Gender-Based Misconduct Policy

3.3.7        Required Reporting of Criminal Convictions & Arrests During Employment Policy

PURPOSE

The purpose of this policy is to establish a mandatory process by which all University employees must report any criminal conviction(s) and arrests occurring during employment and to set forth procedures and guidelines by which any convictions will be evaluated and acted on.

POLICY

Canisius University employees have an affirmative obligation to report to Human Resources any criminal convictions, including pleas of guilty, pleas of no contest, entry into any judicial diversion program, including, but not limited to, an adjournments in contemplation of dismissal, and any arrests within five (5) working days of the occurrence.  Such occurrence may be a basis for disciplinary action, up to and including termination. 

DEFINITIONS

Criminal Conviction - a criminal conviction means as to any felony or misdemeanor offense, a verdict or plea of guilty or plea of no contest, any finding or acknowledgment of guilt or responsibility regardless of whether a sentence was imposed by the court, and entry into any judicial diversion program, including, but not limited to an adjournment in contemplation of dismissal.

PROCEDURES/GUIDELINES

Initial Assessment of Criminal Conviction or Arrest

Human Resources, in consultation with the appropriate area vice president, will review the nature of the conviction or arrest and make a recommendation to the employee’s supervisor on what, if any, action should be taken regarding employment status.  Human Resources may consider such factors as deemed appropriate, including the length of employment and performance reviews.  All information pertaining to the crime will then be reviewed confidentially.

If Human Resources, in consultation with the appropriate area vice president, determines that the conviction or arrest appears to materially interfere with or pose an unacceptable safety risk with regard to the performance of the employee’s job duties or is part of an ongoing and sustained pattern of illegal conduct, he or she will refer to the matter to the employee’s supervisor for appropriate action.

Failure to Report

An employee’s failure to report a criminal conviction or arrest within the specified time period may result in appropriate discipline in accordance with applicable disciplinary policies.

RELATED POLICIES

Alcohol and Drug Prevention Program Policy

Background, Reference, and Verification Screens Policy

Sexual and Gender-Based Misconduct Policy

3.3.8        Discipline (Staff) Policy

PURPOSE

The purpose of this policy is to provide an effective and equitable process for the issuance of discipline to non-faculty employees that is the result of misconduct, unsatisfactory performance, and/or behavioral issues.

POLICY

It is the policy of the Canisius University to address non-faculty employee misconduct, unsatisfactory performance, and/or behavioral issues by administering the appropriate type of discipline sufficient to prevent a recurrence of such inappropriate behavior or misconduct.  In addition, it is the policy of the University to issue any discipline deemed warranted in a fair and equitable manner.  This policy shall not be considered or interpreted to create a progressive discipline process.  The University reserves the right to discipline or terminate an employee even if the action constitutes a first offense.  This policy applies to all University employees, with the exception of faculty (hereinafter “employees”).  Nothing in this policy is intended to modify the at-will nature of employment.

Note: Discrimination and harassment reports not involving sex or gender-based discrimination or harassment will be investigated and resolved pursuant to the University’s Discrimination and Harassment Policy (see Volume VIII of the Canisius Policy Manual).  Reports of Sexual Discrimination and Sexual Harassment, including Hostile Environment caused by Sexual Harassment, Sexual Assault, Domestic Violence, Dating Violence, Sexual Exploitation, and Stalking will be investigated and resolved pursuant to the University’s Sexual and Gender-Based Misconduct Policy (see Volume VIII of the Canisius Policy Manual).

DEFINITIONS

Not Applicable.

PROCEDURES/GUIDELINES

Certain standards of performance and conduct must be maintained in any work group.  Work performance encompasses many factors, including attendance, punctuality, personal conduct, job proficiency, and general compliance with the University’s policies and procedures and Standards of Ethical Conduct.  If an employee does not meet these standards, the University may, under appropriate circumstances, take disciplinary action.

Examples of conduct that may result in discipline, up to and including termination, including, but are not limited to, the following: unsatisfactory work performance; poor attendance (including frequent tardiness); abuse of sick leave privileges; discrimination and/or harassment,* including sexual harassment; discourteous treatment of public or other employees); refusal to do work reasonably expected; failure to fulfill the duties of the office or the job; wrongful use or taking of University property or the property of another; falsification of information supplied on employment application and hiring papers; falsification of work or attendance records; insubordination; neglect or dereliction of duty; performance ability impaired by alcohol or drugs; violation of safety rules; violation of office confidentiality; unprofessional conduct; moral turpitude; gambling; non-compliance with other applicable  University’s policies and procedures and the Standards of Ethical Conduct, etc.

* Note: Discrimination and harassment reports not involving sex or gender-based discrimination or harassment will be investigated and resolved pursuant to the Discrimination and Harassment Policy (see Volume VIII of the Canisius Policy Manual).  Reports of Sexual Discrimination and Sexual Harassment, including Hostile Environment caused by Sexual Harassment, Sexual Assault, Domestic Violence, Dating Violence, Sexual Exploitation, and Stalking will be investigated and resolved pursuant to the University’s Sexual and Gender-Based Misconduct Policy (see Volume VIII of the Canisius Policy Manual).

Types of Disciplinary Action

The following disciplinary actions may be taken to address unsatisfactory performance or conduct.  The order in which the following actions are presented does not create, nor is it intended to create, a progressive discipline policy.  The University explicitly reserves the right to determine the appropriate disciplinary action to be used based upon the nature of the offense.  One level of discipline will not necessarily precede another and levels may be skipped, including proceeding immediately to termination.  Moreover, when, in the judgment of the employee’s supervisor, the conduct in question warrants a warning, counseling or disciplinary action, Human Resources must be contacted.

Counseling: An employee demonstrating unsatisfactory service or conduct of a less serious nature will usually be counseled by the supervisor.  If performance does not improve, the supervisor may exercise any of the other disciplinary options listed herein.

Written Warning: When the nature of the misconduct or behavior warrants the issuance of a written warning, the supervisor should discuss the conduct in question and present the written warning to the employee.  The written warning must identify the problem and outline a course of corrective action within a specific time frame. The employee should clearly understand both the corrective action and the consequence(s) if the problem continues to occur.  The supervisor is required to meet with the employee when presenting the written warning in order to ensure that an explanation of the disciplinary action is provided. Employees are required to sign the provided warning, signifying receipt of such communication.  Three written warnings on the same problem within one year will result in termination.

Suspension: A suspension is a form of disciplinary action that operates to remove an employee from duty for a defined period of time without pay.  The period of suspension will be based upon the factual circumstances surrounding the conduct in question.  Suspensions will be confirmed in writing to the employee, and include the reason for the suspension, the date and time the suspension begins, and the date and time the employee is expected to return to work at the conclusion of the suspension.  Additionally, the suspension will also set forth corrective action to be taken by the employee upon his/her return, and the consequence of continuing to engage in the misconduct.

If a suspension is for more than one (1) day, it will occur on consecutive working days.  A suspended employee is prohibited from making up time and/or wages which were lost as a result of the suspension.  Failure to return to work upon the expiration of the suspension period will constitute abandonment of the employee’s position with the University and will be processed as a voluntary resignation of employment with ineligibility for rehire.

Termination: Any employee whose conduct, in the sole discretion of the University, violates the University’s standards of work performance, may be terminated based upon the factual circumstances surrounding the conduct.  Under these circumstances, 10-days’ notice (or 10 days’ pay in lieu of notice) of dismissal normally is given, but this may be reduced or waived in cases of more serious offenses as determined by Human Resources in consultation with the area vice president.  During the introductory period, termination may be initiated by either the employee or the University without notice, without reasons being given and without a right to appeal.

Employees who feel the notice of termination is unwarranted may follow the problem resolution policy.  Use of the problem resolution process does not postpone the scheduled date for termination.  In the event that the employee raises issues of employment discrimination and/or alleged violations of federal, state and/or local labor and employment laws as part of the problem resolution process, the matter will be investigated and resolved in accordance with either the Discrimination and Harassment Policy or the Sexual and Gender-Based Misconduct Policy as applicable.

Administrative Leave Pending Investigation

In cases where the employee’s presence at work may interfere with the performance of an investigation or pose a threat to others, the employee in question may be placed on administrative leave with pay pending the outcome of the investigation.  The president of the University, in consultation with the employee’s supervisor and Human Resources, will be responsible for approving the placement of an employee on administrative leave with pay when warranted. 

RELATED POLICIES

Anti-Discrimination and Harassment Policy

Problem Resolution (Staff) Policy

Separation from Employment (Staff) Policy

Sexual and Gender-Based Misconduct Policy

3.3.9        Employee Accessibility (ADAA) Policy

PURPOSE

The purpose of this policy is to set forth provisions for the University’s compliance with relevant legislation and establishes the Canisius University’s intent that qualified persons with disabilities be provided with reasonable accommodation to ensure equal access and equal opportunities with regard to the University’s programs and services.  This policy is intended to provide a method by which the University will process employee requests for disability accommodations.

POLICY

It is the policy of Canisius University to comply with the Americans with Disabilities Act of 1990 (ADA), the Disabilities Amendments Act of 2008 (ADAAA), the New York Human Rights Law (“Human Rights Law”), applicable provisions of the Rehabilitation Act of 1973, and applicable local laws that forbid discrimination against qualified individuals with disabilities.  Accordingly, Canisius University provides reasonable accommodations to qualified employees and applicants who have disabilities where such accommodations would not cause the University undue hardship.  Canisius University strives to foster a culture where employees feel no hesitation about requesting accommodations.

Persons with disabilities are held to the same standards of conduct as other employees, students, or visitors, and a disability will not excuse misconduct.

For inquiries regarding non-discrimination on the basis of disability, employees and applicants for employment should contact Human Resources, who has been designated to coordinate the University’s compliance efforts with the ADAAA and applicable local laws that forbid discrimination against qualified individuals with disabilities as they pertain to employees and other third parties.  As the University’s ADA Coordinator for employees and other third parties, Human Resources has overall responsibility for ensuring the University’s fulfillment of the University’s commitment to comply with applicable disability laws, and serves as the point of contact to whom concerns about disability law compliance may be directed if other University policies procedures are not effective in addressing such concerns.

DEFINITIONS

Accommodation—Any change in the work environment, the educational experience, or the provision of services that enables a qualified individual with a disability to enjoy equal opportunity to perform the job, participate in the educational experience, or receive the provision of services.

Disability—The ADA defines an individual with a disability as any person who (1) has a physical or mental impairment which substantially limits one or more major life activities; (2) has a record of such impairment; or (3) is regarded as having such an impairment.  The Human Rights Law has a broader definition of disability that includes any physical or mental impairment that prevents the exercise of a normal bodily function or is demonstrable by medically accepted clinical or laboratory diagnostic techniques.

Documentation—Those documents and reports that are required to be presented to the University by the person requesting an accommodation before any accommodation will be provided. Documentation consists of official written communications from a relevant qualified treating health professional (such as a physician, surgeon, psychiatrist, physical therapist, etc.). This communication must be current and must describe the diagnosis and nature of the disability, the major life function(s) effected, the functional limitations of the disability, and the prognosis. The professional may also make suggestions regarding the accommodations being requested, and the University may ask the person requesting an accommodation to provide input from the professional concerning appropriate and meaningful accommodations.

Essential Function—A task or responsibility that is central (not marginal) to the purpose of the job, the class, or the activity.

Hardship—An undue hardship is an action that requires significant difficulty or expense in relation to the size of Canisius University, the resources available, and the nature of the job, operation or activity.

Major Bodily Functions—Major bodily functions include, but are not limited to, functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine and reproductive functions.

Major Life Activity—Major life activities include, but are not limited to caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, communicating and working and major bodily functions, which include functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine and reproductive functions. An individual's ability to perform a major life activity is compared to most people in the general population.

Qualified Individual with a Disability—One who, with or without reasonable accommodation, can perform the essential functions of a particular job or meet specific academic/program requirements for participation in a University sponsored program, service or activity.

Reasonable Accommodations—An action that may be taken by the University to accommodate an individual with a documented disability, without imposing an undue hardship on the University.

Substantially Limits—An individual’s major life activity is substantially limited if he/she is unable to perform a major life activity that an average person in the general population can perform.  An impairment that is episodic or in remission is a disability if it would substantially limit a major life activity when active.  Mitigating measures taken by the individual will not be taken into consideration in determining whether the individual is substantially limited in a major life activity, except for corrective eyewear.