*Full details of the Center's procedures will be updated as needed.

If a staff employee becomes involved in a grievance relating to the interpretation or application of Center personnel policies and practices, employee benefits, or other matters relating to the terms and conditions of employment, as they may from time to time exist, the employee shall have the opportunity to have such grievance heard and reviewed through the Center's Grievance Procedure. The Grievance Procedure shall include grievances in the following categories:

An employee has the right to use the Grievance Procedure for employment problems enumerated above if a mutually satisfactory solution to the problem has not been reached after an informal review by the employee's supervisor(s) and Human Resources.

This policy is applicable to all non-executive employees.

The following Procedure outlines the way in which employees may present a grievance to their immediate supervisors and, if they wish, to other branches of the Center Administration. A meeting of those individuals involved in the grievance will be held at each step of the Procedure.

Emergency grievances concerning employee health and safety may be given special attention, as the situation requires.

The Grievance Procedure also sets forth times during which each step of the Procedure is to be processed. Generally, if an employee does not appeal a decision within the specified maximum number of days, the grievance will be considered settled . However, it is recognized that due to unusual circumstances (days off, sickness, vacations, etc.), delays may occur in processing a grievance.

In such instances where the subject of the complaint involves the employee's immediate supervisor, the employee may initiate a grievance with the head of the Laboratory or Department (Step 2) and then move directly to Step 3.

Those employees working directly for the heads of Laboratories or Departments will initiate a grievance at Step 1 of the Procedure and then go directly to Step 3, unless the subject of the complaint involves the Laboratory or Department Head in which case the employee will initiate the grievance at Step 3.

The Center may initiate transfers at any time in response to the needs of the organization and the staff members.

It is the Center's policy that members of the Center community may not participate in or directly influence the hire, promotion, supervision, evaluation, salary and grade determination, or advise or otherwise directly influence the academic progress of another member of the community with whom the individual has personal relationships. Declaration and consultation with the President shall be mandatory for the member who is or will be in a position to engage in the activities delineated above. The goal of the consultation is to structure the conditions of the employment or academic association of the related parties to avoid or eliminate those activities without unreasonable disadvantage to either Center member. When a power disparity exists in the employment or academic association of the individuals in the personal relationship, the employment or academic interests of the subordinate must be protected when structuring the association.

NON-DISCRIMINATION AND ANTI-HARASSMENT POLICY

The Center is committed to a work environment in which all individuals are treated with respect and dignity. Each individual has the right to work in a professional atmosphere that promotes equal employment opportunities and prohibits discriminatory practices, including harassment. Therefore, the Center expects that all the relationships among persons in the workplace will be business-like and free of bias, prejudice, and harassment.

Equal Employment Opportunity

It is the policy of the Center to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, national origin, religion, sex (with or without sexual conduct), age, disability, citizenship, veteran status, marital status, sexual orientation, or any other characteristic protected by law. The Center prohibits, and will not tolerate, any such discrimination or harassment.

Definition of Harassment

Sexual harassment constitutes discrimination and is illegal under federal, state, and local laws. For the purpose of this policy, sexual harassment is defined, as in the Equal Employment Opportunity Commission Guidelines, as unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature when, for example:

(i) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;

(ii) submission to or rejection of such conduct by an individual is used as a basis for employment decisions affecting such individual; or

(iii) such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment. Sex-based harassment - that is, harassment not involving sexual activity or language (e.g., male manager yells only at female employees and not males) - may also constitute discrimination if it is severe or pervasive and directed at employees because of their sex.

Sexual harassment may include a range of subtle and not so subtle behaviors and may involve individuals of the same or different gender. Depending on the circumstances, these behaviors may include, but are not limited to: unwanted sexual advances or requests for sexual favors; sexual jokes and innuendoes; verbal abuse of a sexual nature; commentary about the individual’s body, sexual prowess or sexual deficiencies; leering, catcalls or touching; insulting or obscene comments or gestures; display or circulation in the workplace of sexually suggestive objects or pictures (including through e-mail); and other physical, verbal, or visual conduct of a sexual nature.

b.Harassment on the basis of any other protected characteristics is also strictly prohibited. Under this policy, harassment is verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of his/her race, color, religion, sex, national origin, age, disability, citizenship, sexual orientation, marital status, or any other characteristics protected by law or that of his/her relatives, friends, or associates, and that: (i) has the purpose or the effect of creating an intimidating, hostile, or offensive work environment; (ii) has the purpose or effect of unreasonably interfering with an individual’s work performance; or (iii) otherwise adversely affects an individual’s employment opportunities.

Harassing conduct includes, but is not limited to: epithets, slurs, or negative stereotyping, threatening, intimidating, or hostile acts; denigrating jokes and display or circulation in the workplace of written or graphic material that denigrates or shows hostility or aversion toward an individual or group (including through e-mail).

Individuals and Conduct Covered

These policies apply to all applicants and employees, and affiliates and prohibit harassment, discrimination, and retaliation whether engaged in by fellow employees, by a supervisor or manager, or by someone not directly connected to the Center (e.g., an outside vendor, consultant, or customer).

Conduct prohibited by these policies is unacceptable in the workplace and in any work-related setting outside the workplace, such as during business trips, business meetings, and business-related social events.

Retaliation Is Prohibited

The Center prohibits retaliation against any individual who reports discrimination or harassment or participates in an investigation of such reports. Retaliation against an individual for reporting harassment or discrimination or for participating in an investigation of a claim of harassment of discrimination is a serious violation of this policy and, like harassment or discrimination itself, will be subject to disciplinary action.

COMPLAINT PROCEDURE

Reporting an Incident of Harassment, Discrimination, or Retaliation

The Center strongly urges the reporting of all incidents of discrimination,harassment, or retaliation, regardless of the offender’s identity or position. Individuals who believe they have experienced conduct that they believe is contrary to the Center’s policy or who have concerns about such matters should file their complaints before the conduct becomes severe and pervasive, with their immediate supervisors, and any NYSBC executive. In addition, it is the responsibility of any individual in a supervisory capacity having information about such acts or patterns of behavior to bring it to the attention of the President. The supervisor should not, under such circumstances, try to "handle the matter" alone. Individuals need not feel obligated to file their complaints with their immediate supervisor first before bringing the matter to the attention of one of the other Center designated representatives identified above.

IMPORTANT NOTICE TO ALL EMPLOYEES:

Employees who have experienced conduct that they believe is contrary to this policy have obligation to take advantage of this complaint procedure. An employee's failure to fulfill this obligation could affect his or her right to pursue legal action. Also, please note, federal, state, and local discrimination laws establish specific time frames for initiating a legal proceeding pursuant to those laws. Early reporting and intervention have proven to be the most effective method of resolving actual or perceived incidents of harassment. Therefore, while no fixed reporting period has been established, the Center strongly urges the prompt reporting of complaints or concerns so that rapid and constructive action can be taken.

The availability of this complaint procedure does not preclude individuals who believe that they are being subjected to harassing conduct from promptly advising the offender that his or her behavior is unwelcome and requesting that it be discontinued.

The Investigation

Any reported allegations of harassment, discrimination, or retaliation will be investigated promptly, thoroughly, and impartially. The investigation may include individual interviews with the parties involved and, where necessary, with the individuals who may have observed the alleged conduct or may have other relevant knowledge.

Confidentiality will be maintained throughout the investigatory process to the extent consistent with adequate investigation and appropriate corrective action.

Responsive Action

Misconduct constituting harassment, discrimination, or retaliation will be dealt with appropriately. Responsive action may include, for example, training, referral to counseling, monitoring of offender, and/or disciplinary action such as warning, reprimand, withholding of a promotion or pay increase, reduction of wages, demotion, reassignment, temporary suspension without pay, or termination, as the Center believes appropriate under the circumstances.

If an employee making a complaint does not agree with its resolution, the employee may appeal in writing to the President of the Center.

Individuals who have questions or concerns about these policies should speak with the Chief Operating Officer.

Finally, these policies should not, and may not, be used as a basis for excluding or separating individuals of a particular gender, or any other protected characteristics, from participating in business or work-related social activities or discussions in order to avoid allegations of harassment. The law and policy of the Center prohibit disparate treatment based on sex or any other protected characteristic, with regard to terms, conditions, privileges, and perquisites of employment. The prohibitions against harassment, discrimination, and retaliation are intended to complement and further these policies, not to form the basis of and exception to them. SCIENTIFIC MISCONDUCT POLICY

See legal and IP policies. SMOKING POLICY

The Center's policy on smoking establishes rules concerning the control of smoking in work and "public" areas to assure employee health, safety, and comfort.

Heads of Laboratories and Services will be expected to enforce this policy and to resolve any dispute between a smoker and a non-smoker under their supervision. If the Laboratory or Service Head cannot reach such a resolution, he or she can then seek the assistance of the Chief Operating Officer whose responsibility it will be to resolve the conflict within the framework of Center policy.

The basic components of the smoking policy are:

I. There will be NO SMOKING in the following areas:

1. Common and/or open work areas.

2. In laboratories, the auditorium, restrooms, conference rooms, elevators, hallways, stairwells, locker rooms, and rooms used in common by employees.

II. Smoking will be permitted in the following areas:

1. Private, single occupancy, enclosed offices--not including those in laboratories.

2. Outside Center buildings as designated.

III. As required by law, the following redress procedure is outlined:

If an employee or applicant for employment believes that he or she has been the victim of retaliatory adverse personnel action as a result of exercising his or her rights granted under this smoking policy, that employee should contact the Chief Operating Officer. Such adverse personnel action includes dismissal, demotion, suspension, disciplinary action, any action resulting in loss of compensation or other benefit, failure to hire, failure to appoint, and/or failure to promote or transfer.

If you have any questions about this policy, please contact the Chief Operating Officer. USE OF STATIONARY POLICY

Stationery and all other documents bearing the name of the Center should not be used for personal correspondence. The stationery is to be used only for professional matters related to the Center or to Center employees' professional work. Any order for stationery using the Center's address or logo, or any use of the logo in e-mail or web based dissemination requires written pre-approval of an NYSBC executive.

Any information included on Center stationery for personal or non-business use should not be considered private or confidential.

Employees and affiliates are responsible for complying with this policy and all other rules and procedures the Center establishes from time to time for use of its stationery. Employees who violate this policy are subject to discipline, up to and including dismissal. Affiliates are subject to disaffiliation. SUBSTANCE ABUSE POLICY

It is the policy of the Center to make every effort to ensure a drug-free workplace in order to protect the health, safety, and welfare of its employees and the public. The following guidelines have been established in order to maintain such an environment. Any violation of this policy will result in severe disciplinary action up to and including immediate termination of employment for employees and disaffiliation of affiliates.

(1) It is Center policy that the unlawful manufacture, possession, use, distribution, dispensation, sale, or purchase of non-prescribed controlled substances (drugs) and intoxicants (alcohol) on Center premises is prohibited and will result in immediate dismissal, or disaffiliation.

The only exception shall be for consumption and/or possession of alcohol at Center approved social functions, with written permission of an NYSBC executive.

(2) All employees are required to report to their jobs in a suitable mental and physical condition. Any individual, employee, affiliate, contractor, whose work performance is impaired by the use of drug and/or alcohol will be considered a threat to the safety of his/her work environment, and subject to immediate discipline.

(3) As required by the Drug-Free Workplace Act, employees and affiliates working on projects funded through federal contracts or grants, who are convicted of a drug offense on Center property, must notify the Chief Operating Officer within five (5) days of such convictions. The Center is required to notify the relevant federal contracting or granting agency within ten (10) days and to take the appropriate personnel action within thirty (30) days of receipt of the notice.

A conviction includes: a plea or finding of guilty, any plea of "nolo contendere", or an imposition of a fine or penalty.

(4) Members of the Center community who are in need of drug and/or alcohol counseling, are urged ask the Chief Operating Officer to arrange counseling. This might include both free, short-term counseling and referrals for long-term treatment, the cost of which is partially covered by health insurance.

The Drug-Free Schools and Communities Act of 1990 requires that this substance abuse policy include descriptions of the health risks associated with drug and alcohol abuse and the legal sanctions under local, state, or federal law for illicit use, possession, or distribution of controlled substances. The Health Risks of Alcohol Use and Abuse

Alcohol consumption causes a number of marked changes in behavior. Even low doses significantly impair the judgment and coordination required to drive a car safely, increasing the likelihood that the driver will be involved in an accident. Low to moderate doses of alcohol also increase the incidence of a variety of aggressive acts, including spouse and child abuse. Moderate to high doses of alcohol cause marked impairments in higher mental functions, severely altering a person's ability to learn and remember information. Very high doses cause respiratory depression and death. If combined with other depressants of the central nervous system, much lower doses of alcohol will produce the effects just described.

Repeated use of alcohol can lead to dependence. Alcoholism is defined as a complex, chronic psychological and nutritional disorder associated with compulsive and/or excessive drinking.

Alcohol is addictive in nature; it poisons the body, destroys the brain, heart, liver, and pancreas; it damages the digestive tract and immune system. Alcoholics are more vulnerable to heart disease, cancer, organ failure, and mental illnesses. Sudden cessation of alcohol intake is likely to produce withdrawal symptoms, including severe anxiety, tremors, hallucinations, and convulsions. Alcohol withdrawal can be life threatening.

Mothers who drink alcohol during pregnancy may give birth to infants with fetal alcohol syndrome. These infants have irreversible physical abnormalities and mental retardation. In addition, research indicates that children of alcoholic parents are at greater risk than others of becoming alcoholics. The Health Risks of Drug Abuse

Drugs are chemicals that cause physical and psychological dependence. Please review Chart A* which describes the uses and effects of controlled substances.

Federal Trafficking Penalties

Please review Charts B* and C* for a description of federal penalties for the trafficking of controlled substances.

Federal Penalties and Sanctions for the Illegal Possession of Controlled Substances

First Conviction - Up to one year imprisonment and fined at least $1,000 but not more than $100,000, or both.

After one prior drug conviction - At least 15 days in prison, not to exceed two years and fined at least $2,500 but not more than $250,000, or both.

After two or more prior drug convictions - At least 90 days in prison, not to exceed three years and fined at least $5,000 but not more than $250,000, or both.

Special sentencing provisions for possession of crack cocaine - A mandatory sentence of at least 5 years in prison, not to exceed 20 years and fined up to $250,000, or both if:

(a) First conviction and the amount of crack possessed exceeds 5 grams.

(b) Second crack conviction and the amount of crack possessed exceeds 3 grams.

(c) Third or subsequent crack conviction and the amount of crack possessed exceeds 1 gram.

In addition, the offender may be forced to relinquish personal and real property used to possess or facilitate possession of a controlled substance if the violation is punishable by more than one year in prison. Any vehicle used to transport or conceal a controlled substance must be forfeited and a civil fine of up to $10,000 may be imposed.

For first-time offenders, federal benefits, such as student loans, grants, contracts, and professional and commercial licenses, will be denied for up to one year. For the second and subsequent offenses, federal benefits are denied for up to five years.

Violations of the Substance Abuse Policy

The Center will impose disciplinary sanctions on affiliates and employees (consistent with local, state, and federal law), up to and including expulsion or termination of employment or disaffiliation as appropriate, and referral for prosecution, for violations of this substance abuse policy.

CHART A. Use and effect of controlled substances.

See http://www.usdoj.gov/dea/concern/abuse/charts/chart4/contents.htm

CHART B. General drug trafficking penalties.

http://www.usdoj.gov/dea/concern/abuse/chap1/penal/chart1.htm

CHART C. Drug Trafficking penalties – marijuana

http://www.usdoj.gov/dea/concern/abuse/chap1/penal/chart2.htm

• Set ALLOWTOPICVIEW =
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-- DavidCowburn - 04 May 2006

• NEWYORKSTRUCTURALBIOLOGYCENTERPOLICIES.pdf: General poloies original version

Terms and abbreviations used.

Computer & Electronic Communications Policy Business Only

Non-Private

Discipline

Equal Employment Opportunity/Affirmative Action Policy

Grievance Procedure

Job Posting Policy Minors in the Workplace

Nepotism and Personal Relationship

Non-discrimination and Anti-harassment policy

Scientific Misconduct Policy

Smoking Policy

Stationary Usage Policy

Substance Abuse Policy

Health Risks of Alcohol Abuse

Health Risks of Drug Abuse

Federal Trafficking Penalties

Violations of the Substance Abuse Policy

Chart A - Controlled Substances - Uses and Effects

Chart B - Federal Trafficking Penalties

Chart C - Federal Trafficking Penalties - Marijuana

Printable version of this file. (pdf format) COMPUTER & ELECTRONIC COMMUNICATIONS POLICY

The Center’s policy on the use of computers, computer networks, and ancillary communications equipment and services calls for the ethical behavior of all Center users in recognition of their rights and responsibilities when using Center resources in support of its educational, research, and public service functions. The Center retains certain rights and responsibilities in the processes and procedures described below.

Business Only

Any information, transmitted, received from, or stored via the Center’s computers, computer networks, and ancillary communications equipment and services is the sole property of the Center (or otherwise subject to copyright protection), provided as business tools to be used for legitimate Center business only. The Center may restrict or deny the use of its computers and network systems for electronic communications for violations of Center policies, federal, state, or local laws, or standards of conduct appropriate at the Center, and of its Member Institutions. Specifically prohibited is the use of electronic communications to display, download, or transmit offensive material contrary to the Center’s non-discrimination and anti-harassment policy. The Center reserves the right to limit or deny access to its networks through Center-owned or other computers and to remove or limit access to material posted on Center-owned computers in any situation where it believes that such a violation has occurred or is likely to occur.

Non-Private

Users are advised against the expectation of privacy or confidentiality in the information transmitted and/or received or stored in the computers, computer networks, and ancillary communications equipment and services. Such information may be subject to potential use by parties in administrative, regulatory, or legal proceedings of the Center, or of the Member Institutions.

Discipline

Users are responsible for complying with this policy and all other rules and procedures* the Center establishes from time to time for use of its computer and electronic communications systems. Employees who violate this policy are subject to discipline, up to and including dismissal.

*Full details of the Center's procedures will be updated as needed. EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION POLICY

The Center is an Equal Opportunity Employer with a policy that forbids discrimination in employment (which includes hiring, terms and conditions, promotion and termination) on the basis of race, color, religion, sex, age, national origin, citizenship status, maritalstatus, sexual orientation, veteran status, or disability. Complaints of violations of the policy may be brought to the attention of an employee's immediate supervisor or the President. Employees may choose at any time to file a formalgrievance in accordance with the Center's Employee Grievance Procedure. The Center's policy also prohibits retaliation for the filing of such complaints.

GRIEVANCE PROCEDURE

The Center has established a formal, four-step Grievance Policy for handling employee grievances resulting from the application or interpretation of a Center policy or program.

If a staff employee becomes involved in a grievance relating to the interpretation or application of Center personnel policies and practices, employee benefits, or other matters relating to the terms and conditions of employment, as they may from time to time exist, the employee shall have the opportunity to have such grievance heard and reviewed through the Center's Grievance Procedure. The Grievance Procedure shall include grievances in the following categories:

1.Job Classification, Wages, or Salaries

2.Personnel Policies or Practices

3.Employee Benefits

4.Working Conditions, Safety, or Health Hazards

5.Promotional Opportunities

6.Supervisory Relations

7.Disciplinary Actions

8.Discriminatory Practice on the basis of race, color, religion, sex, age, national origin, citizenship status, marital status, sexual orientation, veteran status, or disability.

An employee has the right to use the Grievance Procedure for employment problems enumerated above if a mutually satisfactory solution to the problem has not been reached after an informal review by the employee's supervisor(s) and Human Resources.

This policy is applicable to all non-executive employees.

The following Procedure outlines the way in which employees may present a grievance to their immediate supervisors and, if they wish, to other branches of the Center Administration. A meeting of those individuals involved in the grievance will be held at each step of the Procedure.

Emergency grievances concerning employee health and safety may be given special attention, as the situation requires.

The Grievance Procedure also sets forth times during which each step of the Procedure is to be processed. Generally, if an employee does not appeal a decision within the specified maximum number of days, the grievance will be considered settled . However, it is recognized that due to unusual circumstances (days off, sickness, vacations, etc.), delays may occur in processing a grievance.

STEP 1

In the event that a grievance arises and staff employees wish to use the Grievance Procedure, in general they shall have 10 working days from the occurrence causing the grievance to present it to their immediate supervisors. The Supervisors, within three working days, will advise the employees of their (the Supervisor's) decision with respect to the grievance.

In such instances where the subject of the complaint involves the employee's immediate supervisor, the employee may initiate a grievance with the head of the Laboratory or Department (Step 2) and then move directly to Step 3.

STEP 2

If the grievance is not resolved to the satisfaction of an employee at Step 1, then the employee shall have three working days from the receipt of the immediate supervisor's decision to present the grievance to the Department or Laboratory Head. The Department or Laboratory Head shall advise, within five working days, the employee of a decision with respect to the grievance.

Those employees working directly for the heads of Laboratories or Departments will initiate a grievance at Step 1 of the Procedure and then go directly to Step 3, unless the subject of the complaint involves the Laboratory or Department Head in which case the employee will initiate the grievance at Step 3.

STEP 3

If the grievance is not resolved at Step 2 to the satisfaction of the employee, the employee may present the grievance, in writing, to the Chief Operating Officer within three working days from the time the decision of the Department or Laboratory Head was received. The Chief Operating Officer shall advise, within 10 working days, the employee, in writing, of the Officer’s position with respect to the grievance (with copies to the Department or Laboratory Head and the employee's immediate supervisor).

STEP 4

If the grievance is still not resolved to the satisfaction of the employee, the employee shall have three working days from the time of receipt of the Chief Operating Officer's decision to request the Chief Operating Officer to present a grievance to the President of the Center or a designated representative. After receiving such a request, the Chief Operating Officer shall have five working days to present the employee's written grievance, and all other information in connection therewith, to the President or designated representative. Within 10 working days from the receipt of the foregoing, the President or the designated representative shall present a decision in writing to the employee and the Chief Operating Officer. JOB POSTING POLICY Eligible Employees

All regular full-time and part-time staff employees with a minimum of one year of service in their current positions are eligible to participate in the job-posting program. Applications for promotional or lateral transfer within an employee's immediate work area will be considered at any time. In the event of exceptional circumstances, the Chief Operating Officer will determine, at discretion, approval, or denial of eligibility.

Positions Posted

Active staff vacancies up to the manager level that have met budget approval will be posted. Openings for executive officers, directors, and faculty-level appointments will not be posted through this program.

Posting Period

Job vacancies will be posted and held open for a period of five days. The Center reserves the right to recruit externally for all available positions prior to, during, and after the posting period. Human Resources and management will determine the appropriate time to initiate the posting and recruitment for each vacancy. After the posting period, the Center will hire the most qualified internal or external candidate.

Transfer Procedure

Internal applicants will respond to a posted position by completing a transfer application and submitting it to Human Resources. Internal transfer inquiries will remain confidential until an interview is scheduled or until the Chief Operating Officer deems appropriate. Interviews will be arranged with candidates whose skills and experience appear to meet most closely the needs of the prospective department. If there is mutual interest after an interview, a reference will be obtained by Human Resources or the hiring manager.

The Center may initiate transfers at any time in response to the needs of the organization and the staff members.

Selection

Internal applicants will be evaluated and selected based on qualifications, personnel records, and recommendations from present and or past supervisors. All internal applicants will be notified of employment decisions by Human Resources.

Procedure

1.All transfers must be coordinated through the Chief Executive Officer.

2.Positions will be listed on a "Job Posting" bulletin issued every Friday, posted on the Human Resources web site (www.nysbc.org/hr), where all active positions are listed.

3.Transfer applications can be obtained from Human Resources Monday through Friday between 9:00 a.m. and 5:00 p.m.

4.Once a transfer application has been received by Human Resources, personnel records are reviewed and interviews may be scheduled.

5.Employees who have been selected for a transfer must remain in their current positions for a period of time equal to their vacation allowances unless released earlier by management. The new department or laboratory will assume responsibility for the transferred employee's vacation and personal days remaining in the current fiscal year. POLICY ON MINORS IN WORK AREAS OF THE CENTER

Minors, those individuals under age 18, are allowed in Center work areas only in accordance with the following policy, and in each case with the specific written permission of a Center executive.

1.Minors employed by the Center, Member Institutions, and any hired contractor are allowed only in areas authorized to adult employees performing the same job tasks, and then, if the area contains any known or recognizable hazard, only if accompanied and supervised by an adult employee at all times, familiar with the hazard(s).

2.Minors participating in Center-sponsored volunteer programs, (e.g., a Center volunteer program), are allowed access only to those areas appropriate to their volunteer position and only under the direction of their sponsor in accordance with separate policies applicable to such programs. All volunteers must be at least 16 years of age.

3.Minors participating in Center-sponsored special events, (e.g., Take Your Child to Work Day), must be escorted by Center personnel and are allowed access only to areas specifically defined for that special event.

4.Minors visiting the Center are not allowed in any work area of the Center unless accompanied and supervised by an adult employee of the Center and only with the approval of the appropriate Department Head or Head of Laboratory.

5.Minors not covered in points 1-3 above are strictly prohibited from the following areas of the Center:

Mechanical spaces and rooms, steam tunnels, and shops

Compactor room

Incinerator room

Laboratory rooms where chemicals, biological and radioactive materials, research equipment, glassware, and fire hazards are used and stored

Loading areas

Hazardous waste handling and storage rooms

Construction sites

food preparation areas

Other secure areas

Exclusion of an area from this list shall not be taken to imply that the area poses no risk to minors.

6.Department Heads and Heads of Laboratory are authorized and expected to enforce this policy. Within the guidelines of this policy, Department Heads and Heads of Laboratory are authorized to grant or deny permission to an employee to bring a minor into the workplace, subject to final approval of an NYSBC executive. NEPOTISM AND PERSONAL RELATIONSHIPS

The Center is committed to the highest standards of professional conduct and integrity and expects all members of the Center community to adhere to them. Each individual has the obligation to respect and be fair to other members of the community and to ensure that personal relationships within the community do not result in conflicts of interest or situations that might impair objective judgment. A supervisor/employee or faculty/student association between members of the Center community who have a personal relationship is unwise because of risk of real or perceived partiality and potential harm to the individuals as well as to other members of the community. "Personal relationship" shall mean marital or other committed relationship, significant familial relationship, or consensual sexual or romantic relationship.

It is the Center's policy that members of the Center community may not participate in or directly influence the hire, promotion, supervision, evaluation, salary and grade determination, or advise or otherwise directly influence the academic progress of another member of the community with whom the individual has personal relationships. Declaration and consultation with the President shall be mandatory for the member who is or will be in a position to engage in the activities delineated above. The goal of the consultation is to structure the conditions of the employment or academic association of the related parties to avoid or eliminate those activities without unreasonable disadvantage to either Center member. When a power disparity exists in the employment or academic association of the individuals in the personal relationship, the employment or academic interests of the subordinate must be protected when structuring the association.

NON-DISCRIMINATION AND ANTI-HARASSMENT POLICY

The Center is committed to a work environment in which all individuals are treated with respect and dignity. Each individual has the right to work in a professional atmosphere that promotes equal employment opportunities and prohibits discriminatory practices, including harassment. Therefore, the Center expects that all the relationships among persons in the workplace will be business-like and free of bias, prejudice, and harassment.

Equal Employment Opportunity

It is the policy of the Center to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, national origin, religion, sex (with or without sexual conduct), age, disability, citizenship, veteran status, marital status, sexual orientation, or any other characteristic protected by law. The Center prohibits, and will not tolerate, any such discrimination or harassment.

Definition of Harassment

Sexual harassment constitutes discrimination and is illegal under federal, state, and local laws. For the purpose of this policy, sexual harassment is defined, as in the Equal Employment Opportunity Commission Guidelines, as unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature when, for example:

(i) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;

(ii) submission to or rejection of such conduct by an individual is used as a basis for employment decisions affecting such individual; or

(iii) such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment. Sex-based harassment - that is, harassment not involving sexual activity or language (e.g., male manager yells only at female employees and not males) - may also constitute discrimination if it is severe or pervasive and directed at employees because of their sex.

Sexual harassment may include a range of subtle and not so subtle behaviors and may involve individuals of the same or different gender. Depending on the circumstances, these behaviors may include, but are not limited to: unwanted sexual advances or requests for sexual favors; sexual jokes and innuendoes; verbal abuse of a sexual nature; commentary about the individual’s body, sexual prowess or sexual deficiencies; leering, catcalls or touching; insulting or obscene comments or gestures; display or circulation in the workplace of sexually suggestive objects or pictures (including through e-mail); and other physical, verbal, or visual conduct of a sexual nature.

b.Harassment on the basis of any other protected characteristics is also strictly prohibited. Under this policy, harassment is verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of his/her race, color, religion, sex, national origin, age, disability, citizenship, sexual orientation, marital status, or any other characteristics protected by law or that of his/her relatives, friends, or associates, and that: (i) has the purpose or the effect of creating an intimidating, hostile, or offensive work environment; (ii) has the purpose or effect of unreasonably interfering with an individual’s work performance; or (iii) otherwise adversely affects an individual’s employment opportunities.

Harassing conduct includes, but is not limited to: epithets, slurs, or negative stereotyping, threatening, intimidating, or hostile acts; denigrating jokes and display or circulation in the workplace of written or graphic material that denigrates or shows hostility or aversion toward an individual or group (including through e-mail).

Individuals and Conduct Covered

These policies apply to all applicants and employees, and affiliates and prohibit harassment, discrimination, and retaliation whether engaged in by fellow employees, by a supervisor or manager, or by someone not directly connected to the Center (e.g., an outside vendor, consultant, or customer).

Conduct prohibited by these policies is unacceptable in the workplace and in any work-related setting outside the workplace, such as during business trips, business meetings, and business-related social events.

Retaliation Is Prohibited

The Center prohibits retaliation against any individual who reports discrimination or harassment or participates in an investigation of such reports. Retaliation against an individual for reporting harassment or discrimination or for participating in an investigation of a claim of harassment of discrimination is a serious violation of this policy and, like harassment or discrimination itself, will be subject to disciplinary action.

COMPLAINT PROCEDURE

Reporting an Incident of Harassment, Discrimination, or Retaliation

The Center strongly urges the reporting of all incidents of discrimination,harassment, or retaliation, regardless of the offender’s identity or position. Individuals who believe they have experienced conduct that they believe is contrary to the Center’s policy or who have concerns about such matters should file their complaints before the conduct becomes severe and pervasive, with their immediate supervisors, and any NYSBC executive. In addition, it is the responsibility of any individual in a supervisory capacity having information about such acts or patterns of behavior to bring it to the attention of the President. The supervisor should not, under such circumstances, try to "handle the matter" alone. Individuals need not feel obligated to file their complaints with their immediate supervisor first before bringing the matter to the attention of one of the other Center designated representatives identified above.

IMPORTANT NOTICE TO ALL EMPLOYEES:

Employees who have experienced conduct that they believe is contrary to this policy have obligation to take advantage of this complaint procedure. An employee's failure to fulfill this obligation could affect his or her right to pursue legal action. Also, please note, federal, state, and local discrimination laws establish specific time frames for initiating a legal proceeding pursuant to those laws. Early reporting and intervention have proven to be the most effective method of resolving actual or perceived incidents of harassment. Therefore, while no fixed reporting period has been established, the Center strongly urges the prompt reporting of complaints or concerns so that rapid and constructive action can be taken.

The availability of this complaint procedure does not preclude individuals who believe that they are being subjected to harassing conduct from promptly advising the offender that his or her behavior is unwelcome and requesting that it be discontinued.

The Investigation

Any reported allegations of harassment, discrimination, or retaliation will be investigated promptly, thoroughly, and impartially. The investigation may include individual interviews with the parties involved and, where necessary, with the individuals who may have observed the alleged conduct or may have other relevant knowledge.

Confidentiality will be maintained throughout the investigatory process to the extent consistent with adequate investigation and appropriate corrective action.

Responsive Action

Misconduct constituting harassment, discrimination, or retaliation will be dealt with appropriately. Responsive action may include, for example, training, referral to counseling, monitoring of offender, and/or disciplinary action such as warning, reprimand, withholding of a promotion or pay increase, reduction of wages, demotion, reassignment, temporary suspension without pay, or termination, as the Center believes appropriate under the circumstances.

If an employee making a complaint does not agree with its resolution, the employee may appeal in writing to the President of the Center.

Individuals who have questions or concerns about these policies should speak with the Chief Operating Officer.

Finally, these policies should not, and may not, be used as a basis for excluding or separating individuals of a particular gender, or any other protected characteristics, from participating in business or work-related social activities or discussions in order to avoid allegations of harassment. The law and policy of the Center prohibit disparate treatment based on sex or any other protected characteristic, with regard to terms, conditions, privileges, and perquisites of employment. The prohibitions against harassment, discrimination, and retaliation are intended to complement and further these policies, not to form the basis of and exception to them. SCIENTIFIC MISCONDUCT POLICY

See legal and IP policies. SMOKING POLICY

The Center's policy on smoking establishes rules concerning the control of smoking in work and "public" areas to assure employee health, safety, and comfort.

Heads of Laboratories and Services will be expected to enforce this policy and to resolve any dispute between a smoker and a non-smoker under their supervision. If the Laboratory or Service Head cannot reach such a resolution, he or she can then seek the assistance of the Chief Operating Officer whose responsibility it will be to resolve the conflict within the framework of Center policy.

The basic components of the smoking policy are:

I. There will be NO SMOKING in the following areas:

1. Common and/or open work areas.

2. In laboratories, the auditorium, restrooms, conference rooms, elevators, hallways, stairwells, locker rooms, and rooms used in common by employees.

II. Smoking will be permitted in the following areas:

1. Private, single occupancy, enclosed offices--not including those in laboratories.

2. Outside Center buildings as designated.

III. As required by law, the following redress procedure is outlined:

If an employee or applicant for employment believes that he or she has been the victim of retaliatory adverse personnel action as a result of exercising his or her rights granted under this smoking policy, that employee should contact the Chief Operating Officer. Such adverse personnel action includes dismissal, demotion, suspension, disciplinary action, any action resulting in loss of compensation or other benefit, failure to hire, failure to appoint, and/or failure to promote or transfer.

If you have any questions about this policy, please contact the Chief Operating Officer. USE OF STATIONARY POLICY

Stationery and all other documents bearing the name of the Center should not be used for personal correspondence. The stationery is to be used only for professional matters related to the Center or to Center employees' professional work. Any order for stationery using the Center's address or logo, or any use of the logo in e-mail or web based dissemination requires written pre-approval of an NYSBC executive.

Any information included on Center stationery for personal or non-business use should not be considered private or confidential.

Employees and affiliates are responsible for complying with this policy and all other rules and procedures the Center establishes from time to time for use of its stationery. Employees who violate this policy are subject to discipline, up to and including dismissal. Affiliates are subject to disaffiliation. SUBSTANCE ABUSE POLICY

It is the policy of the Center to make every effort to ensure a drug-free workplace in order to protect the health, safety, and welfare of its employees and the public. The following guidelines have been established in order to maintain such an environment. Any violation of this policy will result in severe disciplinary action up to and including immediate termination of employment for employees and disaffiliation of affiliates.

(1) It is Center policy that the unlawful manufacture, possession, use, distribution, dispensation, sale, or purchase of non-prescribed controlled substances (drugs) and intoxicants (alcohol) on Center premises is prohibited and will result in immediate dismissal, or disaffiliation.

The only exception shall be for consumption and/or possession of alcohol at Center approved social functions, with written permission of an NYSBC executive.

(2) All employees are required to report to their jobs in a suitable mental and physical condition. Any individual, employee, affiliate, contractor, whose work performance is impaired by the use of drug and/or alcohol will be considered a threat to the safety of his/her work environment, and subject to immediate discipline.

(3) As required by the Drug-Free Workplace Act, employees and affiliates working on projects funded through federal contracts or grants, who are convicted of a drug offense on Center property, must notify the Chief Operating Officer within five (5) days of such convictions. The Center is required to notify the relevant federal contracting or granting agency within ten (10) days and to take the appropriate personnel action within thirty (30) days of receipt of the notice.

A conviction includes: a plea or finding of guilty, any plea of "nolo contendere", or an imposition of a fine or penalty.

(4) Members of the Center community who are in need of drug and/or alcohol counseling, are urged ask the Chief Operating Officer to arrange counseling. This might include both free, short-term counseling and referrals for long-term treatment, the cost of which is partially covered by health insurance.

The Drug-Free Schools and Communities Act of 1990 requires that this substance abuse policy include descriptions of the health risks associated with drug and alcohol abuse and the legal sanctions under local, state, or federal law for illicit use, possession, or distribution of controlled substances. The Health Risks of Alcohol Use and Abuse

Alcohol consumption causes a number of marked changes in behavior. Even low doses significantly impair the judgment and coordination required to drive a car safely, increasing the likelihood that the driver will be involved in an accident. Low to moderate doses of alcohol also increase the incidence of a variety of aggressive acts, including spouse and child abuse. Moderate to high doses of alcohol cause marked impairments in higher mental functions, severely altering a person's ability to learn and remember information. Very high doses cause respiratory depression and death. If combined with other depressants of the central nervous system, much lower doses of alcohol will produce the effects just described.

Repeated use of alcohol can lead to dependence. Alcoholism is defined as a complex, chronic psychological and nutritional disorder associated with compulsive and/or excessive drinking.

Alcohol is addictive in nature; it poisons the body, destroys the brain, heart, liver, and pancreas; it damages the digestive tract and immune system. Alcoholics are more vulnerable to heart disease, cancer, organ failure, and mental illnesses. Sudden cessation of alcohol intake is likely to produce withdrawal symptoms, including severe anxiety, tremors, hallucinations, and convulsions. Alcohol withdrawal can be life threatening.

Mothers who drink alcohol during pregnancy may give birth to infants with fetal alcohol syndrome. These infants have irreversible physical abnormalities and mental retardation. In addition, research indicates that children of alcoholic parents are at greater risk than others of becoming alcoholics. The Health Risks of Drug Abuse

Drugs are chemicals that cause physical and psychological dependence. Please review Chart A* which describes the uses and effects of controlled substances.

Federal Trafficking Penalties

Please review Charts B* and C* for a description of federal penalties for the trafficking of controlled substances.

Federal Penalties and Sanctions for the Illegal Possession of Controlled Substances

First Conviction - Up to one year imprisonment and fined at least $1,000 but not more than $100,000, or both.

After one prior drug conviction - At least 15 days in prison, not to exceed two years and fined at least $2,500 but not more than $250,000, or both.

After two or more prior drug convictions - At least 90 days in prison, not to exceed three years and fined at least $5,000 but not more than $250,000, or both.

Special sentencing provisions for possession of crack cocaine - A mandatory sentence of at least 5 years in prison, not to exceed 20 years and fined up to $250,000, or both if:

(a) First conviction and the amount of crack possessed exceeds 5 grams.

(b) Second crack conviction and the amount of crack possessed exceeds 3 grams.

(c) Third or subsequent crack conviction and the amount of crack possessed exceeds 1 gram.

In addition, the offender may be forced to relinquish personal and real property used to possess or facilitate possession of a controlled substance if the violation is punishable by more than one year in prison. Any vehicle used to transport or conceal a controlled substance must be forfeited and a civil fine of up to $10,000 may be imposed.

For first-time offenders, federal benefits, such as student loans, grants, contracts, and professional and commercial licenses, will be denied for up to one year. For the second and subsequent offenses, federal benefits are denied for up to five years.

Violations of the Substance Abuse Policy

The Center will impose disciplinary sanctions on affiliates and employees (consistent with local, state, and federal law), up to and including expulsion or termination of employment or disaffiliation as appropriate, and referral for prosecution, for violations of this substance abuse policy.

CHART A. Use and effect of controlled substances.

See http://www.usdoj.gov/dea/concern/abuse/charts/chart4/contents.htm

CHART B. General drug trafficking penalties.

http://www.usdoj.gov/dea/concern/abuse/chap1/penal/chart1.htm

CHART C. Drug Trafficking penalties – marijuana

http://www.usdoj.gov/dea/concern/abuse/chap1/penal/chart2.htm

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-- DavidCowburn - 04 May 2006

• NEWYORKSTRUCTURALBIOLOGYCENTERPOLICIES.pdf: General poloies original version