Santa Clara University -Page Set

SCU Staff Policy Manual

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Statement of Purpose and Guiding Principles

Approved by the Board of Trustees, October 22 1993.

Statement of Purpose

Inspired by the love of God to serve society through education, continuing the commitment of the Franciscans who founded Mission Santa Clara in 1777 and the Jesuits who opened the College in 1851, Santa Clara University declares its purpose to be the education of the whole person within the Catholic, Jesuit tradition.

The University is thus dedicated to:

the preparation of students to assume leadership roles in society through an education that stresses moral and spiritual as well as intellectual and aesthetic values, seeks to answer not only what is but what should be, and encourages faith and the promotion of justice;
an uncompromising standard of academic excellence and an unwavering commitment to academic freedom, freedom of inquiry, and freedom of expression in the search for truth;
rigorous and imaginative scholarship; excellent teaching in and out of the classroom; and educational programs designed to provide breadth and depth, to encourage the integration of different forms of knowledge, and to stimulate not only the acquisition but also the creative and humane use of knowledge;
affirmation of its Catholic identity, respect for other religious and philosophical traditions, promotion of dialogue between faith and contemporary culture, opposition to narrow indoctrination or proselytizing, and the opportunity for worship and the deepening of religious belief;
a community enriched by men and women of diverse backgrounds, respectful of difference and enlivened by open dialogue, caring and just toward others, and committed to broad participation in achieving the common good.

Guiding Principles

The following principles, based on the University’s Statement of Purpose, are intended to focus the efforts of the entire University community toward achieving distinction and distinctiveness in the 1990s.

The University’s guiding principles are to:

educate for leadership in the Jesuit tradition;
serve as a voice of reason, conscience, and compassion in society;
foster academic excellence and a lifelong passion for learning;
create a learning environment that integrates rigorous inquiry, creative imagination, reflective engagement with society, and a commitment to fashioning a more humane and just world;
encourage innovation, while preserving the best of our traditions, to enhance our learning and living environment;
nurture a diverse University community rooted in mutual understanding and respect;
promote throughout the University a culture of service that fosters the development of personal responsibility;
strive for effective communication and responsible decision making at every level to advance our mission;
build a stronger financial base to enhance the quality of the University.

It is the responsibility of all members of the Santa Clara University community to work together to achieve the University’s purpose according to its guiding principles. Contact the Office of the President if you have questions or if you would like more information.

Frequently Asked Questions

What is the Staff Policy Manual?
The Staff Policy Manual (Manual) is the official documented statement of the University's policies concerning terms and conditions of employment and related human resources matters for staff members. The University intends to abide by these policies. Staff members also are expected to know the policies and abide by them. Policies may be changed in the future, as needed or appropriate, and will be communicated to the University community.
Who approved the Manual?
The contents of the Manual were developed, considered, revised and recommended by the Staff Affairs Committee, which worked on the policies for over a year in consultation with the campus community and other knowledgeable parties. The Committee included staff members from different levels and classifications in various departments of the University. The Committee unanimously recommended that the University approve the Manual. After review by Vice President Bob Warren, the President's Cabinet endorsed the recommended policies and authorized their implementation. The Board of Trustees gave final approval to the Staff Policy Manual at its October 23, 1998 meeting.
Can I obtain a hard copy of the policies?
The Manual is available for reading and printing (one policy at a time) from the University's web site, the address of which is www.scu.edu/hr. Staff members may also request a hard copy of any particular policy from their department heads or Human Resources. Human Resources will maintain an updated hard-copy of the Manual onsite at 475 El Camino Real and will keep another one on reserve at Orradre Library.
Whom should I contact for general questions or suggestions for policy changes?
Staff members may discuss policies with their managers and supervisors or may also contact Human Resources (HR) for further clarification. Suggestions for changes to policies may be given, in writing, to any member of the Staff Affairs Committee or to the HR service desk, x4392. The Assistant Vice President for Human Resources is the University officer who is responsible to maintain the authorized, updated version of the Manual on the Web and to provide official interpretations of the policies it contains, when needed.
Why has the University asked that I sign an acknowledgment regarding the policy manual?
The University asks that staff members read and sign the acknowledgment in order to confirm that staff members know how to access the Manual and are aware of the importance of the Manual to their employment. Please read the acknowledgment and feel free to ask any questions of your manager, supervisor or HR. (Please note that a staff member may not be treated adversely because she/he elects not to sign the acknowledgment. Supervisors will simply note, for the personnel record, that the staff member was apprised of the contents and received a copy of the acknowledgment.)
Does the Manual contain an "at-will" employment policy?
No. All general terms and conditions of employment for staff, including policies governing termination of employment, are set forth in the Manual. Staff covered by a collective bargaining agreement and members of the academic staff also have separate written agreements and policies, respectively, governing their employment.
Does the Manual have a policy concerning how to resolve employment complaints, including disputes about layoffs or dismissals?
Yes. If a staff member believes that University management decision(s) about his/her employment have not been consistent with a policy, he/she has access to the conflict resolution procedures (see policy 309) contained in the Manual. Those procedures are the exclusive means to resolve these or other issues that may be related in any way to the University policies contained in the Manual.

Staff Policy Manual Acknowledgment

This is to acknowledge my understanding, as a new or current member of the staff of Santa Clara University, that I am entitled to access an authorized, updated electronic version of the Santa Clara University Staff Policy Manual ("Manual") promptly and free of charge at any time on the University's web site through the world wide web (www.scu.edu/hr). I also know that access to the Manual is available to me, promptly and free of charge, upon request to my department head or upon request to the University's Human Resources department (Service Desk, extension 4392). I understand that I am responsible for accessing the policies contained within the Staff Policy Manual and abiding by them as a condition of my employment with Santa Clara University. If I am covered by a collective bargaining agreement or employed as Academic staff, I understand that I should refer also to additional contractual documents.

I further understand that the Manual does now, and at all times during my employment with the University in a staff position will, contain the sole and entire authorized University representation to me as to the continuation and/or termination of my staff employment, and as to the other terms and conditions of staff employment referenced in the Manual, except for any writings signed by the President or his duly authorized designee and personally addressed to me.

I also understand that the Manual provides the sole and exclusive method for resolution of staff employment issues and claims raised by me or any other person concerning an adverse employment decision, or action (including but not limited to, termination or layoff from employment) the resolution of which may involve the application or interpretation of the Manual.

____________________________
(Printed) Name of Staff Member

____________________________
Signature

____________________________
Date

Original to personnel file
Copy to staff employee

President's Message

An updated President's Message is being developed. Your patience is greatly appreciated.

Thank You.

- Department of Human Resources

Strategic Vision, University Mission, and Fundamental Values

Approved by the Board of Trustees, May 10 1996.

Strategic Vision

By combining teaching and scholarship of high quality, integrated education in the Jesuit tradition, and a commitment to students as persons, Santa Clara University will excel in educating men and women of competence, conscience, and compassion; gain increased national recognition; and achieve greater success in attracting the students, faculty, staff, and resources we seek.

University Mission

Santa Clara University, a Catholic and Jesuit institution that makes student learning its central focus, promotes faculty and staff learning in its various forms, and exhibits organizational learning as it deals with the challenges facing it.

Student learning takes place at the undergraduate and graduate level in an educational environment that integrates rigorous inquiry and scholarship, creative imagination, reflective engagement with society, and a commitment to fashioning a more humane and just world.

As an academic community, we expand the boundaries of knowledge and insight through teaching, research, artistic expression, and other forms of scholarship. It is primarily through discovering, communicating, and applying knowledge that we exercise our institutional responsibility as a voice of reason and conscience in society.

We offer challenging academic programs and demonstrate a commitment to the development of:

Undergraduate students who seek an education with a strong humanistic orientation in a primarily residential setting.
Graduate students, many of them working professionals in Silicon Valley, who seek advanced degree programs that prepare them to make significant contributions to their fields.

In addition to these core programs, we also provide a variety of continuing education and professional development opportunities for non-matriculated students.

Fundamental Values

We hold ourselves responsible for living out these core values, which are critical for carrying out our mission in pursuit of our vision:

Academic Quality

The University seeks an uncompromising standard of excellence in teaching, learning, and scholarship. All three elements are essential to academic quality at Santa Clara. We prize original scholarship for its own sake and for the contribution it makes to teaching and to the betterment of society. Our commitment to academic freedom is unwavering.

Integrated Learning

While valuing the integrity of established disciplines, we endeavor to integrate different forms of knowledge, to educate the whole person, and to foster moral and spiritual development. By promoting learning in everything we do, we foster a lifelong passion for learning.

Commitment to Students

As teachers and scholars, mentors and facilitators, we nurture and challenge students as we help them become independent learners and responsible leaders in society.

Service to Others

We promote throughout the University a culture of service-service not only to those who study and work at Santa Clara but also to society in general and to its most disadvantaged members.

Community and Diversity

We cherish our diverse community and the roots that must sustain it: shared values amidst diversity, closer personal relationships, effective communication, respect for others, and a concern for the common good.

Jesuit Traditions

We preserve and renew the Jesuit tradition, an expression of Christian humanism in which faith and reason together animate the most fundamental human quest-pursuit of truth and goodness. This pursuit challenges us to counter inhumanity with humanity, to act ethically, and to promote justice with faith. We also take part in the broader Catholic tradition to which Jesuits have made a major contribution.

Policy 101 - Staff Policies

STATEMENT

The Santa Clara University Staff Policy Manual is designed to provide a clear statement of the University’s Human Resources philosophy. The policies contained in this Manual are in keeping with the purpose and guiding principles of the University. These policies should be used to inform and guide day-to-day human resources decisions. However, these policies are not intended to substitute for informed management decisions guided by these policies. The Staff Policy Manual is designed to be the primary reference document for communicating and interpreting human resources policies, programs, and procedures to people at Santa Clara University. The Manual contains the sole and entire authorized University representation to any and all staff member(s) as to continuity and termination of employment, and as to the other terms and conditions of employment referenced in the Manual except for those conditions that apply to staff subject to a collective bargaining agreement or employed as Academic Staff. Separate electronic updates, memoranda or pamphlets with respect to the operation or administration of human resources related functions and programs may be distributed to augment the provisions of this Manual.

Ordinarily, changes to the Policy Manual will occur through the University governance channels which includes open discussion and review prior to adoption. However, in order to retain the necessary flexibility in the administration of its employment policies and procedures, the University reserves the right to add to, to delete from, to change or otherwise revise policies contained within this Manual with or without prior notice to employees whenever the University determines such action is warranted (e.g., in order to comply with regulations governing employment.) Additionally, the Manual may be updated periodically to reflect changes in University policy as well as changes in federal or state law. No provisions in this Manual, or in separate memoranda or pamphlets are, or should be construed as, an implied or express contract of employment, except that all staff employees understand and accept that policies contained in this Manual are the sole and exclusive method for resolution of issues and claims raised by a staff member concerning an adverse employment decision or action, including but not limited to, termination or layoff, and which may involve the application or interpretation of the Policy Manual.

Some of these policies are University policies which may also apply to faculty and students as well as to staff employees. Under the existing provisions of the Faculty Handbook, personnel policies governing faculty are subject to approval by the Faculty Senate and the Board of Trustees. Questions regarding the applicability of any of the policies in this Manual to faculty should be directed to the Office of the Provost. Similarly, staff employees subject to a collective bargaining agreement, and academic staff should refer to the provisions of the applicable contract and/or documents which may supersede the policies in this Manual. Students employed by the University whose employment is secondary to their education are not governed by this policy manual and should refer to the appropriate student employment policies.

This Manual is published and maintained as a guide for supervisors, managers, and employees in order that human resources matters can be handled timely and equitably. An effort has been made to recognize the differences present in the various areas of the University; however, these policies were developed by focusing on the responsibilities our one organization has in common. If an area of the University wishes to issue its own memoranda or other statements related to Human Resources policies, they must be consistent with this Manual and approved by the chief Human Resources officer. This Manual supersedes all inconsistent memoranda and statements as well as prior personnel policies and procedures, except collective bargaining agreements and academic staff documents. Nothing in this Manual is considered confidential. It should be made available to and used for reference by anyone at the University upon request.

A copy of Santa Clara University’s Staff Policy Manual is to be maintained in every department, location, center or major organizational entity of the University. The master and official edition of the Policy Manual will be maintained by the University Human Resources Department for access by all employees. In addition, access to the Policy Manual will be available on the University’s Home Page.

RESPONSIBILITY

These policies give supervisors and managers the ability to make decisions within a framework that reflects the University’s purpose and principles and promotes consistency and equity. With decision making comes responsibility. In each policy there is a statement of philosophy within which related decisions are to be made by those charged with responsibility. Note that many of the policies emphasize the two-way responsibility of the supervisor and employee.

RESOURCE

Ideas, recommendations, or suggested changes can be directed in writing to any member of the Staff Affairs Committee or Human Resources. Questions and suggestions concerning the applicability and administration of the policies in this Manual should be discussed with the chief Human Resources officer who is solely responsible for the development, distribution, and authorized University interpretation of these policies.

Policy Approved: October 23, 1998

Last Updated: February 24, 2005
Maintainer: Human Resources

Policy 102 -Equal Employment Opportunity

STATEMENT

Santa Clara University is dedicated to:

An uncompromising standard of academic excellence and an unwavering commitment to academic freedom, freedom of inquiry, and freedom of expression in the search for truth.

Being a community enriched by men and women of diverse backgrounds, respectful of difference and enlivened by open dialogue, caring and just toward others, and committed to broad participation in achieving the common good.

Santa Clara University seeks to achieve these ideals in many ways, including an environment free from discrimination. Recognizing that non discrimination and equal opportunity are legally, morally, and socially enriching, Santa Clara is committed to policies and programs that promote equal opportunity and affirmative action for each of our employees and students. The University is committed to implementing an affirmative action plan and to providing programs that strive to fulfill the ideals of the Statement of Purpose.

PROCEDURES

Recruitment, hiring, placement, transfer, and promotion of employees, and recruitment and retention of and participation in programs by students will be based on qualifications and performance and not on the basis of race, color, national and/or ethnic origin, gender, marital status, sexual orientation, disability, religion, veteran's status or age.

These factors also will not affect the manner in which the University administers personnel policies, programs, and activities such as compensation, promotions, terminations, benefits, training, and recreation programs. Nor will they affect the manner in which the University administers student-related policies, programs, and activities such as admissions, extracurricular, and recreational programs. Reasonable accommodations will be made to facilitate the participation of qualified individuals with disabilities in all such programs or activities.

Additionally, the University will use good faith efforts to achieve ethnic and gender diversity throughout the workforce. The University emphasizes recruitment of women in non-traditional roles, minority group members, Vietnam era veterans and Jesuits. To achieve its mission, the University strives to develop a community that is appropriately representative of the diversity of society. This commitment to affirmative action evidences the University's fundamental tenets and its dedication to an ongoing process of change and renewal.

RESPONSIBILITY

To achieve the goals of the nondiscrimination policy, each member of the University community must understand and accept responsibility both for fulfilling the ideals of the Statement of Purpose and for contributing to achieving policy results. Vice presidents within their areas, together with vice provosts, deans, program chairs, directors, managers, and supervisors, are each responsible for ensuring progress on the ideal of building a diverse, nondiscriminatory community and initiating creative actions to increase diversity. Deans for faculty, the Vice Provost of Student Affairs for student employees, and the chief Human Resources officer for staff are responsible for monitoring implementation of this policy; the Director of Affirmative Action is responsible for inquiries regarding federal and state laws as well as filing reports required by federal and state law.

RESOURCE

Inquiries regarding equal opportunity policies, the filing of grievances, or requests for a copy of the grievance procedures should be directed to:

Office of Affirmative Action
SCU EEO, ADA/504 and Title IX Compliance Officer
500 El Camino Real
Santa Clara, CA 95053
408-554-4113

Policy Approved: October 23, 1998

Last Updated: May 23, 2013
Maintainer: Human Resources

Policy 201 - General Employment Policy

STATEMENT

Employment with Santa Clara University continues or terminates according to the terms of the University's Human Resources Policy Manual.

PROCEDURES

An individual's employment with the University will terminate according to the terms and procedures described in the Policy Manual. University decisions to terminate involuntarily the employment (including layoff) of a staff member who has successfully completed the introductory period will not be contrary to the applicable provision of the Policy Manual. This policy cannot be changed or amended except in writing and signed by the President. Eligible staff employed at the time of approval of the Policy Manual will receive notice of the Policy Manual within a reasonable time after University approval and shall acknowledge receipt of such notice in writing at that time on a form provided by the University. Thereafter, new employees will receive notice of the Policy Manual at the time of initial employment or within a reasonable time thereafter. Continued employment subsequent to notification of the Policy Manual constitutes acceptance of the contents of the Policy Manual on the part of a staff member.

A regular employee who is involuntarily terminated under this policy may, in some cases, in the sole discretion of the University, be offered severance pay according to the following schedule in consideration for the execution of a general release in favor of the University in a form which is mutually agreeable. Outplacement support may also be available under similar circumstances.

Years of continuous regular University employment	Severance pay in months of base pay
1 but less than 2	1
2 but less than 3	2
3 but less than 4	3
4 but less than 5	4
5 but less than 6	5
6 or more	6

RESPONSIBLITY

Human Resources is responsible for administering the University's General Employment Policy.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this Policy. See also the University's policies on Corrective Action for Performance Problems (310) and Conflict Resolution (309).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 202 - Introductory Employment Period

STATEMENT

The introductory employment period for all staff is the first six (6) months of employment in a position that is new to the employee. Employment during the introductory period is considered to be at-will and may be terminated with or without cause, and with or without notice at any time by the employee or the University. This policy applies to new hires as well as current employees who have transferred to a new position. Leaves of absence which extend beyond five (5) working days may be considered in the calculation of the six (6) month period.

For certain positions, the first nine (9) months of employment will constitute the introductory period, which can be extended up to an additional three (3) months. The designation of such positions must be approved by the Department of Human Resources.

The introductory period is designed to allow the employee and supervisor an appropriate orientation, training and evaluation period to determine if a satisfactory working relationship can be established between the employee and the University. Upon completion of the introductory period, the employee’s performance will be reviewed. If it is determined that a satisfactory working relationship cannot be established, neither the employee nor the supervisor are obligated to continue employment. If at the end of six (6) months the supervisor determines that continuation of the introductory period is appropriate, the introductory period can be extended up to an additional three (3) months with prior approval from the Department of Human Resources. The introductory period may not exceed nine (9) months.

If the supervisor determines that the employee’s performance is satisfactory and decides to continue the employment relationship, he/she will advise the employee of any improvements expected of the employee. Completion of the introductory period does not entitle the employee to remain employed by the University for any definite period of time.

RESIGNATION

An employee may resign at any time during an introductory period with or without notice. Advance notice is not required, but is encouraged when possible, to allow for a smooth transition within the department.

TERMINATION

If at any time during the introductory period the supervisor determines that the employee cannot meet the position requirements or that the individual’s performance is unacceptable, the University may terminate employment with or without notice. The hiring supervisor must consult with the Department of Human Resources prior to the termination.

Introductory employees new to the University whose employment is terminated by the University do not have recourse to the University's formal conflict resolution process, but may review the termination decision with a designated representative from the Department of Human Resources.

Introductory employees who have transferred from within the University may make use of both the informal and formal Conflict Resolution process.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Conflict Resolution Policy (309).

Policy Approved: January 5, 2010

Last Updated: April 7, 2010
Maintainer: Human Resources

Policy 203 - Employment Categories

STATEMENT

The University has established a number of categories of employment used for determining an individual’s eligibility for pay, working conditions and benefits of employment.

PROCEDURE

The University uses the following employment categories for staff:

Regular
An individual who is hired into a University position that is expected to continue unless or until the individual is notified to the contrary. There are no guarantees of continuing employment. This does not include student employees. Student employees should refer to the student employee handbook.
Academic Staff
An individual hired into a position as a librarian, a research staff, laboratory instructor, or field instructor as defined in the Faculty Handbook.
Union Staff
An individual hired into a position covered by a collectively bargained agreement under the National Labor Relations Act.
Exempt Employee
An individual, normally an executive, administrative or professional employee, as defined by the federal Fair Labor Standards Act and the state Industrial Welfare Commission wage orders as not covered and therefore not entitled to overtime pay.
Non-exempt Employee
An individual who is subject to the wage and hour laws of the state or federal government, depending on which law is more beneficial to the employee, who is covered and therefore eligible and entitled to be paid overtime.
Fixed Term
An individual hired into a University position that is expected to be for a fixed period greater than six months and/or co-terminous with funding. Incumbents have no guarantee of employment for the duration of the term.
Temporary
An individual hired as a temporary replacement for a regular employee, for a special project or to meet additional workloads. Temporary employees are employed for six months or less. Incumbents have no guarantees of employment for the duration of the term.
Special Employment
An individual hired to work for a special need. Special employees include on-call, per-diem and minors.
Full-time
An individual hired into a position scheduled for 30 or more hours per week.
Part-time
An individual hired into a position scheduled for fewer than 20 hours per week.
Benefits Eligible
An individual hired into a position scheduled for 20 or more hours per week, six or more months per year.
Not Benefits Eligible
An individual hired into a position scheduled for fewer than 20 hours per week.

RESPONSIBILITY

Human Resources, in consultation with the hiring department, is responsible for assigning positions to designated categories.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Temporary Employment (207).

Policy Approved: October 23, 1998

Last Updated: February 24, 2005
Maintainer: Human Resources

Policy 204 - Recruitment and Selection

STATEMENT

The University strives to enhance opportunities for qualified candidates to apply, be considered, and selected for job openings within the University. The hiring manager is to use the following guidelines to recruit, hire, transfer, and promote accomplished individuals who can further the University’s educational mission:

To select the individual who best meets the needs of the hiring department and the University.
To enhance opportunities for mobility and promotion of qualified candidates who are current University employees.
To enhance opportunities for employment for qualified Jesuits and women and persons of color in areas where they are underepresented.
To consider candidates without discrimination based on race, color, national and/or ethnic origin, sex, marital status, sexual orientation, handicap/disability, religion, veteran’s status, age or any other unlawful factor.
To use good faith efforts to achieve the University’s goals for a diverse community.

PROCEDURES

Job Posting

Notice of a vacant position will be posted for at least five working days before an employment offer may be made to any candidate. Jobs will be posted using any one or combination of the following methods: a listing in an electronic medium, in an official University publication, media advertising or some other method deemed appropriate by Human Resources. Exceptions to the job posting requirement may include: vacancies for which similar postings have occurred within 90 days, those within a predetermined career path, to accommodate a qualified individual with a disability pursuant to the Americans with Disabilities Act, etc. Any exceptions must be approved by Human Resources.

Application Process

All applications for employment must be designated for advertised available positions and processed through Human Resources. This includes written expressions of interest, resumes, or employment applications. Current employees are invited to discuss general employment opportunities anytime by contacting Human Resources.

Interviewing and Testing

The hiring manager, in consultation with Human Resources, will select as applicants those persons, expressing interest in a position, whose skills, education and experience best predict ability to succeed in the position. Hiring managers may choose to work with Search and Screen Committees, as appropriate to the vacancy. Applicants will be invited to interview with the hiring manager, a human resources representative and others able to evaluate them against selection criteria. Work sampling and other valid testing may be conducted to allow applicants the opportunity to demonstrate relevant skills and abilities. Final candidate(s) for selection will be chosen based on results of interviewing and testing.

References

Human Resources will coordinate reference checking of external candiates with the hiring department. In the case of job candidates who are currently employed by the University, Human Resources will provide to the hiring department information from University personnel files it determines to be relevant.

Employment Offers

Offers of employment, including starting salaries and other terms, are coordinated through Human Resources. No offer of employment is binding upon the University until it is confirmed in writing to the candidate by Human Resources.

Notice-Internal Candidates

If an internal candidate is offered a position, the hiring supervisor may not contact the individual’s current supervisor until after the internal candidate has advised the current supervisor. A hiring supervisor is expected to preserve an internal candidate’s confidentiality unless otherwise authorized by the candidate. It is the right, as well as the responsibility, of the applicant to notify the current supervisor of a pending offer. An internal candidate who accepts another position in the University must provide the current department with a minimum of two weeks advance notice before transfer to the new position. Exceptions may be made by agreement of the current and new departments.

Benefits-Internal Candidates

Subject to the terms of the Employment Categories policy, employees retain their original start date with no break in service when moving to other University positions. However, changes in benefits may occur when a current employee moves between University positions if there is a change in benefit eligibility associated with the new position.

Employment Agencies

In appropriate circumstances, the hiring department, with the approval of Human Resources, may use search firms or employment agencies. All applicable University hiring and salary offer procedures must be observed. Fees incurred will be the responsibility of the hiring department.

Relocation Expenses

The University generally does not pay moving and relocation expenses of newly hired individuals. Exceptions may be made by departments with difficult to fill positions and with the approval of Human Resources. Reasonable relocation costs if paid by the University, are charged to the hiring department.

Employment Eligibility Information

Federal law requires all new hires to complete an Employment Eligibility Verification (form I-9) and provide documents that establish identity and employment eligibility within 72 hours of beginning work.

RESPONSIBILITY

Hiring departments are responsible for following these procedures in consultation with Human Resources. The affirmative action officer is responsible for assuring compliance with civil rights regulations governing recruitment and selection.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Reemployment (212).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 205 - Employment of Family Members

STATEMENT

Employment decisions are based on individual merit, and the University will consider employment of family members in the same or different departments. However, individuals may not supervise family members, supervise persons directly supervising family members, or participate in employment decisions concerning a family member.

PROCEDURES

For purposes of this policy, a family member is defined as any person related by blood, adoption, marriage, living in the same household, or people in relationships together. This policy applies to newly hired employees and to current employees who have changes in relationships (marrying another employee, for example), or changes in work assignments.

A University employee may not directly supervise a family member. If a situation occurs where family members are employed in the same work area or reporting line (but one does not directly supervise the other or the other’s immediate supervisor), each family member must arrange to be relieved from processes concerning any other family member such as:

assessing the performance of the family member;
considering the family member for reappointment, promotion or salary adjustment;
providing a leave of absence for the family member; or
participating in other decisions that present a possible conflict of interest or impropriety.

RESPONSIBILITY

The employee is responsible for complying with this policy when involved in employment decisions concerning a family member. All employees must inform Human Resources of potential or existing situations concerning employment of a family member.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 206 - Employment of Minors

STATEMENT

Santa Clara University abides by legal requirements under federal and state law concerning the employment of individuals under age 18 in California. The guidelines do not apply to Santa Clara University student employees but to other minors under 18 years of age. The law prohibits employment of minors under age 14.

The University will adhere to applicable laws concerning employment of minors. Supervisors will ensure that:

employment is not detrimental to the minor’s health or welfare
the minor will be adequately supervised; and
employment does not interefere with the minor’s education

PROCEDURES

Definitions

A minor is any person under the age of 18 years who is required to attend school under the provisions of the Education Code. Non-residents of the state who would be subject to California’s compulsory education laws if they were residents also are considered minors and are subject to all the requirements, work hour restrictions and all occupational prohibitions.

Work Permit

Under no circumstances shall a minor under the age of 14 be employed, regardless of permit status (Federal Fair Labor Standards Act). Employers wishing to employ minors over the age of 14 must submit a "Request for Work Permit and Statement of Intent to Employ Minor" (Form B1-1) obtained from the school district of attendance of the minor. Both the employer and employee must sign Form B1-1. In return the employee must submit a "Permit to Employ and Work" (Form B1-4) to Human Resources.

Hours of Work

The number of hours a minor may work, as well as the permitted spread of hours, varies depending on the age of the minor, and the time of year in which the work is performed. Assuming proper work permits are submitted, see the following chart for permitted work hours.

School in Session

School not in Session

Spread of Hours

Ages 14-15

3 hours daily. 18 hours weekly, but must be outside school hours. Under work experience education, minor may work up to 23 hours per week, any portion of which may be during school hours.

8 hours daily. 40 hours weekly.

7am-7pm (-9pm June 1 through Labor Day).

Ages 16-17

4 hours during days preceding a school day. 8 hours on non-school days or days preceding a non-school day. 48 hours weekly. Part time students may work during the regular school hours of the school district, but such work may not interfere with their part-time schooling requirements.

8 hours daily, 40 hours weekly

5am-10pm

(-12:30am on days preceding a non-school day). Work Experience Education enrollees may work until 12:30am on any day with approval. High School graduates may work the same hours as adults.

Work Restrictions

Santa Clara University will not employ minors to perform certain job tasks. Examples of prohibited tasks include, but are not limited to:

Working on scaffolding
Using toxic chemicals or gases
Operating power machinery (except office equipment)

RESPONSIBILITY

Supervisors are responsible for complying with this policy, and with federal and state regulations when employing minors.

RESOURCES

For more information concerning employment of minors, and for additional details concerning occupational restrictions, contact Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 207 - Temporary Employment

STATEMENT

Temporary employees may be hired to perform special projects, cover for absences of regular employees, or to meet additional work loads. Temporary assignments may not exceed six months in any twelve-month period. Temporary employment may be terminated any time without notice or severance based on funding, workload, performance, etc.

PROCEDURES

Temporary employees appointed to an existing job classification are paid at the same pay grade as the existing classification. Exceptions must be approved by Human Resources.

Pay rates for temporary employees not assigned to existing job classifications are determined by the hiring department in consultation with Human Resources.

Temporary employees will receive only those employment benefits required by law.

RESPONSIBILITY

Supervisors are responsible for complying with this policy when appointing temporary employees.

RESOURCES

For additional information concerning temporary employment issues, contact Human Resources. See also Employment Categories (203) for definitions.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 208 - Independant Contractors

STATEMENT

An independent contractor may be engaged when the required knowledge or expertise is not readily available at the University or not available on a timely basis, and when the services are needed for a limited period of time. Santa Clara University retains the right of oversight over the level and content of the work to assure receipt of adequate value for money spent.

PROCEDURES

Prior to making any commitment on behalf of the University, departments must refer to the Independent Contractor procedure, available from the University Finance Office. In order to pay an individual as an independent contractor the department must submit an Independent Contractor Request to the Dean or Director. The Dean or Director should review each specific case and determine whether the individual meets the criteria to be an independent contractor. Persons who do not meet these criteria are considered employees and must be treated and paid as such.

As a first step in considering the engagement of someone as an independent contractor, the Dean or Director must determine and certify that the following criteria apply. If the following conditions are met, detailed information is available from the University Finance Office.

The University does not control the details of methods of performing the work.
The contractor has the opportunity to realize profit or suffer loss as a result of his/her work for the University.
The contractor is terminated or dismissed only consistent with the contractual arrangements.
The contractor has a right to hire and fire assistants and is required to treat assistants as his/her own employees.
The contractor is viewed as a skilled worker who does not require additional training (as distinct from orientation) from the University.
The contractor generally is engaged for a specified time period or project.
The contractor advertises and projects him/herself to the public as an independent contractor in business for him/herself.
The University consistently refers to this person as an independent contractor.
The contractor furnishes his/her own tools and/or equipment and pays for his/her own supplies and expenses including travel expenses.
The contractor is NOT a current staff, student employee or faculty member of the University.
The contractor and his/her employees have demonstrated that they have the legal right to work in the United States. Contractors are required to maintain their own records to verify their right to work, and that of their employees.

Payments to independent contractors are made when submitted on an invoice or timesheet approved by the managers with whom they contract. Contractors must furnish social security numbers and are issued a form 1099 at the end of the year. The University is not responsible for withholding or submitting of income or employment taxes for independent contractors. Nor is the University responsible for providing worker’s compensation coverage for contractors.

RESPONSIBILITY

It is the responsibility of the hiring supervisor, deans, and directors to verify that engagement of an independent contractor follows the guidelines detailed in this policy.

RESOURCE

For further information on this policy contact Human Resources or the University Finance Office.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 209 - Outside Consulting by Employees

STATEMENT

Santa Clara believes that consulting work performed by its employees outside the University can be beneficial both to the employee and to the institution. Consulting work outside the University is subject to prior approval by the department or division head. However, employees engaged in outside consulting represent only themselves, and not the University.

For purposes of implementing this policy, consulting work is defined as professional activity related to a person’s University field or discipline in which a fee-for-service or equivalent relationship with a third party exists. This definition is intended to encompass many activities. For purposes of this definition however, one is acting as a consultant if three conditions exist:

The person uses his or her professional capabilities;
The person is paid some form of remuneration, whether in cash or benefits; and,
The person is acting to benefit a third party.

PROCEDURES

Any plan to perform consulting work must be discussed first with the employee’s supervisor or department head. The employee is required to give full disclosure of the consulting activity, which must include:

Name of company or organization to be rendered consulting service;
General nature of consulting agreement;
Length of time consulting work is expected to continue;
Hours to be worked;
Financial interest of the employee in the company or organization;
A statement from the employee that to the best of his/her knowledge, the consulting work will not have adverse impact on the University; and,
A certification from the employee that he/she will refrain from participating in any decision making involving the University, the outcome of which may tend to give preference or benefit to the company.
Actual income from consulting work is not subject to disclosure.

The employee’s supervisor or department head will recommend approval or disapproval of the request to the appropriate department or division head.

The University does not allow its resources to be used by any employee performing consulting work. Such resources include, but are not limited to, office equipment including computing equipment, office supplies, materials, campus facilities, telephone, and personnel services. The University will not allow any of its information, records, data and files to be used by the employee in connection with his or her consulting activity. No consulting work will be permitted during an employee’s regularly scheduled hours of work for the University, unless the employee seeks and obtains prior supervisory approval to use available vacation time to cover the hours.

All employees engaged in consulting work must be sensitive to situations in which consulting may create a conflict of interest or might give the appearance of conflict. Conflict of interest exists when an activity results or appears to result in a negative influence on the welfare of the University. However, no pronouncements about conflict of interest can substitute for individual integrity and common sense.

RESPONSIBILITY

It is the responsibility of the individual employee to report and request approval of any plan to engage in consulting work. The supervisor or department head has the responsibility to recommend approval or disapproval of such request to the appropriate dean, director or vice president.

RESOURCE

Refer to Conflict of Interest (304) for more information regarding work or situations that may reflect a conflict of interest, to Professional Conduct (303) for information on appropriate behavior, or to the Sponsored Projects Office's Conflict of Interest policy. Contact Human Resources with questions, or for more information regarding this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 210 - Termination of Employment

STATEMENT

Individuals who leave employment with the University are expected to return University property, and satisfy outstanding financial or other obligations before the last work day. Separation from employment, whether voluntary or involuntary, must be handled in a responsible manner by all individuals involved. The University will pay employees for unused, accumulated vacation according to this policy.

PROCEDURE

Voluntary Separation

Employees who resign or retire from the University are not required to provide written advance notice. However, advance notice of two weeks is appreciated. One month's notice is preferred in the event of a retirement. When notice is given it should be directed to the department and to Human Resources.

Involuntary Termination

Supervisors must contact Human Resources before initiating any involuntary termination. These include: dismissal, layoff, or terminating any employee who is absent on disability leave or receiving Workers' Compensation benefits.

University decisions to terminate involuntarily the employment (including layoff) of a staff member who has successfully completed the introductory period will not be contrary to the applicable provisions of the Policy Manual.

Return of University Property and Satisfying Financial Obligations

Individuals who terminate employment must return all University property to the appropriate supervisor and satisfy all financial obligations on or before the last work day. Examples of items which must be returned include, but are not limited to:

Identification cards, keys to buildings, vehicles, and equipment
Beepers, pagers, cellular telephones, and other communications equipment
Policy Manuals and other proprietary or confidential material including electronic correspondence (such as e-mail), files and records
Books and other materials owned by the University, library books, computers, software, documentation, supplies, and other computer-related materials
Uniforms and tools issued by the University
Credit, telephone, and other cards
Payment in full of any and all emergency loans, outstanding advances, library charges, parking fines and Adobe Lodge charges
ACCESS cards – cash balances will be refunded

Supervisors and managers are responsible for ensuring that all University property is obtained from terminating employees and financial obligations are satisfied.

Access to Computerized Information Systems

Upon termination, the supervisor must make appropriate arrangements to discontinue an employee's password and/or access to all University information systems. This may include but is not limited to financial, employee, departmental, local area networks, e-mail accounts and student information systems. It also includes building security system codes to which the terminated employee may have had access.

Paperwork

Upon termination, all employees will receive their final paycheck and information on continuing benefits in a timely fashion and in accordance with state and federal law. Final wages will be paid on the employee's last work day if the employee is involuntarily terminated or resigns with more than 72 hours notice. Final wages will be paid within 72 hours after voluntary termination to an employee who gives less than 72 hours notice. Departments must hand deliver termination paperwork, including the final time sheet, to Human Resources so that these time requirements can be met.

Payment of Leave

Employees will be paid for unused, accumulated vacation when terminating employment with the University. Hours paid cannot exceed the maximum leave accrual. No payment will be made for unused sick leave.

Exit Interview

All terminating employees are encouraged to schedule an exit interview with Human Resources prior to concluding employment at Santa Clara University.

RESPONSIBILITY

Supervisors are responsible for coordinating involuntary termination with Human Resources. All terminated employees are responsible for settling outstanding financial obligations and returning University property before leaving employment.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Health Care Insurance (602) and General Leave Benefits (612).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 211 - Layoffs

STATEMENT

A layoff is the termination of a non-introductory, regular staff employee, when in the sole judgment of the University, a reduction of the work force, the elimination or reduction of a particular kind of work, a structural reorganization or reallocation of financial resources is deemed necessary.

PROCEDURES

Selection For Layoff

Layoff actions shall be determined by the management of organizational units in consultation with the area Vice President. Decisions of the Deans and Department Heads will be reviewed by Human Resources and the Affirmative Action Office and approved by the area Vice President.

Within the functions or job classifications affected, as determined by management, introductory period employees will be terminated before other regular status employees are selected for layoff, provided the employees remaining possess sufficient skills and abilities to do the work required.

Layoff decisions will be determined on the basis of the current and prospective departmental operational requirements and the skills, abilities, performance, and competence of existing staff to meet those requirements.

Notice or Pay in Lieu of Notice

Employees will normally be given at least one month written notice of layoff. When pay is given in lieu of notice, one month is the maximum period for which such payment can be made.

Written notice of layoff may be rescinded during the notice period if circumstances change, and it is decided that the employee is to be retained or if the employee accepts reassignment.

If an employee resigns after having received written notice of layoff, the balance of the notice period will not be converted to pay; however, the employee will receive severance pay in accordance with the schedule below.

An employee who has received written notice of layoff will not be expected to give a two week resignation notice in the event the employee is offered another job prior to the actual date of layoff.

Employment Assistance

Vice provosts, deans and department heads will work with Human Resources to identify other University positions to which an employee selected for layoff can be recommended. Assistance will be provided in developing letters of recommendation. Employees will also receive paid time off for confirmed job interviews.

Upon request, to facilitate re-employment of persons subject to layoff, assistance in resume development, interviewing skills, and job search strategies will be provided by Human Resources or other designated offices or agencies during the notice period and for up to one year following the date of layoff.

Benefits Eligibility

Employees who are laid off will be eligible to continue their existing University group health and dental plans for at least 18 months provided that the employee pays the full premiums, both the University's and the employee's contributions, on a timely basis. This coverage is provided in accordance with provisions of the federal Consolidated Omnibus Budget Reconciliation Act (COBRA) and is coordinated by Human Resources. In addition, conversion of group life insurance is available.

Tuition Remission

Employees who meet the requirements for tuition remission under Educational Benefits Policy (609) will be eligible for one year of additional benefits from the layoff date.

Severance Pay

Upon layoff, each regular employee with one or more years of continuous University employment will receive a severance payment from the University to assist the person's employment transition. Severance pay will be calculated by using either the base monthly pay at time of layoff, or the average base monthly pay earned over the immediately preceding 12 months, whichever is greater. Severance is payable on the employee's last day of work as a regular employee. Severance pay will be according to the following schedule.

Years of continuous regular University employment	Severance pay in months of base pay
1 but less than 2	1
2 but less than 3	2
3 but less than 4	3
4 but less than 5	4
5 but less than 6	5
6 or more	6

Repayment of Severance Pay

If an employee is reemployed by the University sooner than the number of months of severance pay received by the employee, the portion of the severance pay equal to the base pay the employee would have earned if not terminated may be retained. The balance must be repaid to the University within 90 days of reemployment. For example, if a terminated employee received 6 months of severance pay and then was reemployed 2 months later, the employee would repay 4 months of the severance pay.

Reemployment of Laid Off Personnel

A former regular employee who is reemployed by the University in regular status after a break in service exceeding one year will be considered rehired. A rehired employee will be given a new date of hire, must complete a new introductory period and fulfill all relevant waiting periods for benefits eligibility. A former regular employee who is reemployed in regular status after a break in service of less than one year will be reinstated. Reinstatement means that the employee is given an adjusted hire date which includes prior University service. The adjusted hire date is used for determining eligibility for benefits which are based on length of service. Employees who are employed in a different position from the one they left are required to complete a new introductory period.

RESPONSIBILITY

Human Resources is responsible for interpreting and administering the University's layoff policy.

RESOURCE

For more information concerning layoffs, including the status of benefits, contact Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 212 - Reemployment

STATEMENT

Santa Clara University will consider qualified former employees, who left the University in good standing, for reemployment. Individuals with greater than a one year break in service will be treated as new employees, if rehired.

PROCEDURE

Eligibility

All prior University employees are eligible for reemployment within the University, provided they were not dismissed for cause. Former University employees will be considered for employment in the same manner as other external candidates, in compliance with California State Fair Employment and Housing Act.

Benefit Accrual

A former employee who is rehired will be considered a new employee from the effective date of re-employment if the break in service to the University is more than one year. The new effective date will be used to calculate all pay and employment based benefits.

If the break in University service is less than one year, the employee will be reinstated and an adjusted hire date of employment will be used in determining benefit eligibility. However, no employment benefits will be paid or accrued retroactively for time not worked.

RESPONSIBILITY

Human Resources administers the University’s reemployment policy.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 213 - Records of Employment

STATEMENT

Santa Clara University makes and maintains records it deems relevant for human resource administration. The records are the property of Santa Clara University and are maintained by Human Resources in the employee's personnel file. Employees have the right to inspect their personnel files as provided for by law. Copies may be provided, when requested, for a fee.

PROCEDURE

Supervisors or managers who create documents upon which employment decisions are based should submit them for inclusion in the personnel file after reviewing them with the employee. An employee desiring to review his or her personnel file makes a request for such review to Human Resources. The University will make available the employee’s personnel file in Human Resources, at a mutually convenient time for Human Resources and the employee. A designated member of the Human Resources staff will supervise the review. The employee may add to his or her personnel file information concerning any disputed item within the file.

RESPONSIBILITY

It is the responsibility of the employee to update personal data in his or her personnel file, and to assure the accuracy of such. Employees are to report to Human Resources as soon as possible any change in personal data such as name or address changes, telephone number changes, changes in emergency contacts, etc.

RESOURCE

Contact Human Resources if you have questions or would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 1, 2008
Maintainer: Human Resources

Policy 214 - Work Schedules

STATEMENT

Employees should be advised of their normal work days and work shifts before they are hired; however, department heads may change the established work day or shift according to the business needs of the business unit.

PROCEDURE

Emergencies, Staffing Shortages, or Temporary Scheduling

During emergencies, staffing shortages, or other temporary situations, a supervisor may require an employee to work different work days or a different shift without advance notice. Although no formal notice is required for such short term changes, supervisors should give employees as much notice as possible.

If an employee cannot comply with a short term change in schedule, he or she should discuss the situation with the supervisor. If the employee has a valid reason for not complying, the supervisor should consider other means to meet the temporary requirement. Unresolved problems should be referred to the next level supervisor.

Changes in Normal Schedule

Managers and supervisors may change an employee’s normal work day and work shift to meet the needs of the department. The employee will be given as much notice as reasonably possible. Supervisors are encouraged to be sensitive to an employee’s personal situation (child care arrangements, transportation, family life, etc.) when making changes to established schedules.

If an employee requests a change to his/her normal schedule, the supervisor should consider the individual’s request based on the operational needs of the department.

RESPONSIBILITY

Department supervisors are responsible for administering this policy.

RESOURCE

Contact Human Resources if you have questions or would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 215 - Meal and Rest Periods

STATEMENT

Employees who work more than five hours per day are provided with an unpaid meal period. Employees who work more than ten hours per day are provided with a second unpaid meal period. Individual departments set the length of meal periods. Meal periods are typically 60 minutes, but in no circumstances may meal periods be less than 30 minutes.

In limited circumstances a meal period may be waived depending on the total number of hours worked, the position held, supervisor and Human Resources approval. Please contact Human Resources for more information on meal period waivers.

Employees are provided a paid rest period for each four hours worked or major fraction thereof. In a typical eight-hour work day employees are provided with two paid rest periods. Rest periods are 15 minutes each.

PROCEDURE

Use of Meal and Rest Periods

Non-exempt employees may not skip meal or rest periods in order to shorten the work day, or to earn extra paid leave. Rest periods may not be saved for later use, accumulated, or used to compute additional pay.

Scheduling

Rest period practices may be set by individual departments, within the framework of this policy, and must be communicated to affected employees.

RESPONSIBILITY

Departments are responsible for administering the University’s policy on meal and rest periods following the procedures outlined above. Employees are responsible for complying with the policy.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: June 4, 2012
Maintainer: Human Resources

Policy 301 - Attendance and Punctuality

STATEMENT

The University depends on employees to report to work regularly and on time. It is the responsibility of employees to notify their supervisor of any expected leaves, absences, or tardiness. In the event of an unexpected absence it is the responsibility of the employee to stay in contact with the supervisor. Departments are responsible for establishing call-in or lateness procedures, to meet operational needs.

PROCEDURE

Absence Notification

Employees are required to notify their immediate supervisor of absences:

Scheduled Absences
An employee must request supervisory approval in advance when an absence is expected for a full day or part of a day. This includes all planned absences including scheduled health maintenance or medical procedures and vacations. Departmental notification procedures should be followed.
Unscheduled Absences
When advance notice is not possible (because of sudden illness or emergency), the employee must notify the immediate supervisor on the first day of absence. The employee should provide the reason for the absence, the expected return date, and respond to any reasonable questions asked by the supervisor. Departmental call-in procedures should be followed.
Subsequent Notification
An employee who is absent (without prior approval) for more than one day must contact the immediate supervisor daily to report the status of the absence. The supervisor may waive this requirement or designate another contact person for absence reporting.

Absence Without Notification

Employees who do not notify their supervisor of unscheduled absences may be subject to disciplinary action up to and including termination. More than three consecutive workdays absence without notice is considered job abandonment. The department may terminate the employee at the close of business on the third day. Job abandonment is treated as a voluntary resignation.

Lateness Notification

Employees must follow department call-in procedures to notify the department of the reason for lateness and expected arrival time. Excessive unexcused tardiness may be cause for discipline.

Recording Absences

All absences must be recorded and reported:

Paid leave will be used for all approved paid leave (vacations, scheduled medical procedures, health maintenance, etc.) whether scheduled or unscheduled.
Leave without pay will be used when an employee has no paid leave available to cover an absence or when an employee’s request for vacation or sick leave is not approved.
Employees who do not have available paid leave will not be paid.

Recording Lateness

Departments may allow non-exempt employees to make up time, permit the employee to use available paid leave, or deduct pay for time missed due to lateness. Time reported should reflect the lateness accordingly:

Employees who are allowed to make the time up will record actual hours worked.
Employees who are allowed to use available paid leave will charge the time to the appropriate paid leave category (e.g., vacation, sick).
Employees who do not have available appropriate paid leave will not be paid.

RESPONSIBILITY

Individual departments are responsible for establishing protocols for absence notification. It is the responsibility of supervisors and employees to comply with the guidelines in this policy.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Vacation (612), Sick Leave (613), and other paid or unpaid leave policies.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 302 - Professional Responsibilities

STATEMENT

Santa Clara University aspires to be a community of scholars. Academic communities are characterized by members who treat each other as colleagues: their value recognized, their differences appreciated, their rights safeguarded, their responsibilities acknowledged and their opinions respected. Colleagues are supportive of one another’s efforts and committed to the mission and goals of the institution. They contribute to the enterprise by performing their work effectively, with courtesy and integrity, and by conducting themselves as responsible and cooperative members of the academic community. Colleagues recognize and respect that valid differences of opinions and interests will arise in any viable community. Yet they are pledged to address differences and resolve conflicts reasonably, rationally and constructively.

RESPONSIBILITY

In addition to the satisfactory performance of specific responsibilities enumerated in their job descriptions, all staff are expected to observe the following principles in their daily work and interactions on behalf of the University.

Encourage innovation, while preserving the best of Santa Clara University’s traditions by thinking and acting creatively to assure continuous change for the better;
Nurture a diverse University community rooted in mutual understanding and respect by maintaining relationships with their supervisors and colleagues which are open, collaborative and characterized by mutual trust and care;
Strive for effective communication and responsible decision making at every level to advance Santa Clara University’s mission by coordinating and cooperating with others who need to be involved or who are affected by their decisions and actions;
Promote throughout the University a culture of service that fosters the development of personal responsibility by working to understand, implement and administer policies, programs and procedures competently, compassionately and conscientiously;
Create and maintain a working environment which fosters a passion for lifelong learning and a community enriched by men and women of diverse backgrounds, respectful of difference and enlivened by open dialogue, caring and just toward others, and committed to broad participation in achieving the common good.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 303 - Professional Conduct

STATEMENT

Santa Clara relies on employees to maintain a professional, business like manner during work hours, and on University property, or whenever representing the University. Employees may also be accountable for behavior outside of work if it has an impact on their ability to perform their responsibilities at work or the potential to cause discredit or harm to the University. Failure to adhere to Santa Clara University’s norms and standards of professional conduct may result in disciplinary action up to and including termination.

PROCEDURE

Areas of conduct covered by this policy and standards of conduct include, but are not limited to the following:

University Resources
Unauthorized use of long distance telephone service, courier services, postage, office supplies, and other business equipment and supplies is prohibited. Employees are expected to use discretion and good judgment in limiting occasional use of University telephones, copiers, fax machines and computers for personal, non-business use.
Personal Business
Employees may not conduct personal business during work hours or use University resources for personal business. Unauthorized possession, misuse, reading or copying of University documents or records or disclosure of information from such records to unauthorized persons is prohibited.
Professional Organizations
Employees who belong to outside professional organizations should ensure that association with the organization, its conduct or membership, does not have a negative impact on the individual’s ability to perform the duties of his or her job. Employees should take care not to represent themselves as spokespersons for the University.
Alcohol and Other Drugs
Being under the influence of alcohol or illegal or controlled substances when reporting to work, while on the job, or in connection with carrying out University responsibilities is prohibited. In addition, possessing or selling illegal or controlled substances while on the job, or in connection with carrying out University responsibilities is also prohibited. This complements other University policies including those regarding the drug free workplace.
Dress
Employees are expected to dress in a manner appropriate to their work environment and to the type of work performed. In instances of uncertainty, the supervisor should be consulted. All employees are expected to maintain acceptable levels of grooming and personal hygiene.

RESPONSIBILITY

It is the responsibility of all University employees to follow the procedures outlined above, other University policies regarding employee conduct, and specific departmental guidelines.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. See also Drug Free Workplace (703).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 304 - Conflict of Interest

STATEMENT

Santa Clara University employees are expected to avoid conflicts of interest, or appearances of conflict.

PROCEDURES

Definition

A conflict of interest is considered to exist in an instance where an individual's actions or activities involve both an advantage to the employee and an adverse effect on the University's interests. It can also result when an individual's association or involvement with a third party prevents the employee from exercising care, skill and prudent judgment on behalf of the University in the performance of assigned duties.

A conflict of interest exists if an employee has an existing or potential interest, financial or non-financial, that may impair (or appear to impair) the individual's independent judgment when performing University responsibilities, or if the employee receives or may receive a material, financial, or other benefit from knowledge of confidential or proprietary University information. In addition, a conflict exists if any of the above circumstances exist involving a member of the immediate family of an employee.

A conflict of interest exists when an employee influences or attempts to influence any University business transaction, research activity or other decision in ways which could lead to any manner or form of personal gain for the employee, other than from salary from the University, regardless of source. The conflict extends also to personal gain for the employee's family members. The University will not knowingly do business with any enterprise owned in whole or in part by any employees or members of their families.

Gifts and Entertainment

No employee may solicit or accept, directly or indirectly, any gift or gratuity that might reasonably be interpreted by others as being of such a nature that it could affect his or her impartiality.

Endorsements

No employee of the University shall authorize for University use any product or service furnished by a firm in which the employee has financial interest that could be enhanced as a result of such recommendation. When requested, employees may provide references on products and services used by the University. The furnishing of such a reference is not to be construed and should not be presented as an official University endorsement but rather a statement of personal opinion or preference.

Requirements

In the event the employee enters or will enter into a situation creating a conflict of interest, advance consultation with the supervisor is required. The employee is to follow the instructions and further recommendations of the University. In cases of uncertainty, employees in advance must consult supervisors for clarification of conflict of interest.

RESPONSIBILITY

All University employees must follow the guidelines outlined in this policy. Other University policies may apply to conflicts of interest, such as confidentiality. Please refer to the appropriate policies for additional information.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 305 - Confidential Information

STATEMENT

The University will safeguard confidential information concerning students, employees, alumni, University business, and other matters. Unauthorized accessing and/or disclosure of confidential information by University employees is prohibited and may result in legal penalties as well as disciplinary sanctions.

PROCEDURE

Types of Confidential Information

Confidential information includes, but is not limited to information concerning:

Prospective, current or former students
Prospective, current or former employees
University business, finances, or operations

Restrictions and Violations

There are specific laws, University policies, and guidelines that govern the release of confidential information. Therefore, University employees may not obtain access to or provide confidential information unless their positions within the University authorize them to do so. Employees who receive requests for confidential information should seek direction from a supervisor before responding. Employees who violate the University’s Confidential Information policy may be disciplined up to and including dismissal. Unauthorized accessing or disclosure of legally protected information may result in civil liability or criminal prosecution.

References

The University limits the authorized release of reference information on former employees to confirmations of dates of employment , positions held, and salary verification. Any further information provided by individuals is construed to be a personal reference for which the University is not responsible or liable.

Media Contacts

Employees are encouraged to seek prior authorization before commenting on University business to representatives of the press (radio, television, electronic or print media). They may not represent themselves as spokespersons for the University unless authorized to do so. Inquiries from campus media should be referred to the appropriate department head or higher level of management.

Subpoenas

Subpoenas and any other request or demand for the release of information for legal proceedings must be referred to the appropriate Vice President before release of any information.

RESPONSIBILITY

Supervisors are responsible for knowing the confidentiality laws, policies, and guidelines that pertain to their area. Supervisors are also responsible for informing employees about restrictions on confidential information. University employees must comply with this policy. When in doubt, they should assume information is confidential and not disclose it until authorized to do so.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy. Contact the University Communications Department concerning media contacts or division Vice President concerning subpoenas.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 306 - Electronic Information and Systems

STATEMENT

Santa Clara University recognizes the privacy of its employees as well as the confidentiality of those it serves. Within a balance of security and respect lies this policy on electronic information and the privacy of the employee who created it. With changing technology, this policy is applicable to all forms of electronic information, both currently in use, and yet to be developed.

Santa Clara University maintains the rights to the systems it purchases, including but not limited to: software, computer hardware, disks, phone systems, voice mail, e-mail, recorders, and video equipment.

Electronic systems are provided to employees for University use only. Personal use is not strictly prohibited, however inappropriate use and/or abuse (e.g., pornography) of privileges will be disciplined. The University reserves the right, as needed, to access personal electronic records such as e-mail and voice mail. Employees will be notified if and when the University exercises said right.

RESPONSIBILITY

It is the responsibility of employees to utilize the equipment designated to their positions in a responsible manner, to uphold the purposes of intended use, and not to abuse special circumstances of personal use. Supervisors are responsible to monitor potentially abusive situations.

RESOURCE

Contact Human Resources if you have questions or would like more information on this policy.

Policy 307 - Telecommuting

STATEMENT

Santa Clara University considers telecommuting to be a viable work option in certain circumstances which, when properly implemented and administered, benefits both the University and the telecommuter. The University defines telecommuting as the substitution of telecommunication technologies, including, but not limited to, telephones, facsimile machines, computers, electronic mail, and modems for travel to the University’s offices. A telecommuter is an employee who works for the University from a home, or other remote office, for some part of the regularly scheduled workweek.

Telecommuting does not change the basic terms and conditions of employment with the University. All University employees, including telecommuters, are subject to the University’s employment policies and procedures.

PROCEDURE

The telecommuter’s work schedule must be approved by the supervisor. The telecommuter agrees that he or she will be readily accessible during scheduled work hours while working from his or her home office or any other remote office. A telecommuter who is an overtime or non-exempt employee must complete a daily time sheet. A non-exempt telecommuter must also take his or her required breaks and must obtain pre-approval to work any overtime in accordance with University policy.

RESPONSIBILITY

The telecommuter is responsible for designating and maintaining a workplace that is free from recognized hazards and that complies with all occupational safety and health standards, rules, and regulations. The telecommuter is responsible for setting up and maintaining an ergonomically correct workstation. Employees requiring assistance in this regard should contact Human Resources. The telecommuter is responsible for any tax implications related to his or her home work space.

The University shall be responsible for the repair and maintenance of University owned telecommuting equipment, office equipment, and furniture in accordance with established procedures. The telecommuter agrees to use all equipment for its intended purpose, in accordance with the manufacturer’s instructions and in a safe manner and to return it promptly to the University at the conclusion of the work.

All office equipment, telecommuting equipment, furniture, and other items used in performance of University business shall be located within the work space designated by the telecommuter and may be used only by authorized employees for intended University purposes. The telecommuter is responsible for insuring University provided equipment under his or her homeowner’s or renter’s insurance policy.

RESOURCE

Contact Human Resources if you have questions or would like more information on this policy. Human Resources will refer technical and/or non-Human Resource related issues to the appropriate departments.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 308 - Solicitation and Distribution

STATEMENT

In order to maintain and promote efficient operations, and security, the University has established rules applicable to all employees which govern solicitation, distribution of written material and entry into premises and work areas.

No employee shall solicit or promote support for any cause or organization (e.g., fundraisers) during his or her working time and/or during the working time of the employee or employees at whom such activity is directed without authorization from the appropriate Vice President. Meals and breaks do not constitute working time.

No employee shall distribute or circulate any printed or written non-University, non-work material in work areas at any time during his or her working time and/or during the working time of the employee or employees at whom such activity is directed.

Under no circumstances will non-University employees be permitted to solicit or distribute written materials for any purpose on the University’s premises without prior authorization.

RESPONSIBILITY

It is the responsibility of the employee initially to distinguish appropriate times and means for solicitation and distribution consistent with this policy, and subject to University review. Outside vendors must obtain prior approval for solicitation and distribution from the appropriate Vice President. All individuals must comply with the terms of this policy.

RESOURCE

Contact Human Resources if you have questions or would like more information regarding this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 309 - Conflict Resolution

STATEMENT

According to its Statement of Purpose, Santa Clara University is dedicated to a community enriched by men and women of diverse backgrounds, respectful of difference and enlivened by open dialogue, caring and just toward others, and committed to broad participation in achieving the common good.

Santa Clara University recognizes that valid differences of opinions and interests will arise within a vibrant and dynamic working community. It is the responsibility of every member of that community to strive for effective communication and responsible decision making and the resolution of conflicts or disputes with reason, conscience, and compassion.

PURPOSE

The purpose of this policy is to provide individual staff members with a process for resolving work-related conflicts. The emphasis of the Conflict Resolution Process ("Process") is on early identification and resolution of disputes with fair consideration of both sides of a conflict. Conflict resolution is seen as a partnership designed to meet some individual and shared needs, result in mutual benefits, and strengthen the relationship.

For the purposes of this document the words conflict, dispute, problem, and complaint will be used interchangeably.

PROCEDURES

Eligibility

All regular and fixed-term staff members who have successfully completed the introductory evaluation period are eligible to utilize the process. Regular and fixed term staff members who have not successfully completed the introductory evaluation period may utilize the process through the Human Resources review level only. Faculty may choose to engage in this process in the event of a faculty/staff dispute. Students may be allowed to participate in the process in the event of a student/staff dispute. This policy does not apply to staff members of a bargaining unit represented by a union.

Definition

Conflict resolution addresses workplace problems, disputes, or complaints which claim a violation or misapplication of University policies, regularly followed practices, Statement of Purpose, Guiding Principles, or Fundamental Values.

Allegations or complaints of civil rights discrimination or related violations of public policy (e.g., whistleblowing) should be resolved according to processes specified by the University's policy on discrimination, discriminatory harassment, sexual harassment and other related compliance subjects (311) and also includes the option of access to neutral arbitration upon request of the staff member.

Timeliness

Individual attempts to resolve a conflict or dispute should begin within 15 calendar days of the decision, action, or event. Informal conflict resolution processes should begin within 45 calendar days of the event. Formal conflict resolution must be invoked within 90 calendar days of the event.

Process

Information and Education
All staff, faculty, and students within the University community shall have access to information and are expected to participate in education. Information and education resources are designed to equip individual members of the community with the skills to develop and maintain effective working relationships in which conflict is addressed and resolved reasonably, constructively, and for the common good. It is the responsibility of all persons to acquire and demonstrate needed conflict resolution skills in their daily work and interactions within the University community. Each member of the community is empowered and encouraged to deal with conflict resolution at the time of the conflict. Many times a small problem will be successfully resolved immediately, rather than allowing it to fester and grow, resulting in a much bigger issue. Persons in conflict are encouraged to use their own skills and campus resources creatively to resolve conflict in a mutually satisfying way.

Conflict Resolution Resources (Informal Process)
Issues which are not successfully and satisfactorily resolved at the source may benefit from resources available for informal discussion between the parties. The value of using the following resources to informally resolve conflict is that the parties work in partnership to arrive at and agree upon a mutually acceptable resolution.

Peer Counselors

Peer counselors are trained individuals available to meet with someone involved in a conflict to assist him or her to clarify issues and identify options.

Facilitators

Facilitators are trained persons available to meet with both parties involved in a conflict. The role of the facilitator is to aid communication and to help parties discover areas of commonality. The facilitator does not suggest solutions to conflict. Solutions come from and are agreed upon by the parties in conflict.

Mediators

Mediators are designated individuals trained to hear both parties in a conflict and to work with them to arrive at a mutually acceptable resolution of the dispute. Mediators have the ability to propose solutions but no authority to implement them.

Conflict Resolution Process (Formal Process)
At this point it is re-emphasized that the goal of this policy is for conflict to be resolved by mutual agreement at the level requiring the least amount of outside intervention. When individual and informal efforts have been unsuccessful in resolving conflict, one or both of the parties may request the formal review process which relies on third parties to determine solutions:

Supervisor Review

An employee should first seek formal problem resolution with the supervisor. (Note: This does not preclude a supervisor from functioning informally as a counselor, facilitator or mediator if trained and requested to do so.) An employee should submit the request in writing, documenting the dispute, identifying which policies or practices, principles or values were believed to have been violated, any attempts to resolve the conflict and the results, and setting forth a proposed remedy. If the dispute specifically involves the supervisor, the employee should address the problem with the next higher level of management. Supervisors and managers are strongly encouraged to resolve disputes within the department. The supervisor or higher level manager will document the issue, investigate the dispute and steps taken to attempt to resolve the problem, and make a decision on the outcome. A written response will be presented to the employee within 20 calendar days of the supervisor's receipt of the written request.

Human Resources Review

When either of the parties believes the problem has not been resolved through the Supervisor Review, either may present the dispute to the appropriate Human Resources representative. The representative will notify the other party that a dispute has been filed. The appropriate Human Resources representative will review the written response from the prior step and facilitate further communication about the dispute between the involved parties. The Human Resources representative will investigate the problem and attempt to resolve the complaint. A written response to the dispute will be given to both parties by the Human Resources representative within 20 calendar days of the date the dispute was filed, unless additional time is needed in which case both parties will be informed of the expected date of response.

Conflict Resolution Panel Review

Decisions at the Human Resources Review level are final unless the conflict is one designated below as appropriate for panel level review:

Disciplinary suspensions
Involuntary demotions
Involuntary terminations (including layoff)

In the cases involving one of the above actions, if either party is not satisfied with the response at the Human Resources Review, he or she may submit the dispute, in writing, for review by the Conflict Resolution Review Panel. A panel level dispute resolution request must be filed within 10 calendar days after the parties receive the response from Human Resources.

A Conflict Resolution Review Panel will be convened to review the dispute within 20 calendar days after receipt of the written request for a Panel level resolution. If additional time is needed to convene the Panel, the days may be extended. Both parties to the dispute will be notified in writing of the resolution proceedings.

The person seeking resolution may select an individual from the University community to provide assistance, but not as legal counsel, during the proceedings. The complainant has the right to request information or seek information related to the dispute, other than confidential personnel files or other confidential information about another employee. The respondent also may select an individual from the University community to provide assistance, but not as legal counsel, during the proceedings. The respondent also may seek information related to the dispute.

Composition of the Conflict Resolution Review Panel

The Conflict Resolution Review Panel will consist of nine appointed staff members, three from each Vice-Presidential area. From each Vice-Presidential area one member is selected by the respective Vice President, one member is selected by the Staff Assembly, and one member is selected by the Chief Human Resources Officer. The panel appointment will be for staggered three year terms.

To convene a Panel for a particular dispute, the responsible Vice President will recommend five potential panelists from among the full membership of the Conflict Resolution Review Panel. Each person in conflict will strike one name from the list. The remaining three will constitute the Panel. Panel members will select a Recorder from among themselves who will prepare the Panel report.

In particular cases or because of potential conflicts of interest, the University reserves the right to vary the panel selection process set forth above with the agreement of the parties involved.

Conflict Resolution Review Panel Duties

The Conflict Resolution Review Panel will consider the written record from the prior steps, interview appropriate witnesses, and conduct an impartial review to determine the facts and the circumstances of the case. Tape recordings may be made of the witness statements. The Panel will make a recommendation within 10 calendar days from the date the Panel first convenes. If additional time is needed to complete the review, the days may be extended. Both parties will be notified of any extension.

All information obtained during a conflict resolution review and the final recommendations of the Panel are confidential. Only information required to satisfy the reporting and compliance provisions of this resolution procedure may be released.

The Panel report, containing specific facts and findings, the basis for the recommendation, and the recommendation, will be submitted to the Vice President responsible for the final disposition of the dispute. The Vice President will make a decision within 10 calendar days, unless additional time is needed.

When the Vice President has reached a decision on the Panel recommendation, the Panel Recorder will communicate this decision in writing to the parties in the dispute.

Guidelines for Panel Reviews

At all steps in the review of conflicts under this Policy, individuals should confine their considerations to the facts of the dispute and not to peripheral issues which are not material.

All reviews should be conducted in a timely manner and in accordance with standards of fairness but need not be burdened by the formalities of a judicial hearing.

No adverse action may be taken against the individual bringing the complaint in good faith, or against any persons who furnish him or her with any assistance solely because of their involvement in the complaint.

The decision of the Vice President is final and binding on both the University and the staff member, except that in cases of termination or layoff, the staff member may appeal the Vice President's decision to neutral arbitration (see below) by so advising the Chief Human Resources Officer in writing within thirty (30) days after receipt of the Vice President's decision. If the staff member does not appeal within thirty (30) days, the Vice President's decision with respect to a termination or layoff, the resolution by the Vice President is final and binding.

Neutral Arbitration

The staff member and the University will choose any arbitrator by mutual agreement. The arbitrator shall be a qualified professional labor/employment arbitrator. If the parties are unable to agree on the identity of the arbitrator, the staff member shall request a panel of names from JAMS-ENDISPUTE of Santa Clara County. The arbitrator shall be chosen from the given panel of names, by alternate striking of names, beginning with the University, until one arbitrator is left, who shall serve as arbitrator. The staff member and the University will execute a written stipulation designating the selected arbitrator to hear the dispute under the terms of this Policy. The arbitrator shall conduct hearings and issue a final and binding written decision, a copy of which will be delivered to the staff member and the University and/or their respective attorneys. The arbitrator will be authorized to award appropriate remedy under law as to the specific issues submitted; however, the arbitrator shall have no power to add to, subtract from, change, alter, or ignore the provisions of the Policy Manual or of any other University policy. The University shall be responsible for the professional fees of the arbitrator, unless the staff member objects, in which case the University and the staff member shall each be responsible for 5O% of the professional fees of the arbitrator.

RESPONSIBILITY

Employees and supervisors are responsible for maintaining appropriate confidentiality and for participating in the conflict resolution process outlined in this Policy. It is the responsibility of Human Resources, the Conflict Resolution Review Panel, and the Vice Presidents to employ the means of resolution detailed in this Policy. Any dispute concerning procedures or standards under this Policy is to be resolved by the Chief Human Resources Officer. The University Compliance Officer is responsible for addressing issues of alleged civil rights discrimination (e.g., racial harassment, discriminatory harassment).

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 310 - Corrective Action for Performance Problems

STATEMENT

Santa Clara University needs the very best skills, efforts and performance of its employees to fulfill its mission. Periodically, performance problems may arise and must be addressed by the supervisor and employee involved, or other appropriate University resources (e.g., second level supervisors). Supervisors use a variety of corrective action approaches as needed to address the specific nature of each performance problem. Their goal is to identify and resolve problems as early as possible through timely and effective partnership with employees.

PROCEDURES

Corrective action includes:

Identify the problem. Either the employee or the supervisor may first identify the problem. Examples could include poor work product, strained working relationship, attendance problems, etc.

Supervisors assess and clarify the problem by talking with the employee and others as appropriate. Problems can stem from skill deficiencies, behavioral styles, lack of clear communication, personal crisis, or some combination of these or other factors.

Supervisors establish clear performance expectations with the employee for the correction of the problem. The employee needs to know what is considered successful resolution of the problem and what support and/or resources may be available to help meet the expectations.

Supervisors work with the employee to identify appropriate measures to correct the problem. Employees need to accept responsibility for correcting the problem. Examples could include obtaining training for skill problems, making other family arrangement for attendance problems, stopping offensive behavior, etc.

Supervisors communicate what the outcome will be if the problem is not corrected. Examples could include a revised job assignment or termination as appropriate.

Supervisors and employees communicate regularly about how progress is or is not being made. This process usually includes discussions and written documentation. Either may initiate the communication. Both are responsible for engaging in it constructively. The supervisor is responsible for documenting progress discussions.

Supervisors conclude corrective action. Either the problem is resolved or other action is taken as described.

Documentation

In many circumstances, the performance problems can be corrected through informal conversations between the supervisor and the employee and no documentation is required. In more serious or complex situations, the problem statement and the corrective action expected should be written down by the supervisor and reviewed with the employee to minimize the chance for miscommunication. Contact Human Resources for guidance in composing the document and submit a copy for inclusion in the personnel file.

Extraordinary Measures

In some circumstances the problem is so serious that extraordinary measures other than typical corrective action may need to be taken. Examples of such problems include gross misconduct, physical or emotional incapacity or behavior which is threatening or potentially harmful to others. Examples of extraordinary measures include suspension, and/or termination. Contact Human Resources immediately in such circumstances for guidance.

Termination of Employment

If the corrective action is unsuccessful or the problem is so severe as to render corrective action inappropriate or impractical, termination of employment can occur. The supervisor will recommend whether to terminate or retain the employee. Any decision to terminate an employee must be reviewed with Human Resources prior to the employee being informed of that fact. If termination is being contemplated, the supervisor should contact Human Resources as early as possible for guidance.

RESPONSIBILITY

The employee has the primary responsibility to maintain his or her performance consistent with the supervisor’s expectations and to engage in constructive interaction to correct performance problems. The supervisor has the responsibility to establish and communicate performance expectations and to take appropriate action when problems arise. Human Resources is responsible to be a resource to the supervisor and employee in their efforts to correct performance problems.

RESOURCE

Human Resources can provide additional coaching, training and written information and guidance regarding dealing with performance problems. See also Conflict Resolution (309).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

After many years, the University now has an approved single policy for Unlawful Harassment and Unlawful Discrimination that applies to students, faculty and staff. This approved policy is the culmination of the effort of many people over many years. In the past there was a single policy for faculty and another separate policy for staff and students. We now have a unified policy that applies to all members of the campus community. This new policy has been approved by the Student Affairs Committee, Faculty Affairs Committee, Faculty Senate, Staff Affairs Committee, Staff Assembly Council, the President and Administration, and the Board of Trustees.

Policy 311 - Prevention of Unlawful Harassment and Discrimination

STATEMENT

Santa Clara University is dedicated to:

an uncompromising standard of academic excellence and an unwavering commitment to academic freedom, freedom of inquiry, and freedom of expression in the search for truth;
being a community enriched by men and women of diverse backgrounds, respectful of difference and enlivened by open dialogue, caring and just towards others, and committed to broad participation in achieving the common good.

Unlawful harassment and unlawful discrimination subvert these University ideals. The University does not tolerate unlawful harassment or unlawful discrimination and will take prompt and effective corrective action including, where appropriate, disciplinary action up to and including dismissal or expulsion.

Any behavior constituting unlawful harassment or unlawful discrimination by any employee or student of the University, or by any other person engaged in a University activity, toward any employee or student of the University, or any other person engaged in a University activity, is prohibited. This prohibition applies to both: (1) behavior, whether on or off campus, in the course of any University administered class, program, job, or activity; and, (2) behavior in any other context, whether on or off campus, if at the time of the behavior the person engaging in the behavior knows that the other person is an employee or student of the University or a person engaged in a University activity

NATURE OF PROHIBITED CONDUCT

Unlawful harassment and unlawful discrimination are defined and prohibited by federal and California law, as amended from time to time.

Unlawful harassment
Harassment is conduct that has the natural effect of demeaning, ridiculing, insulting, stigmatizing, frightening, intimidating, or impeding the work or movement of a person to whom the conduct is directed. The form of conduct may be verbal (either oral or written words or symbols), such as epithets, insults, and derogatory comments. The form of conduct may be physical, such as assault or battery, impeding or blocking movement, or any physical interference with normal work or movement. The form of conduct may be visual, such as derogatory posters, cartoons, or drawings.

Unlawful harassment is harassment that refers to or is based upon the protected status of the person or persons being harassed, including race, color, national origin, ancestry, sex, sexual orientation, age, religious creed, physical or mental disability, medical condition as defined by California law, marital status, citizenship status, gender identity, gender expression, genetic information, or other status protected by law.

Unlawful harassment also includes sexual harassment. Sexual harassment includes any of the following conduct: explicit or implicit requests by one person for sexual favors from another person that condition employment, academic progress, or other University benefit upon the performance of those sexual favors; other unwelcome sexual advances, touching, or propositions; continual verbal expression about an individual's body; sexually degrading words used to describe an individual; the offensive display in the workplace or educational environment of sexual objects or pictures. Sexual harassment also includes other physical, verbal, or visual conduct based on gender when: (1) it has the natural effect of unreasonably interfering with an individual's work or academic performance, or creating an intimidating, hostile, offensive, or abusive environment; or (2) submission to the conduct is an explicit or implicit term or condition of employment, academic progress, or student activity and/or submission to or rejection of the conduct is used as the basis for an employment or academic decision.
cision.

Unlawful discrimination
Unlawful discrimination consists of some kinds of conduct that deny equal opportunities, privileges, or benefits to individuals based upon race, color, national origin, ancestry, sex, sexual orientation, age, religious creed, physical or mental disability, medical condition as defined by California law, marital status, citizenship status, gender identity, gender expression, genetic information, or other status protected by law.

Adverse decisions regarding conditions of employment, including recruitment, hiring, placement, transfer, promotion, and termination, decisions regarding recruitment, retention, and participation in programs by students, and academic decisions are unlawful if based on the aforementioned characteristics or status.
Except to the extent permitted by law (for example, bona fide occupational qualifications) University administration of personnel policies, programs, and activities (such as compensation, promotion, termination, benefits, training, and recreational programs), and University administration of student-related policies, programs, and activities (such as admissions, extracurricular, and recreational programs or activities), are unlawful if based on the aforementioned characteristics or status.

Retaliation
Retaliation by the University, its employees, or its students, against any person who in good faith reports, complains of, files or pursues a complaint about, or requests assistance with respect to unlawful harassment or unlawful discrimination, or against any person who provides evidence as a witness in connection with a claim of unlawful harassment or unlawful discrimination, is prohibited and will be subject to appropriate disciplinary action by the University.

PROCEDURES RELATING TO COMPLAINTS OR REQUEST FOR ASSISTANCE

Application of procedures to faculty, staff, and students
The procedures specified in this policy apply to all faculty and staff. A member of the faculty or staff participating in a University class or other activity as a student shall nonetheless be considered a member of the faculty or staff, respectively, for purposes of applying this policy to conduct allegedly occurring in such class or other activity.

The Judicial Procedures applicable to enforcement of the Student Conduct Code apply to students, except that the procedures specified in this policy apply to the following cases involving students:

When a student alleges unlawful harassment or unlawful discrimination by a faculty member or staff member or a faculty member or staff member alleges unlawful harassment or unlawful discrimination by a student.
When a student alleges unlawful harassment or unlawful discrimination by another student if the student respondent is an employee of the University and the student complainant is not an employee of the University, unless the Director of Affirmative Action determines that it is more appropriate for the case to be resolved by Judicial Procedures applicable to enforcement of the Student Conduct Code.
When a student alleges unlawful harassment or unlawful discrimination by another student if both are employees of the University at the time of the alleged harassment or discrimination and the student complainant is subordinate in the employment relationship to the student respondent, whether or not the complaint is about harassment or discrimination in the workplace.
When a student alleges unlawful harassment or unlawful discrimination by another student if both are employees of the University at the time of the alleged harassment or discrimination, if the student complainant is not subordinate in the employment relationship to the student respondent, and if the complaint relates to behavior of the respondent in the workplace.

If there is doubt about whether cases involving students are covered by either of the two preceding paragraphs (numbered 3 and 4), the Director of Affirmative Action shall make a binding decision, not subject to appeal, as to whether the procedures specified in this policy or the Judicial Procedures applicable to enforcement of the Student Conduct Code shall apply. In reaching such a decision, the Director of Affirmative Action shall begin with the presumption that the procedures specified in this policy apply.

For purposes of applying this policy, a student receiving compensation from the University for teaching responsibilities (including tutoring) shall be considered a student employee rather than faculty or staff.

Initiation of complaint or request for assistance
Any faculty member, staff member, student, or other person protected by this policy who believes that he or she has been the subject of unlawful harassment or unlawful discrimination may lodge a complaint or request for assistance. A request for assistance may be made even if the person making the request is uncertain whether, or does not believe that, the conduct of another rises to the level of unlawful harassment or unlawful discrimination. To lodge a complaint or request for assistance, the person with a complaint or request for assistance (hereafter "complainant") should submit a complaint or request for assistance as soon as possible following the incident or incidents of alleged harassment or discrimination for which a complaint is filed or assistance is sought. The complainant may submit the complaint or request for assistance to his or her department head or supervisor, other higher-level University officer, or the University Director of Affirmative Action. A complaint against or request for assistance relating to a department head or supervisor, a higher-level University officer, or the Director of Affirmative Action should be submitted to one of the other persons identified in the preceding sentence. The complaint or request ordinarily should be in writing and ordinarily should include the name of the complainant, the date of the complaint or request, details of the incident(s), the name of the person or persons alleged to have engaged in the conduct (the respondent(s)), the names of any witnesses, and a description of the type of remedy or assistance sought. If the complaint or request for assistance is oral, the person to whom the complaint or request for assistance is made should make and preserve notes identifying the facts specified in the previous sentence to the extent related in the conversation.

University supervisors and managers, including academic personnel with managerial authority on behalf of the University, have the following duties: (1) to report promptly to the Director of Affirmative Action any conduct that they observe that they believe may constitute unlawful harassment or unlawful discrimination; and (2) to communicate promptly to the Director of Affirmative Action any report of, complaint of, or request for assistance with respect to unlawful harassment or unlawful discrimination made to them. This duty applies even in cases in which the supervisor or manager is asked to or desires to participate in an attempted informal resolution of a complaint or request for assistance. Failure to comply with these duties may result in disciplinary action by the University.

Initial evaluation by Director of Affirmative Action
When a person has filed a complaint or request for assistance, the Director of Affirmative Action shall select the appropriate response from among the following options:

If the Director of Affirmative Action determines that alleged conduct does not amount to harassment or discrimination that is unlawful, the Director will not initiate informal or formal resolution of the complaint or request for assistance but may nonetheless attempt to assist the parties in resolving the issues presented or refer them to others on campus for assistance. However, the Director may later initiate informal or formal resolution for sufficient reason, such as by virtue of a subsequent complaint or request for assistance with respect to conduct of the same respondent(s) or when additional information comes to light. If the Director of Affirmative Action determines that alleged conduct does not amount to harassment or discrimination that is unlawful, the Director of Affirmative Action shall so inform the complainant and the respondent of that determination in a writing that specifies the reason for the determination.
If the Director of Affirmative Action determines that alleged conduct, if proven, may constitute harassment or discrimination that is unlawful, the Director shall recommend either informal or formal resolution as more fully described below. When deemed necessary for the protection of others or for the general welfare of the University, the Director of Affirmative Action may require formal resolution even if the person making the complaint or request for assistance does not wish to pursue the complaint or request for assistance or wishes only to pursue informal resolution.
If the Director of Affirmative Action determines that the conduct complained of requires corrective action through means other than informal or formal resolution, or if the University has knowledge of prior charges of unlawful harassment or unlawful discrimination against the respondent(s), the Director need not begin or may discontinue informal or formal resolution and the University may take other appropriate action.

Informal resolution
If the Director of Affirmative Action determines that alleged conduct, if proven, may constitute unlawful harassment or unlawful discrimination, the Director of Affirmative Action may recommend an attempt at informal resolution to be facilitated by the Director of Affirmative Action, by an appropriate supervisor or manager, or by a neutral third party chosen and agreed to by the complainant, the respondent, and the Director of Affirmative Action. However, any party may decline to participate in or to continue to participate in an attempt to informally resolve the problem. Any party may decline to accept a recommended informal resolution of the problem.

One of the goals of the informal resolution process is to encourage and foster early action to prevent and/or correct conduct that the complainant believes is in violation of University policy. Accordingly, the fact of a respondent's agreement to undertake an informal resolution shall not constitute, shall not be used as, and shall not be construed as an admission that the respondent has violated University policy against unlawful harassment and unlawful discrimination, and the fact of a complainant's agreement to undertake an informal resolution shall not constitute, shall not be used as, and shall not be construed as an admission that the respondent has not violated University policy against unlawful harassment and unlawful discrimination.

The Director of Affirmative Action is an experienced facilitator of informal resolution of these types of matters and the parties are encouraged to accept the Director of Affirmative Action's participation if the Director of Affirmative Action so suggests. The Director of Affirmative Action may also decline to serve as facilitator. If the complainant and respondent desire informal resolution to be facilitated by someone other than the Director of Affirmative Action, the Director of Affirmative Action shall advise them concerning the most appropriate and effective ways to proceed.

If, during informal resolution, the Director of Affirmative Action, a supervisor or manager, or other neutral third person mutually chosen facilitates communication between the complainant and respondent in an attempt to resolve the complaint or request for assistance by agreement, the facilitation process constitutes mediation subject to the protections of confidentiality and against compelled disclosure, and the exceptions to those protections, that are stated in sections 1115 through 1128, inclusive, of the California Evidence Code.

An attempt at informal resolution shall be initiated, if at all, within 10 working days of receipt of the complaint or request for assistance, and should proceed to conclusion (whether successful or unsuccessful) within 20 working days of initiation of the informal resolution process. The facilitator may extend the deadline for informal resolution for one succeeding period of 10 working days if the facilitator reasonably believes that a successful informal resolution is possible within the extended time.

The following are examples of informal resolution:

discussions that resolve misunderstandings or exchange perceptions
the complainant concludes that there is no cause, or no further cause, for complaint or assistance
the respondent reads or listens to a statement made by the complainant
the respondent apologizes to the complainant
the respondent agrees to end conduct that is or is perceived by the complainant to be harassing, discriminatory, or otherwise offensive to or unwelcome by the complainant
the respondent agrees to participate in educational programs aimed at changing behavior that is or is perceived to be harassing, discriminatory, or otherwise offensive to or unwelcome to the complainant.

If the Director of Affirmative Action has not participated in achieving an informal resolution, the parties, the supervisor or manager, or other neutral third person shall inform the Director of Affirmative Action in writing of the results of any attempt at informal resolution within 5 working days of conclusion of those efforts and shall attach any written agreement between the parties

Formal Resolution
If either the complainant, the respondent, or the Director of Affirmative Action does not agree to informal resolution, if an attempt at informal resolution is unsuccessful, or if the Director of Affirmative Action concludes that appropriate informal resolution is not likely to be reached in a timely fashion, the Director of Affirmative Action shall so inform both parties in writing and specify in writing the charges to be investigated through a formal resolution process.

If the Director of Affirmative Action has not previously attempted to facilitate an informal resolution, the Director of Affirmative Action shall initiate a formal investigation within 10 working days of the decision to do so and shall serve as the investigator. If the Director of Affirmative Action has previously attempted to facilitate an informal resolution, the President of the University or his designee (or the Chair of the Board of Trustees if the complaint is against the President) shall promptly name an alternative qualified person to undertake the investigation. The investigator so chosen must be able to and shall initiate the investigation within 10 working days of being named.

Investigation of the complaint or request for assistance will be thorough and proceed to conclusion within 30 working days of the initiation of the investigation. When the investigation is completed, the investigator will promptly report in writing to the appropriate University officer. The report shall include the investigator's evidentiary findings of the occurrence or non-occurrence of the alleged conduct and the investigator's legal conclusion as to whether conduct that occurred amounted to unlawful harassment or unlawful discrimination. The appropriate University officer will then promptly decide upon the resolution, including, if appropriate, a remedy and prompt and effective corrective action.

The appropriate University officer is determined by the role of the parties in the University community (faculty, staff, or student) at the time of the alleged conduct.

Except for cases described in paragraph E.2 immediately below,
• if the respondent was a faculty member (even if holding an administrative appointment) at the time of the alleged conduct, the appropriate University officer is the Provost
• if the respondent was a staff member at the time of the alleged conduct, the appropriate University officer is the Assistant Vice President for Human Resources, except that the appropriate University officer is the Provost if the complainant is a student, the respondent is a staff member with a faculty appointment that is not a continuing faculty appointment, and the complaint arises by virtue of the staff member's alleged conduct in the role of instructor
• if the respondent was a person holding both a staff appointment and a continuing faculty appointment at the time of the alleged conduct, the appropriate University officer is
• the Assistant Vice President for Human Resources if the complainant was a staff member at the time of the alleged conduct
• the Provost if the complainant, at the time of the alleged conduct, was a student, a faculty member, or a person holding both a staff appointment and a continuing faculty appointment

• if the respondent was a student at the time of the alleged conduct, the appropriate University officer is the Assistant Dean of Student Life
If the Assistant Vice President for Human Resources is the respondent or is a complainant in a case in which a staff member is a respondent, the appropriate University officer is the Vice President for Administration and Finance. If the Provost or a vice president is the respondent, the appropriate University officer shall be the President. If the President is the respondent, the appropriate University officer is the Chair of the Board of Trustees.
In a case involving multiple respondents with different roles in the University community at the time of the alleged conduct (e.g. one respondent is a faculty member and one respondent is a staff member), the investigator shall report to the appropriate University officer for each respondent. The appropriate University officers shall consult with one another prior to deciding upon a resolution, remedy, or corrective action to assure that any differences in their decisions will be reasonably related to differences in the conduct of the respondents.

Subject to legal constraints on disclosure (e.g. Family Educational Rights and Privacy Act) and to the extent appropriate considering the privacy of individuals involved, the appropriate University officer will inform the complainant and respondent(s) in writing of the evidentiary findings of the investigator and the resolution of the matter, including any remedy or corrective action to be taken. The complainant, respondent, and the University shall act in conformity with the resolution. An appeal shall stay such action unless the University determines that such action is necessary to prevent additional harm to an aggrieved party or other persons.

Appeal of formal resolution
When a formal investigation is concluded, either the complainant or the respondent may appeal the evidentiary findings of the investigator, the remedy or corrective action, if any, ordered by the appropriate University officer, or both. To appeal, the appealing party, whether complainant or respondent, must submit a written appeal to the appropriate appellate decision maker (with a copy to the other party or parties, a copy to the investigator, and a copy to the University officer to whom the investigator reported) within 10 working days of being informed of the findings and resolution.

The appropriate appellate decision maker is identified in paragraphs F.1 through F.5 immediately below.
.

1. Except for cases described in paragraphs F.2, F.3, and F.4 immediately below,

if the appeal is from a decision of the Provost, appeal is to the Hearing Committee of the Faculty Judicial Board
if the appeal is from a decision of the Assistant Vice President for Human Resources, appeal is to the Vice President for Administration and Finance
if the appeal is from a decision of the Assistant Dean of Student Life, appeal is to the Dean of Student Life

2. Except for cases described in paragraphs F.3 and F.4 immediately below, appeal is to the President in the following cases (in which, at the time of the alleged conduct, the role of the complainant (e.g. staff) and the role of the respondent (e.g. faculty) in the University community differed):

From a decision of the Provost if the complainant was either a student or a staff member at the time of the alleged conduct
From a decision of the Assistant Vice President for Human Resources if the complainant was either a student or a faculty member at the time of the alleged conduct
From a decision of the Assistant Dean of Student Life if, at the time of the alleged conduct, the complainant was either a faculty member, a staff member, or a person holding both a staff appointment and a continuing faculty appointment

Prior to rendering his decision, the President may consult with any person who participated in the formal resolution process, including the complainant and respondent, and with any other person whose advice he deems relevant, and shall consult with the following persons:

The Vice President for Administration and Finance and a member of the Faculty Judicial Board selected by the President if at the time of the alleged conduct
- the complainant was a faculty member and the respondent was a staff member, or
- the complainant was a staff member and the respondent was a faculty member
The Vice President for Administration and Finance and the Dean of Student Life if at the time of the alleged conduct
- the complainant was a student and the respondent was a staff member, or
- the complainant was a staff member and the respondent was a student
The Dean of Student Life and a member of the Faculty Judicial Board selected by the President if at the time of the alleged conduct
- the complainant was a student and the respondent was a faculty member or a person holding both a staff appointment and a faculty appointment (whether or not a continuing faculty appointment), or
- the complainant was a faculty member or a person holding both a staff appointment and a continuing faculty appointment and the respondent was a student

3. An appeal may be taken instead to neutral arbitration only if all of the following conditions are met: both the complainant and the respondent were staff members at the time of the alleged conduct; the complainant did not hold a continuing faculty appointment at the time of the alleged conduct; the complainant and respondent both agree to neutral arbitration. The arbitrator shall be a qualified professional labor/employment arbitrator who is not employed by or affiliated with the University. In cases of agreed referral to a neutral arbitrator, the staff member and the University will promptly choose any arbitrator by mutual agreement. If the staff member and the University are unable to agree on the identity of the arbitrator, the staff member shall request a panel of names from JAMS/Endispute of Santa Clara County. The arbitrator shall be chosen from the panel of names by alternate striking of names, beginning with the staff member, until one is left, who shall serve as arbitrator. The University shall be responsible for the professional fees of the arbitrator, unless the staff member objects, in which case the University and the staff member shall each be responsible for 50% of the professional fees of the arbitrator. The arbitrator will be authorized to award appropriate remedy under law as to the specific issues submitted; however, the arbitrator shall have no power to add to, subtract from, change, alter, or ignore the provisions of the Staff Policy Manual or any other University policy. The decision of the arbitrator shall be binding upon the complainant and respondent(s) and upon the University

4. If the Assistant Vice President for Human Resources is the respondent or is a complainant in which a staff member is a respondent, appeal shall be to the President. If the Provost or a vice president is the respondent, appeal shall be to the Chair of the Board of Trustees. If the President is the respondent, appeal shall be to the Board of Trustees.

5. In a case involving multiple respondents with different roles in the University community at the time of the alleged conduct (e.g. one respondent is a faculty member and one respondent is a staff member not holding a faculty appointment) an appeal shall be taken to the appellate decision maker designated above for each respondent involved in an appeal. If, as a consequence, there is more than one appellate decision maker, such decision makers shall consult with one another prior to a decision to assure that any differences in their decisions will be reasonably related to differences in the conduct of the respondents

Appeals shall be heard promptly. Ordinarily, decisions should be rendered not more than 10 working days after the appellate decision maker has received all evidence and argument. Subject to legal constraints on disclosure (e.g. Family Educational Rights and Privacy Act) and to the extent appropriate considering the privacy of individuals involved, the appellate decision maker shall immediately inform the complainant and respondent of the decision in writing.

If a student covered by these procedures is a respondent, the appeal shall not be subject to the appellate screening mechanisms applied to alleged violations of the Student Conduct Code.

If a person appeals an investigator's evidentiary findings, the appellate decision maker shall affirm the evidentiary findings unless it concludes that those findings were clearly erroneous. If it decides that the investigator's evidentiary findings of the occurrence of conduct found to constitute unlawful harassment or unlawful discrimination were clearly erroneous, it shall so inform the parties in writing, shall dismiss the matter, and no further action shall be taken against the respondent(s). If it decides that the investigator's evidentiary findings of the non-occurrence of alleged conduct were clearly erroneous, it shall so inform the parties in writing, and shall refer the matter for resolution (including remedy and corrective action, if any) by the University officer to whom the investigator reported.

If a person appeals the remedy or corrective action ordered by the appropriate University officer, the appellate decision maker shall affirm the remedy or corrective action unless it finds the remedy or corrective action to be arbitrary or manifestly unreasonable. If it finds the remedy or corrective action to be arbitrary or manifestly unreasonable, it shall decide upon the remedy or corrective action if any.

In either case, the decision by the appellate decision maker shall be final, shall be communicated to the parties in writing, and shall be implemented promptly.

Definition of "working days" and extension of deadlines
"Working days" means the weekdays of Monday through Friday except for such days that are University administrative holidays. Any of the deadlines specified in these procedures may be extended by the Director of Affirmative Action (or, in her absence, her designee) if and only to the extent that the Director deems such extension required by exigent circumstances.

Compliance
Failure of the respondent(s) to comply with the informal or formal resolution of a complaint or request for assistance and failure of a designated witness to cooperate with a facilitator in an informal resolution or an investigator in a formal resolution of a complaint may result in disciplinary action by the University, including the possibility of dismissal or expulsion.

Documentation
For every case in which the Director of Affirmative Action has received notification of a complaint or request for assistance, the Director of Affirmative Action shall maintain a file that includes the complaint or request for assistance and documentation of the resolution of the matter, including any written agreement between the complainant and respondent(s). The Director of Affirmative Action shall maintain such documentation in the Affirmative Action Office.

Rank and tenure decisions
Notwithstanding any of the foregoing procedures, a faculty member claiming unlawful discrimination in the denial of promotion in rank or in the denial of tenure shall pursue that complaint with the Faculty Judicial Board, which shall follow the procedures specified in 3.10.2.3 of the Faculty Handbook.

Confidentiality
1. The complainant and respondent(s) are strongly encouraged to preserve the confidentiality of information that in any way relates to the existence, nature, and resolution of a complaint or request for assistance, except to the extent that they wish to share such information in communications that are privileged by law (such as lawyer/client or priest/penitent communications). They should be aware of the damage that unproven allegations might cause another as well as the potential of liability for defamation.

2. University personnel and students (other than the complainant and respondent) participating in the resolution of a complaint or request for assistance shall preserve the confidentiality of information that in any way relates to the existence, nature, and resolution of a complaint or request for assistance, except: (a) to the extent necessary to pursue resolution or appeal of a complaint or request for assistance; (b) to the extent that disclosure is required by law; (c) to the extent that disclosure, including disclosure that exculpates, is required by the ordered remedy or corrective action; (d) to the extent that the Director of Affirmative Action reasonably deems disclosure appropriate to effectuate a remedy or corrective action for the benefit of the complainant, other members of the University community, or the University. Failure to maintain confidentiality may result in disciplinary action by the University.
Persons involved in the resolution or appeal of a complaint or request for assistance shall give due consideration to a complainant's request that his or her identity not be disclosed. However, such disclosure may be necessary to resolve the complaint. In such an event, the complainant shall be so notified in advance of the disclosure

Urgent Action
If at any point the Director of Affirmative Action determines that conduct of a respondent is likely to recur and cause harm to others, the University may take reasonable steps to prevent such result prior to the initiation or conclusion of the procedures set forth above.

Designee in lieu of Director of Affirmative Action
The President shall designate a qualified disinterested person or persons to fulfill the responsibilities otherwise assigned by this policy to the Director of Affirmative Action if the Director of Affirmative Action is either a complainant or respondent, if the Director of Affirmative action is unable to fulfill responsibilities assigned to her by this policy, or if the President for good cause determines that the Director of Affirmative Action should not fulfill those responsibilities.

RESPONSIBILITIES

To achieve the goals of this University policy, each member of the University community must understand and accept responsibility for fulfilling the ideals of the University Statement of Purpose and for honoring its Guiding Principles. The President, Provost, vice presidents within their areas, together with vice provosts, deans, program chairs, Director of Affirmative Action, managers, and supervisors, are responsible for promoting progress on the ideal of building a diverse, nondiscriminatory community, initiating creative actions to increase diversity, and promoting an environment of mutual respect. Academic deans (for faculty), the Dean of Student Life (for students), and the Assistant Vice President for Human Resources (for staff) are responsible for monitoring implementation of this policy. The Director of Affirmative Action is responsible for responding to inquiries regarding federal and state laws as well as filing reports required by federal and state law.

As appropriate, the University will make available educational programs concerning unlawful harassment and unlawful discrimination.
The University will offer reasonable accommodation to qualified individuals with disabilities to the extent required by law.

RESOURCES

For more information about this policy, including information about the nature of unlawful harassment and unlawful discrimination, contact:

Affirmative Action Office
Santa Clara University
500 El Camino Real
Santa Clara, CA 95053
408-554-4113

A person aggrieved by unlawful harassment or unlawful discrimination may file a complaint within the time required by law with the appropriate federal or state agency. Depending upon the nature of the complaint, the appropriate agency may be the federal Equal Employment Opportunity Commission (EEOC), the federal Office of Civil Rights (OCR), or the California Department of Fair Employment and Housing (DFEH).

Flow Charts depicting lines of formal resolution (PDF)

Last Updated: February 28, 2013
Maintainer: Human Resources

Policy 312 - Policy on Consensual Relations between Employees and Students

In addition to prohibiting sexual harassment under the Policy on Unlawful Harassment and Unlawful Discrimination (Community Handbook Section 3.6.7), the University prohibits any consensual dating, romantic, or sexual relationship between an employee and a student over whom that employee has any instructional, supervisory, advising, or evaluative responsibility.

Such a relationship is fraught with problems, including the potential for exploitation, favoritism, and conflict of interest. The appearance of impropriety or unfairness may also adversely affect the learning and work environment for other students and employees.

This policy applies to faculty, staff, and student employees. Employees who violate this policy are subject to sanctions for misconduct under the policies of the Faculty Handbook, Staff Manual, or Student Employment Handbook, as appropriate to their employment status.

Employers or students with questions about this policy should contact the Office of Affirmative Action or the Department of Human Resources.

Policy Approved: May 2006
Last Updated: May 7, 2007

Policy 401 - Orientation, Training, and Development

STATEMENT

Santa Clara University strives to welcome new employees into the University through an active orientation program. Further, the University supports continued training and development for employees within its organizational and resource limits.

As an academic organization, Santa Clara University is committed to the orientation, growth, and development of the individual employee and supports targeting resources to accomplish that end. Recognizing that the organization is only as effective as its individual members and work teams, Santa Clara University supports orientation and ongoing training and development efforts designed to:

provide access and information regarding the University’s mission, goals, values and traditions;
enhance the skills an employee uses in the current position;
provide practical information in a timely manner;
educate employees about relevant legal and regulatory issues;
encourage, respect and foster an appreciation of individual differences, a culture of service and personal responsibility;
expand an employee’s existing knowledge and skills to prepare for a modification or change in the current position;
broaden an employee’s existing knowledge and skills to prepare for future needs of the organization; and
encourage an employee to pursue personal educational goals.

PROCEDURE

Orientation

Orientation occurs at three levels: University orientation, department orientation, and position orientation. Human Resources will arrange for new employees to attend the University’s Orientation Program during the first three months of employment. Department orientations should be arranged by the department head. Supervisors are responsible for orienting a new employee to the position.

Training and Development Program Costs

Training and development program costs may be paid by the employee, the department and/or the University depending on the nature of the program and the financial resources available.

Time Away from Work

Time away from work for attending a class or training program may be considered work time and paid accordingly if the following conditions are met:

The training program or class is approved and related to the employee’s current job or an approved career development program.
The employee’s attendance is required by his/her supervisor.

All other requests for time away from work to attend training programs or classes must be processed in accordance with the current leave policies.

Resources

A variety of on-campus and on-site training and development resources are available, including:

Santa Clara University degree programs
University sponsored seminars and programs

Contact the school or center directly for information about courses and enrollment.

RESPONSIBILITY

The employee and supervisor share the responsibility for defining and planning individual work-related skill development. The employee has the primary responsibility for his/her own career development. The supervisor can be supportive of this process by arranging access to University sponsored resources as appropriate and available.

Each division and/or department is responsible for communicating its policy for divisionally and/or departmentally funded training and development programs to its members. Human Resources administers University sponsored training and development.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information regarding the University’s education benefits and tuition remission program.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 402 - Performance Planning and Management

STATEMENT

Santa Clara University seeks to ensure that employees perform their jobs to the best of their ability, and that they be recognized for good performance and receive appropriate coaching and counseling when improvement is necessary. Performance planning is fundamental to good personnel management.

Performance planning requires clear communication of performance standards, goals and objectives of the University. Performance management measures performance results against expectations, standards and goals.

PROCEDURE

Santa Clara University advocates performance planning and management designed to enhance the performance and development of all employees.

During the introductory period, supervisors will prepare and review with their employees progress reports of job performance at intervals during and at the end of six months. Performance will be monitored during this time, and documentation in the progress reports is considered in determining whether employment should be continued beyond the introductory period.

Following successful completion of the introductory period, employees engage in ongoing communications with their supervisors regarding performance expectations, goal setting, and professional development. A periodic mutual review of the employee’s position description is encouraged to insure the accuracy of the position description and to establish a basis of communication for goal setting in performance planning. Annual performance reports are filed with Human Resources for use in determination of annual salary increases, and for training and development needs analysis and planning.

Regular performance discussions between the supervisor and the employee are scheduled to review performance goals, and results. (Annually, these discussions may be documented.) Employees or supervisors are expected to refer any performance disagreements to the second level supervisor for advice and resolution.

RESPONSIBILITY

Department heads and supervisors are responsible for conducting the performance planning and management cycle annually. Employees are responsible for maintaining open communication with their supervisor and participating in performance management during performance planning, goal and expectation setting times in the cycle.

RESOURCE

Contact Human Resources if you have questions pertaining to this policy or would like more information regarding performance planning. See also Corrective Action for Performance Problems (310) and Conflict Resolution (309).

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 403 - Participation in University Governance

STATEMENT

Santa Clara University has identified nine normative principles for good practices in governance. One recognizes that the University can flourish only if there is a healthy sense of community in which all members have a role in working for the common good. Another calls for governance to be open, accessible and understandable to members of the University community. Santa Clara recognizes the benefit and significance of service to and for the University community.

PROCEDURE

Accordingly, supervisors and employees should work collaboratively to assure that staff members willing and able to serve as members of official University committees, task forces or other governing bodies may do so without jeopardizing the satisfactory performance of their respective position responsibilities. If University decision making is to reflect rich input from relevant stakeholders, they must be permitted to participate in University governance. Therefore, time spent on University business is recognized as an additional duty or responsibility and may be conducted during normal working hours.

RESPONSIBILITY

Employees are responsible for obtaining supervisors’ support and approval to serve on University committees, task forces or other governing bodies such as the Staff Assembly Council. Supervisors are responsible for allowing employees to participate in governance and for supporting service to the University when it does not conflict with other responsibilities of employment.

RESOURCE

Contact Human Resources if you have questions or would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 404 - Professional Organizations

STATEMENT

The University will support employees who wish to join and participate in career-related organizations when:

the affiliation is consistent with the mission, goals and values of the University,
membership will benefit the employee and the University, and
adequate resources (e.g., funding, release time) are available to sponsor the membership.

PROCEDURE

An employee may request the University to sponsor membership in an appropriate organization by submitting a request to the immediate supervisor. The request should include:

a description of the organization,
an explanation of how the membership would benefit the University and the employee,
the complete cost of the membership,
an estimate of the amount of University work time the employee will spend participating in the organization.

The supervisor will review the request and forward it with a recommendation to the department head. The department head will promptly approve or disapprove the request and inform the employee and supervisor. Membership payments must be processed according to the University’s fiscal procedures.

RESPONSIBILITY

Department heads are responsible for approving or disapproving requests for University-sponsored memberships in career-related organizations based on the benefit to the University. Employees are responsible for prudent use of University time and resources in their connection with and participation in career relation professional organization.

RESOURCE

For more information concerning this policy, contact Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 1, 2008
Maintainer: Human Resources

Policy 501 - Compensation

STATEMENT

University compensation policy is designed to accomplish these objectives:

Allow the University to recruit, retain and develop a diverse and competent workforce by maintaining a competitive wage and salary structure.
Promote fairness and consistency in pay practices across the University to retain and reward competent employees who are contributing to its success.
Establish pay ranges that provide flexibility for management and income growth for employees within available financial resources.
Provide wage and salary guidelines that are philosophically consistent, yet flexible enough to meet various University needs.
Provide the foundation for a competency and performance -based pay system.

The University compensates employees for skill, effort and responsibility required for their positions, their individual performance measured against expectations; other relevant factors(e.g., market competitiveness) and in accord with financial resources.

The University has established, and continues to review position descriptions, associated pay ranges, and rates of pay within these ranges.

Policies and procedures pertaining to compensation and wage and salary administration are openly communicated. However, particulars of individual pay rates and/or pay adjustment decisions are held in strictest confidence.

RESPONSIBLITY

Human Resources develops, administers, and interprets the University’s compensation policy for staff in consultation with University officers and governing bodies.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 502 - Position Analysis and Evaluation

STATEMENT

All newly established University positions, and positions that have changed significantly are reviewed by Human Resources in consultation with relevant parties to determine appropriate wage and salary ranges. Assignment of positions to ranges in the pay structure promotes compensation equity and consistency.

If a position’s placement in the pay structure changes because of reevaluation, changes to incumbent’s pay, if any, will be determined under the promotion, lateral transfer, demotion, and starting pay policies.

PROCEDURE

Descriptions of new positions to be established, or existing positions that have significantly changed, should be submitted to Human Resources by the supervisor. The compensation officer will evaluate the skill effort and responsibilities inherent in the position description and determine the appropriate pay range for the position according to the following position evaluation process:

Position Description

Position descriptions should be written by the incumbent and the supervisor in conformance with the University’s preferred format and approved by the second level supervisor.

Position Evaluation

Human Resources will evaluate the position based on skill, effort and responsibility required. If there are questions about level of skill, effort or responsibility, the supervisor and incumbent will be asked to complete a detailed position analysis questionnaire. A pay grade will be tentatively assigned using the results of the evaluation. The department will be contacted for concurrence.

Evaluation Review

If the supervisor does not concur with the position evaluation, the compensation officer will review the evaluation with the second level supervisor and the chief Human Resources officer. If there continues to be disagreement, a final determination will be made by the chief Human Resources officer in consultation with the position’s division vice president.

RESPONSIBILITY

Human Resources administers this policy in consultation with relevant parties. Human Resources and other University departments follow the procedures outlined above.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 503 - Starting Pay

STATEMENT

The University has established minimum and maximum starting pay for positions. These are based on pay ranges and the qualifications and expected performance of newly hired individuals.

PROCEDURE

The normal hiring range for any position is from the minimum to the first quartile of the pay range assigned to the position. The minimum hiring pay is the minimum of the pay range for the grade. The maximum hiring pay is the midpoint of the pay range for the grade.

Factors used to determine an individual’s starting pay within the hiring range include:

the expected performance level of the individual based on qualifications and experience,
the rates of pay, position in the range, and performance level of other employees in the department and/or the pay range, and
other relevant factors that may be considered in appropriate cases.

Human Resources will make a starting pay recommendation to the hiring supervisor based on an assessment of the successful candidate's experience, education, and training and the pay of others in the department and in similar positions across the University.

Training Status

Occasionally, an individual who shows significant promise but does not meet the minimum qualifications, may be placed in a position on a training status. The length of the training status must be established in advance, and there must be a specific training program in the areas in which the individual does not meet the minimum position qualifications. Both the length of the training program and the areas in which the individual does not meet the minimum position qualifications must be communicated in writing to the affected employee. Departments should contact Human Resources to determine the rate of pay for individuals on training status.

After successfully completing the training period, the individual will be granted an increase in salary determined using the guidelines listed for new hires. Individuals who fail to meet the minimum qualifications after training will be terminated at the end of the training period. Written communication should clearly state that failure to meet the objectives in the allotted time may result in termination.

RESPONSIBILITY

Hiring supervisors are responsible for consulting and coordinating with Human Resources before communicating starting pay rates to prospective new hires. Human Resources is responsible for evaluating candidates’ credentials, University internal equity considerations, and external competitiveness goals in recommending starting pay rates. Exceptions for good reason, may be made by divisional vice presidents in consultation with the chief human resources officer.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 504 - Pay Ranges

STATEMENT

All positions are assigned pay ranges based upon required competencies, job content, performance qualifications, internal equity considerations and external market conditions. Pay ranges are reviewed annually and adjusted as resources permit. Individual rates of pay must fall within the assigned pay range for the position.

PROCEDURE

For each position a benchmark is targeted that establishes the midpoint of the pay range.

Pay ranges are set in relation to the target pay or midpoint. The minimum of the range is the lowest salary the University will pay for the position. The maximum of the range reflects the highest salary the University will pay for the position, regardless of the qualifications or performance of the employee occupying the position.

Salaries below the Minimum or above the Maximum

Individuals whose salaries fall below a newly established or adjusted range minimum will be increased to the new minimum when resources permit. Incumbents whose salaries fall above the maximum are not entitled to receive increases in their base salary until their salaries fall within the range as the result of adjustments to the range.

RESPONSIBILITY

Human Resources develops, administers, and interprets the University’s compensation policies for staff in consultation with University officers and governing bodies.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 505 - Promotion, Lateral Transfer, and Demotion

STATEMENT

The University has established definitions and procedures concerning employee promotions, lateral transfers, and demotions.

PROCEDURE

Promotion

A promotion is any movement of an employee or a position from a lower to a higher pay range.

Demotion

A demotion is any movement of an employee or a position from a higher to a lower pay range.

In the case of a promotion or demotion, the amount of the incumbent’s pay change, if any, will be determined based on the expected performance in the new position and rates of pay for other positions in the range. However, the employee’s pay may not exceed the maximum of the range for the new position. For more information, see the University’s starting pay policy.

Lateral Transfer

A lateral transfer is any movement of a person or position between positions assigned to the same pay range. No change in pay rate results from a lateral transfer. If internal inequity in pay results from a lateral transfer, it should be addressed at the next regularly scheduled annual increase.

RESPONSIBILITY

Human Resources develops, administers, and interprets the University’s compensation policies in consultation with University officers and governing bodies.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 506 - Merit Increases

STATEMENT

The University has adopted a pay for performance program as part of the overall compensation strategy. Merit pay is one of the methods the University uses to reward successful performance. Merit pay increases are based on these factors:

The performance of the incumbent employee as reported in the annual performance review.
The appropriate pay level within the range considering the incumbent’s performance vis-a-vis performance of others in the range.
Pay increase funds available.
Recommendations of supervisors, approved by executive officers.

PROCEDURE

Merit Budget

Each fiscal year, the University Budget Council recommends to the President a pay increase pool, if any, for which financial resources are available, to meet the objectives of the compensation program for the following fiscal year. The Board of Trustees approves the pay increase budget.

Annual Performance Review

Employee performance is formally reviewed at least once each year. The focus of the review is whether and to what extent the employee met the planned performance and development objectives or standards for the position. The performance review process calls for the supervisor and the employee to examine the employee’s performance results during the past year against expectations set and to document same in an annual report to the second level supervisor which is maintained in the University’s personnel file.

Merit Increases

In accordance with published University guidelines, supervisors recommend whether an employee should receive any increase and, if so, the amount of increase appropriate for performance results. Factors that should not be considered for merit increase include: length of service, internal equity, market comparability, and cost of living.

Employees at Range Maximum

An employee whose pay is at or near the maximum of the range may not be granted an increase that would cause the base salary to exceed the maximum of the range for the assigned position.

RESPONSIBILITY

Supervisors, in consultation with Human Resources, administer the University’ s merit increases and follow the procedures outlined above.

RESOURCE

Contact Human Resources if you have questions about this policy or if you would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 507 - Special Awards and Other Pay Increases

STATEMENT

Additional pay may be awarded to employees in certain cases where outstanding performance warrants it. In some cases, it is additive to base, in others not (e.g., bonuses). Pay adjustments may be made to address internal inequities, meet extenuating market conditions, or for other reasons.

PROCEDURE

Special Recognition Awards

When employees distinguish themselves, their departments or the University, by extraordinary outstanding performance, special bonus pay may be awarded. In such cases, a lump-sum award may be made in an appropriate amount recommended by the supervisors and approved by the appropriate executive officers. Special recognition awards do not increase the employee’s base rate.

Special Stipends

In certain circumstances, additional pay may be awarded to an employee whose workload has significantly deviated from normal expectations. Examples of special situations include; long-term special projects; assigned work in another department; and performing a specific position or function that is significantly different from the position for which the employee is normally compensated. Supervisors who wish to recognize these special situations should consult with Human Resources for direction and guidance before committing to or arranging for additional pay.

Other Pay Increases

Occasionally, adjustments may be made to specific pay rates to address inequities or to meet extenuating market conditions. These adjustments do not include normal merit increases, promotions, or position reevaluations. Such adjustments are coordinated through Human Resources.

RESPONSIBILITY

Human Resources administers the University’s special awards and other pay increases policy following the procedure outlined above.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 508 - Differential Pay

STATEMENT

Santa Clara University provides premium differential pay for scheduled evening and night shifts worked by employees. The University determines which positions are eligible for differential pay based on the current and critical needs of the organization. Shift differential is considered a premium payment; it is not considered a part of base pay. It is used by the University to attract and retain qualified full-time and part-time employees for specific position classifications assigned to evening and night hours. Differential pay recognizes work schedules that fall outside the normal work day.

PROCEDURE

Eligibility for Differential Pay

Eligible employees will be informed prior to employment in or transfer to positions having differential status. Shift differential is paid for full 8, 10, or 12 hour shifts scheduled to begin between 1:00pm and 9:00am the following day, provided the majority of straight time hours are worked between 3:00pm and 7:00am. To be eligible for shift differential, the employee must be scheduled by the supervisor to work the hours covered by differential pay.

Shift differential is not paid when an employee is on a paid leave (i.e., sick, vacation, holiday, etc.)

Changes in Status

A department may request a change in the differential status of an established or new position by submitting a written request for the change to Human Resources. Human Resources will review the request and advise the department in writing of the final decision. The designated positions for differential pay are based on the business needs of the University. The University may change the differential status of a position at any time.

Time Recording

Shift differential must be recorded according to University payroll procedures. Forms must be submitted within five work days after the end of the pay period in which the eligible hours were worked. All evening and night hours that are scheduled, worked and recorded must be approved by the immediate supervisor.

RESPONSIBLITY

Human Resources is responsible for designating which positions are eligible for differential pay; the departments may not make this designation. Supervisors are responsible for administering differential pay in proper and timely manner. Human Resources will assist supervisors and departments with this task.

RESOURCE

Contact Human Resources if you have questions about this policy or if would like more information.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 509 - Overtime Pay

STATEMENT

The University compensates staff employees in accordance with University policy as well as applicable California wage and hour laws and the federal Fair Labor Standards Act (“FLSA”), as may be amended from time to time.

Consistent with California wage and hour laws and the federal Fair Labor Standards Act, non-exempt employees at the University are entitled to overtime pay. The University’s overtime policy is also applicable to non-exempt temporary and/or special assignment employees.

HOURS OF WORK

Each department of the University establishes the normal work days and work shifts for positions within the department. The standard work week begins at 8:00 am on Monday and ends at 5:00 pm on Friday. For purposes of calculating pay and overtime the workweek consists of seven consecutive 24 hour periods beginning at 12:00 am Sunday and ending 11:59 pm Saturday; therefore, Saturday is the 7th day of the workweek. Employees should be advised of their normal work days and work shifts before they are hired; however, department heads may change the established work day or shift according to the business needs of the department.

Overtime Rate

Non-exempt employees are paid time and one-half their regular rate of pay for:

All hours worked beyond eight (8) in a workday
All hours worked beyond forty (40) regular hours in a workweek.
The first eight (8) hours worked on a Saturday where the employee has worked on each of the prior six days.

Non-exempt employees are paid double their regular rate of pay for:

All hours worked beyond twelve (12) in a single workday.
The hours worked beyond eight (8) on Saturday where the employee has worked on each of the prior six days.

Approval of Overtime

The supervisor must approve all overtime in advance of the hours actually being worked. An employee may request overtime in order to complete an assignment; however, the supervisor is not obligated to grant the overtime request.

An employee who works overtime without the prior approval of his or her supervisor is in violation of this policy and may be disciplined. Nonetheless, when an employee works overtime, even without the approval of the supervisor, overtime must be recorded on his or her time sheet and paid in accordance with applicable law.

Computation

For the purpose of computing whether more than forty (40) hours in a week or eight (8) hours in a day are worked, the University counts only those hours actually worked and excludes any leave, whether paid or unpaid.

Additionally, where the hours are worked in more than one position and/or department of the University, the highest hourly rate will be used to calculate and pay overtime .

Mandatory Overtime

When overtime needs arise in a department, a supervisor may require overtime of employees. It is expected that employees work overtime as requested. The supervisor should make every effort to notify employees in advance concerning the date and amount of overtime hours required.

Exempt Employees
All employees performing duties classified as exempt are not covered by California’s wage and hour laws and/or the FLSA and, therefore, by definition, are not entitled to overtime pay. Depending on the requirements of the position, additional work time may be necessary beyond the normal schedule. It is expected that exempt staff will work as needed to accomplish the goals and duties of the position.

MAKE-UP TIME

The University allows non-exempt employees to use makeup time when they need time off to tend to personal obligations. Employees may take time off and then make up the time later in the same workweek, or may work extra hours earlier in the workweek to make up for time that will be taken off later in the same workweek.

All makeup time must be worked in the same workweek as the time taken off. Additionally, employees may not work more than 11 hours in a day or 40 hours in a workweek as a result of making up time that was or would be lost due to a personal obligation. Makeup time worked will not be paid at an overtime rate.

An employee must submit a written request for makeup time to his or her supervisor. Requests for make-up time must be made at least 24 hours in advance of the requested time off or working the make-up time, whichever is sooner.

Requests will be considered based on the legitimate business needs of the department at the time the request is submitted. A separate written request is required for each occasion that an employee requests makeup time. Makeup time requests must be pre-approved in writing before the requested time off is taken or the makeup time is worked, whichever is sooner.

If the time off is taken and an employee is later unable to work the scheduled makeup time for any reason, the hours missed will normally be unpaid. However, supervisors may arrange another day to make up the time if possible, based on scheduling needs. Additionally, if makeup time is worked in advance of time planned to be taken off, the employee must take that time off, even if it the time off is no longer needed for any reason.

An employee's use of makeup time is completely voluntary. The University does not encourage, discourage, or solicit the use of makeup time.

CALL-BACK TIME

Call-back time occurs when a nonexempt employee responds to an emergency call and returns to work outside his/her normal working hours without advance notice. Call-back time is paid the same as regular hours worked. The regular or agreed wage for this period, as well as applicable overtime, must be paid.
The minimum compensation for "call-back" time is two hours pay. Compensation for call-back time includes the actual time spent traveling to and from the call-back duty.

ON-CALL OR STANDBY TIME

Non-exempt employees who are away from work but are required to stay at home or “on-call” (also known as “standby”) status may be eligible for pay for the hours spent “on-call” or on standby status. However, “on-call” time is not compensable if the employee can use the time spent on-call primarily for his/her own benefit.
In determining whether on-call time is work time, the University considers:

Geographic restrictions on the employee’s movements;
Required response time;
The employment relationship and industry practice; and
Any other limitation on the employee’s ability to use the time for his/her own benefit.

Please contact the Department of Human Resources for consultation regarding whether on-call or standby time constitutes “work time” for which compensation is owed.

Carrying a pager or similar electronic device normally does not constitute hours worked, provided the employee is free to come and go as he or she pleases.

RESPONSIBILITY

Each department head is responsible for assuring compliance with this policy. Each employee is responsible for appropriately and accurately recording all hours worked on his/her timesheet, working overtime when required and for obtaining supervisory approval in advance of working requested overtime. Supervisors are responsible for scheduling and assuring that employees properly record all regular and overtime hours. For more information please refer to the Guidelines for Managing Overtime and Related Scheduling.
Cross-reference to Staff Policy 203: Employment Categories

Policy Approved: May 26, 2009

Last Updated: June 5, 2009
Maintainer: Human Resources

Policy 601 - Statutory Benefits

STATEMENT

Santa Clara University offers a program of employee benefits designed to enhance the well-being of its employees. In compliance with Federal and State laws, the University provides the following statutory benefits to all of its eligible employees, as defined by Federal and State law.

PROCEDURES

Social Security

Most employees participate in the Social Security Program through a mandatory payroll deduction. Social Security provides a retirement benefit for individuals who have worked the number of years required for eligibility. Other benefits may include disability income, survivor, dependent, and medical benefits. The amount contributed, which is matched by the University, is based on rates determined and established by the Social Security Administration.

Worker’s Compensation

The University provides a no-fault Worker’s Compensation insurance program. If an employee is unable to work because of on-the-job injury or illness, Worker’s Compensation covers medical expenses and pays a portion of lost wages based on the nature of the injury.

Unemployment Insurance

Most employees of the University are covered by the State Employment Security Law. Under the provisions of this law, employees of the University who become totally or partially unemployed, and who meet the eligibility requirements as set forth in the law, may be eligible to receive unemployment compensation.

RESPONSIBILITY

Social Security: It is the responsibility of Human Resources to properly deduct social security contributions.

Worker’s Compensation: It is the responsibility of the employee to immediately notify the supervisor of any work related injury or illness in order to receive worker’s compensation.

Unemployment: It is the responsibility of the employee to notify the Employment Development Department in the event he/she may be eligible and seeks to receive unemployment compensation.

RESOURCE

Social Security Administration: Contact the nearest SSA office for more information or Human Resources.

Worker’s Compensation: Contact Human Resources for additional information.

Unemployment: Contact the nearest Employment Development Department for more information or Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 602 - Health Care Benefits

STATEMENT

The University values the health and well being of its employees and their families. Under this policy, the University provides a comprehensive healthcare benefit program available to all eligible employees and their families.

PROCEDURES

Eligibility

All regular employees of the University working at least 20 hours a week are eligible for healthcare coverage provided by the University. Eligible family members, whose eligibility has been defined by the University's contract with the provider, may be covered by these plans provided the employee pays the required contribution.

These benefits become effective on the first day of the month coinciding with or following the date of hire provided the appropriate paperwork has been completed and submitted to Human Resources within the first 31 calendar days of employment. Employees who fail to submit paperwork within 31 calendar days of date of hire will be ineligible for coverage until the next plan year.

An employee or covered spouse or dependent who becomes ineligible for healthcare coverage may continue group health insurance coverage in accordance with federal and state COBRA guidelines.

RESPONSIBILITY

It is the responsibility of the employee, as a new hire, to choose a health plan within 31 days of his/her date of hire. During the open enrollment period, the employee has the option of changing plans. It is the responsibility of Human Resources to notify employees of the open enrollment period, as well as changes to the health care insurance benefits.

RESOURCES

Refer to the Comprehensive Benefits Guide (on the HR web site) for co-payment, deductible, claim filing, and coverage information. Contact Human Resources for questions about eligibility or more information regarding this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 603 - Short Term Disability

STATEMENT

Santa Clara University employees are covered by a mandatory short-term disability plan. This is in lieu of California State Disability Insurance and is approved by the Employment Development Department (EDD). This policy addresses procedures to follow in the instance of a non-work related short term disability of the employee.

PROCEDURES

Definition

A disability is any non-job related illness or injury, either physical or mental, including pregnancy, childbirth or related medical condition, that prevents you from doing your regular work. A disability benefit period is the continuous period of unemployment and disability, beginning with the first day you are eligible for benefits. Two consecutive periods of disability due to the same or related cause or condition, and separated by a period of not more than 14 days shall be considered as one disability benefit period.

Eligibility

In the event an employee becomes disabled and is unable to work because of a non-job related injury or illness, short term disability replaces part of the employee’s income until he/she is able to return to work. All California employees of Santa Clara University are eligible for coverage under this plan. Individuals employed on or after the effective date of the plan are eligible for coverage on the date of their employment. Employees pay premiums for this coverage through automatic payroll deductions.

Waiting Period

Benefits will commence on the 8th day of disability (including the weekend). If you meet the waiting period, you are required to apply for the appropriate type of leave of absence. Contact Human Resources for assistance.

Amount of Benefit

The amount of benefit will be based on the Short Term Disability Plan Document in effect at the time of disability (please refer to the Human Resources web page for specific information regarding level of benefits).

Contribution

Employees covered under this policy shall make contributions in an amount equal to or less than the contribution rate established by the California Employment Development Department for the state SDI plan each year. Employees will be notified of the disability contribution rate for the following year no later than December 31 of the prior year.

Certification

The employee must produce medical documentation in cases of disability. The certificate must contain a statement of medical facts, including secondary diagnoses, within the physician’s knowledge, based on a physical examination and documented medical history. However when an employee is hospitalized in any medical facility, certification will be accepted from any authorized medical officer within that facility.

To insure the health and safety of the employee who plans to return to work after a short term disability leave of absence, a doctor’s release must be obtained and presented to Human Resources before the employee may resume work.

RESPONSIBILITY

It is the responsibility of the employee to contact the supervisor, and Human Resources to notify them of a disability. Upon notification, it is the responsibility of the supervisor to provide the employee with information regarding the Family Medical Leave Act (FMLA). The employee must also provide proper documentation substantiating the disability. In the instance a leave is applied for, the proper request form must be submitted to the supervisor.

Human Resources monitors the administration of disability insurance, leaves, and benefits.

RESOURCE

Refer to the Long Term Disability Plan Document found in the Comprehensive Benefits Guide (on the HR web site). Refer to the Family & Medical Leave (614), Pregnancy Disability (621), and Industrial Disability (615) leave policies for procedures related to specific leave applications. Contact Human Resources for more information regarding this benefit.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 604 - Long Term Disability

STATEMENT

Santa Clara University employees are covered by a voluntary long term disability insurance plan provided by the University.

PROCEDURES

Definition

Long term disability (within the first 24 months) is defined as the employee’s inability to perform the material duties of his or her own occupation with reasonable continuity, or the inability, because of decreased hours or reassignment, to earn more than 80% of pre-disability earnings. After the first 24 months, long term disability continues if the employee continues to be unable to perform with or without reasonable accommodation, the primary functions of any gainful occupation which is consistent with the skill, experience, and education of the employee or if the employee is unable to earn more than 80% of pre-disability earnings while working in the prior position or in any other position.

Eligibility

All Santa Clara University regular employees working at least 20 hours a week are covered under this policy. In order to receive benefits, the disability must be continuous for at least 360 days.

Amount of Benefits

Employees will receive 66 2/3% of prior monthly earning to a maximum of $6000 per month. Pre-disability earnings are determined by the last full day of active work prior to disability. Benefits will be reduced by any dollar amount received as worker’s compensation, social security, disability benefits from another insurance company, retirement plan, settlement agreements, and any wages earned. The benefits will be reduced so that the combined income does not exceed 100% of pre-disability earnings.

Monthly benefits for Total Disability caused by or contributed to by mental or nervous disorders will not be payable beyond an aggregate lifetime maximum duration of twenty-four (24) months unless the insured is in a hospital or institution at the end of the twenty-four (24) month period. The monthly benefit will be payable while so confined, but not beyond the Maximum Duration of Benefits.

Duration

See the chart below to determine maximum benefit periods.

Age When Disability Occurs	Maximum Benefit Period
59 or younger	To age 65
60	5 years
61	4 years
62	3 years, 6 months
63	3 years
64	2 years, 6 months
65	2 years
66	1 year, 9 months
67	1 year, 6 months
68	1 year, 3 months
69 or older	1 year

Certification

A claim form must be filed no later than 90 days after the 360 day waiting period of the occurrence of the disability. A completed Attending Physician Statement signed by the doctor and documentation from other benefits sources applied for must accompany the claim form.

RESPONSIBILITY

It is the responsibility of the employee to contact the supervisor and Human Resources to notify them of the disability. In order to receive long term disability benefits, the employee must ensure that the proper certification has been filed with the plan administrator.

RESOURCE

Refer to the Long Term Disability Plan Document found in the Comprehensive Benefits Guide on the Human Resources web site. Refer to Family & Medical (614), Pregnancy Disability (622), and Industrial Disability (615) leave policies for procedures related to specific leave applications. Contact Human Resources for more information regarding this benefit.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 605 - Life Insurance and Accidental Death and Dismemberment

STATEMENT

Santa Clara University provides group term life insurance and accidental death and dismemberment protection in the amount of $50,000, respectively.

PROCEDURES

Eligibility

All regular employees of the University working at least 20 hours a week are eligible for group term life insurance and accidental death and dismemberment coverage provided by the University. These benefits become effective on the first day of the month coinciding with or following the date of hire provided the appropriate paperwork has been completed and submitted to Human Resources. Under accidental death and dismemberment, the insurance company will pay a benefit if an employee sustains certain bodily injuries while insured under this policy. The injuries must result directly from an accident independent of all other causes.

RESPONSIBILITY

It is the responsibility of Human Resources to administer this policy and insure that appropriate premiums are paid in a timely manner. It is the responsibility of the employee to designate a beneficiary of the insurance.

RESOURCE

Refer to the Comprehensive Benefits Guide (on the HR web site) for claim filing and coverage information. Contact Human Resources for questions or more information regarding this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 606 - Flexible Benefits

STATEMENT

Santa Clara University offers eligible employees a flexible benefits program. Under this program eligible health care premiums, as defined by the plan document, will automatically be taken from an employee's pay check on a pre-tax basis, unless the employee has designated these premiums be taken on an after-tax basis. In addition, an employee can establish a Flexible Spending account to tax shelter eligible medical and/or dependent care expenses. This plan is governed by Section 125 of the Internal Revenue Service Tax Code.

PROCEDURES

Eligibility

Please refer to Health Care Benefits (602) for eligibility information.

RESPONSIBILITY

Employees who do not wish to have premiums deducted on a pre-tax basis must sign a waiver form available in Human Resources. If an employee wishes to establish a flexible spending account, it is his/her responsibility to enroll either during the initial enrollment period (within 31 calendar days of the date of hire) or during the benefits open enrollment period. It is the responsibility of Human Resources to insure that the proper payroll deductions are made.

RESOURCE

Please refer to the Comprehensive Benefits Guide (on the HR web site) for additional information. Contact Human Resources for more information on this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 607 - University Retirement Plan

STATEMENT

Santa Clara University provides a retirement plan for all eligible employees. The University offers its retirement plan through the Santa Clara University Defined Contribution Plan and provides investment options through designated fund sponsors.

PROCEDURE

Eligibility

Any regular employee who works at least 1000 hours per calendar year is eligible for participation in the Santa Clara University Defined Contribution Plan. This plan has a two year vesting period. The vesting clock will continue as long as the employee meets the eligibility requirements and in accordance with the plan document.

The University makes a designated contribution based on an employee’s base pay. This contribution is made on a semi-monthly basis coinciding with the pay date. Plan contributions begin on the first day of the month coinciding with or next following the date of hire provided the appropriate paperwork has been completed and submitted to Human Resources.

An eligible employee can change his/her fund sponsor once a year during the open enrollment period.

RESPONSIBILITY

It is the responsibility of the employee, as a new hire, to choose a retirement vehicle within 31 days of his/her date of hire. An employee who does not enroll within this time period will have his/her retirement defaulted. During the open enrollment period, the employee has the option of changing carriers. It is the responsibility of Human Resources to notify employees of the open enrollment period and of any changes to the retirement plan.

RESOURCE

Contact Human Resources if you have any questions or if you would like more information regarding this policy. Specific information regarding designated fund sponsors may be found on the Human Resources web site or you can contact the appropriate fund sponsor.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 608 - Supplemental Retirement Plan

STATEMENT

Santa Clara University provides a supplemental retirement plan for all eligible employees. This plan allows participants to make tax-sheltered contributions to a retirement account. The University offers its supplemental retirement plan through the Santa Clara University Tax-Deferred Annuity Plan (403(b)) and provides investment options through designated fund sponsors.

PROCEDURES

Eligibility

Any regular employee is eligible for participation in the Santa Clara University Tax-Deferred Annuity Plan on the first of the month coinciding with or immediately following the date of hire.

The amount of the contribution is determined by the employee, but must be an amount that does not exceed the employee’s statutory exclusion allowance under Section 403(b) or the limitations of Section 415 or 402(g) of the Internal Revenue Code, whichever is less. The tax-deferred contribution is made on a semi-monthly basis coinciding with the pay date. The contribution becomes effective on the first day of the pay period following the completion of a Salary Reduction Agreement, and an enrollment application.

RESPONSIBILITY

It is the responsibility of the employee to complete the appropriate documentation to establish a Supplemental Retirement Account. It is also the responsibility of the employee to verify that he/she has not exceeded the annual contribution limits as allowed by the applicable laws. It is the responsibility of Human Resources to ensure that proper contributions are made and forwarded to the appropriate fund sponsor in a timely manner.

RESOURCE

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 609 - Education Benefits

STATEMENT

The University grants education benefits to provide opportunities for personal and educational development for all benefits eligible employees taking Santa Clara University courses for credit. It also grants tuition remission for spouses and children of eligible employees. Spouses and children pursuing an academic degree (matriculating) will be granted tuition remission for one degree, graduate or undergraduate.

PROCEDURES

Eligibility

Santa Clara University Courses

Current benefits eligible employees who have at least one year of continuous service with the University are eligible for tuition remission for themselves. Current employees who have at least three years of continuous service with the University are eligible for tuition remission for their spouses and children. Verification of dependent status is required for all undergraduate courses.

FACHEX

Eligible employees who have at least three years of continuous service with the University are eligible for tuition remission for their dependent children. Verification of dependent status is required. Participation in this program is in lieu of eligibility for enrollment at Santa Clara University.

Tuition Exchange Program

The service requirement for all programs must be met within 15 calendar days of the close of late registration for the quarter/semester. Eligible children must be less than 25 years of age and claimed as a dependent for income tax purposes at the time of each and every registration for any undergraduate course and less than 30 years of age at the time of each and every registration for any graduate course. In the event that the employee resigns or is terminated, eligibility for this program will cease as of the end of the quarter/semester in which the employee leaves the University.

Eligibility for tuition remission continues for the spouse and/or dependent children of an eligible employee with ten years of continuous service who becomes disabled or dies during active employment or is on an approved leave.

Employees with twenty years of continuous service who resign or retire are eligible to receive tuition remission for themselves, their spouses and/or dependent children. All eligibility requirements as defined in the above programs must be met.

Eligibility for tuition remission continues for an employee, spouse and children when an employee is on an approved leave of absence.

Amount of Remission

Tuition remission covers 100% of tuition for employees and their dependents, provided the employee is working 30 hours or more per week. Employees working 20-29 hours per week will receive tuition remission on a pro-rated basis, and the benefit is not available to their dependents. Tuition remission does not include other costs such as books, laboratory, application, service, and other fees. All charges other than tuition must be paid to the University in the same manner as required of other students.

Requirements and Limitations

Courses Included

Santa Clara University

Tuition remission is available for all undergraduate and graduate courses offered in any term at the university, excluding ancillary or continuing education courses, and the executive MBA program. Employees will be granted tuition remission for up to a maximum of two undergraduate courses per academic year quarter, or six units for graduate courses per academic year quarter or semester, and one undergraduate course or three units for graduate courses per summer. For purposes of administering this policy, one undergraduate course will be defined by the offering department in the schedule of classes, e.g., one course may be a 3 credit lecture while another course may be a 4 credit lecture plus lab. The employee must pay tuition for any additional undergraduate courses or graduate units taken. All normal course prerequisites must be met. Dependent children attending the Young Scholars' program are also eligible for tuition remission.

FACHEX

The Faculty-Administrator’s children exchange program (FACHEX) is a program in which children of eligible employees of participating Jesuit colleges and universities may apply for undergraduate admission to one of the institutions and, if accepted, are eligible for tuition remission subject to the terms and conditions set by the accepting institution.

Tuition Exchange Program

The Tuition Exchange Program is a national scholarship exchange program for institutions of higher education. Children of eligible employees may apply for undergraduate admission to one of the participating institutions and, if accepted, are eligible for tuition remission subject to the terms and conditions set by the accepting institution.

Admission Requirement

The employee, spouse or children must qualify for admission under the standards required of other applicants for Santa Clara University, FACHEX, and Tuition Exchange Program admission.

Registration

Employees, spouses, and children are permitted to register for courses during the general or late registration periods. Payment of the applicable registration fees or tuition penalties resulting from withdrawing from a course after the formal add/drop period are the responsibility of the employee.

Time-off from work

Release time for class during regularly scheduled working hours may be granted to employees provided the employee and his/her supervisor arrange in advance for the employee to make up the lost time without creating overtime payment. The operational requirements of the department must be taken into consideration when granting such release time.

Satisfactory completion

Employees, spouses and children must maintain the same academic standards required of other students to remain eligible for tuition remission.

Application Procedure

Tuition remission application forms are available from Human Resources. The applicant must meet eligibility requirements each quarter/semester. An applicant who is a full-time student or an employee taking classes need complete only one application per academic year. The application should be completed in the Winter or Spring quarter/semester of the prior academic year. Applicants who are employees and taking classes during work hours are required to have their supervisor sign the application, however the supervisor's signature does not guarantee release time. Employees must notify Human Resources immediately if they, their spouse or children become ineligible for the benefit.

Taxability

Courses taken under the tuition remission program may be subject to federal and/or state income tax. Verification of dependent status is required. In the event that benefits under this plan are deemed to be taxable income, the University may be required to withhold the applicable taxes from the employee’s paycheck(s). The employee will not be reimbursed by the University for any taxes owed.

RESPONSIBILITY

It is the responsibility of the employee to conform with the requirements outlined in this policy, in order to remain eligible for and receive these benefits. Human Resources is responsible for the interpretation and administration of this policy.

RESOURCES

Contact Human Resources if you have questions regarding this policy, including any questions relating to the taxation of the benefit. Questions regarding FACHEX can be addressed by the Financial Aid Office.

Policy Approved: October 23, 1998

Last Updated: February 7, 2002
Maintainer: Human Resources

Policy 610 - University Facilities and Benefits

STATEMENT

Santa Clara University has implemented certain special services and programs for the comfort and convenience of its employees.

PROCEDURE

ATM's

Interlink banking cards may be used to withdraw cash; an ATM is located in the east end of the basement of the Benson Memorial Center and the west end of the Campus Bookstore.

ACCESS CARDS

Santa Clara has its own debit card for members of the University community: ACCESS. This card is acquired upon hire, and can be used for purchases within the bookstore, and various other vendors within the Benson Center.

Athletics and Recreational Facilities

The Leavey Activities Center is a two-acre facility that encompasses a variety of intercollegiate activities as a multi-use facility. The arena seats 5,000 for men’s and women’s basketball, and women’s volleyball matches. The activity center has regularly scheduled events and classes, which are open to employee participation. All staff are able to receive free passes or purchase reduced rate tickets to certain sporting events.

Buck Shaw Stadium is home to the men’s and women’s soccer programs. The surrounding outdoor facilities are practice fields for the other intercollegiate and intramural athletic programs.

Credit Union

Santa Clara University employees are eligible to join the Mission City Federal Credit Union. The credit union offers many services, such as: savings accounts, interest-bearing checking accounts, low interest loans, discounts, travelers’ checks and low-interest Visa cards.

Library Privileges

Library privileges are extended to the employees of the University. The employee can use his/her ACCESS card to borrow books from the Orradre Library. Staff employees may borrow for up to a period of 6 months; however, the publications may be recalled after 3 weeks if needed by another user.

Parking Permits

Parking privileges on campus are designated with the use of parking permits. Employees may purchase a "Staff/Faculty" permit at the Public Safety Office which is open 24 hours a day, everyday. Valid staff ID must be presented to purchase these permits.

"Staff/Faculty" permits allow parking in lots designated "Staff/Faculty" or "all permits". These lots are located in various places around the campus and are designated in Santa Clara University’s Parking Regulations pamphlet, available in the Human Resources lobby.

Lost and Found

The information booth within the Benson Memorial Center maintains lost and found articles.

RESPONSIBILITY

It is the responsibility of the employee to comply with the regulations pertaining to the specified University program, benefit, or facility. Any abuse may result in loss of privileges. It is the responsibility of the University to inform employees of new programs or facilities that are available.

RESOURCE

Contact the sponsoring office or Human Resources for more information on this policy.

Policy Approved: October 23, 1998

Last Updated: August 28, 2007
Maintainer: Human Resources

Policy 611 - General Leave Benefits

STATEMENT

The University provides leaves of absence to enable employees to attend to personal and professional obligations and for periods of disability. The policy for workers covered by a collective bargaining agreement is contained in that agreement.

PROCEDURE

Eligibility

All staff employees are eligible for leaves of absence in accordance with the specific provisions of each type of leave.

Length of Leave

All leaves of absence must be requested and granted in writing for a definite period of time with specific starting and ending dates. If an employee is absent from work for 3 work days without a written request and approval for a leave of absence his or her employment may be terminated.

Extension of Leave

The supervisor, and department heads have the discretion to grant a personal leave (please see Personal Leave policy #617), if no other leave is legally mandated. The Personal Leave policy grants the employee up to a maximum of 6 months unpaid leave. If recovery is made by the end of the six months, the employee may return to work in the previous position.

Santa Clara University is not required to grant personal leave in excess of legal mandates. In the instance that an extension to leave is not granted and the employee does not return to work, the employee will be terminated. A terminated employee would continue to receive disability benefits as long as the appropriate disability carrier continues to authorize benefits.

Return to Work

To ensure the health and safety of the employee who plans to return to work after a short-term disability leave of absence, a doctor's release must be obtained and presented to the Supervisor and Human Resources before the employee may resume work.

Reinstatement Requirement

A department granting a leave is generally obligated to reinstate the employee in the same or a similar position at the end of the leave. The department can be relieved of this obligation by the employee, in consultation with Human Resources. If an employee returning from either a medical, pregnancy, or industrial leave has either a physical or mental disability but is able to perform the essential functions of the job with or without reasonable accommodation, the University’s obligations to that employee may be governed by the Americans with Disabilities Act. Please see Personal Leave Policy #617.

In addition, an employee returning from a medical or industrial leave will be required to provide medical certification and/or undergo a fitness for duty exam verifying that the employee is able to return to work. Furthermore if an employee becomes eligible for long term disability, and is unable to provide reasonable assurance of his or her ability to return to work, the employee will be terminated. In addition, a leave is not appropriate, and will not be granted when the employee cannot provide reasonable assurance of intention to return to University employment at the end of the leave.

Termination of Leave

When an employee does not return to work at the end of the approved leave or when the employee's physician cannot provide reasonable assurance that the employee will return, the department in consultation with Human Resources will terminate the leave and the person's employment by written notification to the individual.

Benefit Coverage During Leave

Paid Leave

The employee remains eligible for all benefit programs and University contributions to those plans as though actively at work. An employee on a paid leave will continue to accrue vacation and sick leave based on hours paid.

Unpaid Leave

An employee remains eligible to participate in Santa Clara University’s medical/dental, life, long-term disability and retirement provided the employee pays 100% of all required premiums or contributions or with the following exceptions:

If the employee is on an unpaid family or parental leave, benefits will be provided for a maximum of twelve (12) work weeks if such benefits were provided prior to the leave being taken and on the same terms as if the employee continued to work.
In the event of an approved medical, pregnancy, or industrial leave, benefits will remain in effect for the duration of the approved leave.
When an employee in a regular, on-going position covered by the Santa Clara University disability plans terminates employment, the University will continue its contribution to employee and dependent health care cost as it does for active service employees and the employee will remain eligible for participation in group health insurance plans in which they are enrolled as long as the insurance contracts permit such coverage. This coverage will continue until the earlier of such time as the employee is eligible for Medicare benefits, other health care coverage, or long term disability benefits are exhausted. (Fixed-term and temporary employees are excluded.)

If an employee has been placed on a Santa Clara University Emergency Leave for purposes of a bona fide emergency as defined by the University’s Emergency Communication Plan, employees will remain eligible for participation in the group health insurance plans in which they are enrolled.

Employees on leave who do not receive continued University paid health coverage may continue their group health insurance coverage in conjunction COBRA guidelines.

The employee is responsible for any additional payroll deducted premiums. This may include dependent health care premiums, medical expense reimbursement contributions, or voluntary cancer premiums. This coverage will only be provided if the employee pays the University for the monthly cost within the first ten (10) calendar days of the month for which the coverage is requested.

If an employee is no longer in pay status and short term disability payments are applicable, employees may authorize premium payments to be deducted directly from the short-term disability payments (received from the plan administrator.) If this option is not chosen, payments must be paid as referenced above.

Upon the cessation of salary continuation, all retirement contributions will cease, and vacation and sick leave will no longer continue to accrue.

RESPONSIBILITY

Employees are responsible for notifying their supervisor of leave intent as soon as possible, according to the notification and certification requirements of this policy. Supervisors and department heads are responsible for ensuring proper administration of paid leave and leave scheduling. Employees are responsible for providing leave status change information as directed by Human Resources. Employees who fail to follow these established leave processes will be subject to disciplinary action, up to, and including termination.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: August 22, 2000
Maintainer: Human Resources

Policy 612 - Vacation Pay

STATEMENT

The University grants paid vacation for the purpose of rest and relaxation.

PROCEDURE

Accrual Periods

Vacation leave accrues from the first of the month following the date of hire as a regular or academic staff member and continues during periods of work, sick leave, vacation and other periods of paid leave. Vacation does not accrue for hours worked on an overtime basis.

Maximum Vacation Accumulation

The maximum amount of vacation that staff members can accumulate is the amount they would accrue in one and one-half years at their current annual accrual rate. For instance, if a staff member has 10 years of service the maximum number of vacation hours which can be accrued is 264 hours; the staff member will not accrue any additional vacation hours until the available balance falls below 264 hours.

Eligibility

Regular staff members are eligible to accrue and use vacation if they are assigned to work twenty (20) hours a week or more for six (6) months or more.

Accrual of Vacation

Full-Time Regular Staff-

Length of Service*	Days per year	Hours per pay period	Max Accrual(hours)
0-3^rd year	15	5.00	180
Start of 4^th-8^th	20	6.67	240
Start of 9^th-18^th	22	7.33	264
Start of 19^th-24^th	25	8.33	300
25 years and over	30	10.00	360

*Length of service for vacation accrual purposes means years of service counted from the staff member’s date of hire as a regular staff member. However staff hired on a temporary basis who are subsequently hired into a regular position for twenty (20) hours a week or more, will have an accrual rate based on their initial date of hire as a temporary.

Full Time Regular Academic Staff-

Librarians and other full-time regular academic staff, as defined by the Faculty Handbook, will accrue vacation at the following rates:

Length of Service**	Days per year	Hours per pay period	Max Accrual(hours)
0-8^th year	20	6.67	240
Start of 9^th-18^th	22	7.33	264
Start of 19^th-24^th	25	8.33	300
25 years and over	30	10.00	360

**Academic staff hired on July 1, 1993 or after will accrue vacation based on years of service as a full time regular academic staff member at SCU. Librarians hired prior to July 1, 1993 who had been accruing vacation based on credit for professional experience prior to coming to Santa Clara University will continue to accrue vacation based on their total years of professional experience.

Administrative Officers of the University

Administrative officers identified by the Vice Presidents and approved by the President will accrue vacation at the following rates:

Length of Service	Days per year	Hours per pay period	Max Accrual(hours)
0-18^th year	22	7.33	264
Start of 19^th-24	25	8.33	300
25 years and over	30	10.00	360

Part Time Regular Staff/Academic Staff-

Staff who are paid on a semi-monthly salary basis working less than forty (40) hours per week (less than 1.0 FTE) will receive pro-rated leave accrual based on the number of hours regularly scheduled to work.

Accrual Adjustment

Vacation accrual rates will increase in the pay period following a staff member's anniversary date following completion of the specified length of service period as defined above.

Accruals During Leaves of Absence

Paid Leave: Vacation will accrue while a staff member is on paid leave status.
Unpaid Leave: Vacation will not accrue for hours reported as unpaid leave.
Medical Leave: Vacation will accrue as long as the staff member is on paid status (i.e., receiving sick leave or vacation pay). Vacation accruals will cease once sick leave and vacation have been exhausted. (Use of vacation while on medical leave is optional. Vacation may not be integrated with short term disability.)

Donation of Vacation to Other Staff

Staff who have run out of vacation and sick leave due to the continuing requirement to be absent from work because of illness or family emergency may be authorized additional vacation time from a pool of vacation donated by other staff. Staff may donate vacation time, in eight (8) hour increments, to the pool or for specific individuals. Staff must retain a balance of at least eighty (80) hours of vacation after making a donation to the pool. Staff who wish to donate vacation should contact Human Resources to obtain the Vacation Request Form.

Staff who wish to request additional vacation hours from the pool for use in cases of long term illness or family emergency should complete Section III of the Vacation Request Form, discuss their request with their supervisor, and submit the approved Vacation Request Form to Human Resources. Human Resources will consult with the supervisor and authorize additional vacation hours from the pool as appropriate.

Scheduling of Vacations

Departments are responsible for providing opportunities for staff to take vacations each year. Staff members should make specific vacation requests in writing to their supervisors at least two weeks prior to the requested time-off. The policy and practice of the University is to grant staff members the opportunity to use accrued vacation with some discretion, so long as the scheduling of vacation does not interfere with the operational needs of the department. In all circumstances, management must approve the time off before it is taken.

If a staff member is not utilizing accrued vacation, it is the prerogative of the department manager to schedule time off for the staff member. It is hoped that a mutually agreeable schedule can be developed, but management does have the discretion to require that vacation time be utilized.

Staff members are discouraged from using more vacation than they have currently accrued. However, in exceptional cases the supervisor may request through the departmental manager with budget authority that Human Resources approve the advance of vacation hours to a staff member. Departments are liable for the cost of vacation which has been advanced to a staff member and not covered by accruals prior to the time the staff member terminates.

Use of Vacation by Part-Year Staff

Part-year staff should schedule their vacation to be used during the pay periods they are scheduled to be at work. Part-year staff may not use vacation during the non-work periods. Part-year staff will not accrue vacation during non-work periods.

Use of Vacation for Non-Vacation Absences

Vacation can be used for other absences (e.g., disability, family, and personal leaves) when requested by the staff member and approved by the supervisor.

Pay in Lieu of Vacation

Vacation may not be converted to cash except upon termination of employment or upon change to an employment status with the University which makes the individual ineligible for vacation accrual or use. When there is a change in employment status the individual will be paid for accrued vacation and a record will be kept of any sick leave balance so that it can be recredited if the individual becomes eligible for leave at a later time.

Payment of Vacation at Termination

Staff who terminate regular employment will receive on their last day of employment a lump-sum payment of their accumulated vacation at their current rate of pay.

Transfer of Vacation

When a staff member transfers from one department to another within the University, the staff member's unused vacation balance transfers to the new department.

Holidays During Vacation

If a paid holiday falls within a staff member's vacation, it will be recorded as a holiday rather than a vacation day.

Illness During Vacation

If a staff member becomes ill while on vacation the period of illness may be charged to accumulated sick leave rather than to vacation, at the staff member's request and with the supervisor's approval. Supervisors may require a physician's verification when such periods of illness exceed three days.

Records and Reporting of Vacation

All staff members will record vacation usage on timesheets provided every pay period. The University will report vacation accruals and usage on the staff member's pay check each pay period.

Exceptions to the Policy

If, under rare circumstances, exceptions to this policy are necessary they may be made by a Vice President in consultation with the chief Human Resources officer.

RESPONSIBILITY

Employees are responsible for following established department scheduling and call-in procedures. Department heads are responsible for ensuring proper administration of paid leave and leave scheduling. Human Resources is responsible for the interpretation and administration of this policy.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: June 13, 2001
Maintainer: Human Resources

Policy 613 - Sick Leave

STATEMENT

The University’s sick leave program provides salary continuation for eligible employees during periods of illness, injury, or medical disability such as maternity or periods of post-surgical recuperation. In the event employees are medically disabled for extended periods of time and a medical leave of absence is required, available sick leave will be coordinated with Short Term Disability Insurance, Workers’ Compensation, Santa Clara University’s Long Term Disability plan, and/or Social Security.

PROCEDURES

Eligibility

All regular and fixed term staff employees are eligible to accrue sick leave. Sick leave is credited each pay period and is reflected on the employee's pay stub. Sick leave may be accrued to a maximum of 80 work days or 640 hours.

Accrual Amounts

Exempt (Salaried) Staff: Employees who are paid on a semi-monthly basis working 40 hours a week accrue sick leave at the rate of four hours per pay period. Employees working less than 40 hours a week accrue sick leave on a pro-rated basis.

Non-Exempt (Hourly) Staff: Employees who are paid on an hourly basis will receive an accrual based on the number of hours worked each pay period.

Accrual Periods

Sick leave accrues from the first of the month following the date of hire as an eligible employee and continues during periods of work, sick leave, vacation, and other periods of paid leave. Sick leave does not accrue for hours worked on an overtime basis or during an unpaid leave of absence.

Use of Sick Leave

Sick leave may be used when an employee's illness, medical disability (e.g., maternity, post-surgical recuperation) or injury prevents the employee from working. Employees may use sick leave when it is necessary to be away from work for less than one full day due to medical or dental appointments scheduled during the employee's working hours.

Sick leave may also be used when illness, injury, medical or dental appointments in the employee's close family require the employee's absence from work. Close family is limited to the employee's spouse or person who stands in substantially the same relationship, children of the employee or spouse, parents and parents-in-law, parent surrogate, brothers and sisters of the employee, grandparents and grandchildren of the employee, and any other dependent family members living in the employee's residence. Use of sick leave for this purpose may not exceed 10 working days per calendar year.

Holidays and Sick Leave

If a University holiday falls during a period of paid sick leave, it will be paid as a holiday rather than a day of sick leave.

Illness or Injury During Vacation

If an employee becomes ill or is injured while on scheduled vacation, this period of time may be charged to accumulated sick leave.

Coordination with Disability Plan Benefits

An employee who has met the disability waiting period is required to apply for the appropriate disability benefits. During disability periods for which benefits are payable from the Short Term Disability Insurance Plan, Workers' Compensation, Social Security Disability or Santa Clara University's Long Term Disability plan, accumulated sick leave must be used to supplement such disability plan benefits up to the employee's regular pre-disability net pay. If all accumulated sick leave has been paid, an employee may elect to use accumulated vacation to supplement these plans.

Approval of Sick Leave

In most instances, a conversation between employee and supervisor is sufficient for the approval of sick leave pay. The supervisor who approves the use of sick leave by an employee is responsible for determining if the conditions for use of sick leave are met. In some circumstances, medical certification may be required.

Doctor’s Release/Medical Certification

To insure the health and safety of the employee who plans to return to work after an approved short or long-term disability leave of absence, an employee will be required to provide medical certification and/or undergo a fitness for duty exam verifying that the employee is able to return to work. This verification must be provided by the attending physician or a University-designated physician. The employee must present the verification to the supervisor and Human Resources. Certifications must include the capacity in which the employee can return to work.

Termination

Upon termination of employment, the employee's accrued sick leave balance will not be paid to the employee. When there is a change in employment status affecting eligibility for sick leave a record will be kept of any sick leave balance so that it can be recredited if the individual becomes eligible for leave within one year of the change in status.

RESPONSIBILITY

Employees should inform supervisors whenever their need for leave may be covered by the Family and Medical Leave Act or other local jurisdiction’s laws. Supervisors are responsible for determining when a request for leave is covered by this policy, and if so, promptly informing the employee. In addition, supervisors are generally responsible for complying with the terms and conditions of this policy and the applicable federal, state, and local laws.

Human Resources is responsible for interpretation and administration of this policy.

RESOURCE

Refer to the Family & Medical Leave (614), Pregnancy Disability (622), and Industrial Disability (615) leave policies for procedures related to specific leave applications. Contact Human Resources for more information regarding this benefit.

Policy Approved: October 23, 1998

Last Updated: May 19, 2000
Maintainer: Human Resources

Policy 614 - Family and Medical Leave

STATEMENT

Under the Family and Medical Leave Act, as amended (FMLA) and the California Family Rights Act, as amended (CFRA), an employee will be granted a family or medical leave in accordance with the requirements of applicable state and federal law in effect at the time the leave is granted. Accordingly, this policy incorporates the FMLA and CFRA notices that are included as appendices A and B of the Staff Policy Manual. No greater or lesser leave benefits will be granted than those set forth in such state or federal laws. Employees will be eligible for the most liberal benefits available under either law. To the extent permitted by law, any leave of absence that is granted to an employee under this policy or any other policy for a purpose specified above shall be credited against the applicable 12-week or 26-week limit contained in this policy.

ELIGIBILITY

To be eligible for family and medical leave benefits, an employee must:

have worked for a total of at least twelve (12) months; and
have worked at least 1,250 hours in the previous 12 months prior to the start of the leave.

Qualifying Family and Medical leaves

Eligible employees may receive up to a total of 12 work weeks of leave during a rolling 12-month period for one or more of the following reasons:

incapacity due to pregnancy, prenatal medical care or childbirth; the birth of a child, and to care for a new born child, during the first year of life; placement of a child for adoption or foster care, and to care for an adopted child or child in foster care, during the first year;
care of a spouse or person who stands in substantially the same relationship, parent, son or daughter with a serious health condition; and/or anyone with whom the employee has an in loco parentis relationship; (note: if both parents, biological or adoptive are Santa Clara University employees working in the same department, leave will be granted to only one parent at a time);
An employee's own serious health condition that renders the employee unable to perform the essential functions of the employee's job;
A qualifying exigency arising out of the fact that the employee's spouse, son, daughter, or parent is on active duty, or has been notified of an impending call to active duty status, in support of a contingency operation.

Eligible employees may receive up to 26 weeks in a single 12-month period to care for a spouse, son, daughter, parent, or next of kin of a covered service member who is recovering from a serious illness or injury sustained in the line of duty on active duty request.

Additional leave may be granted as an accommodation if required by the Americans with Disabilities Act, as amended. Under some circumstances, employees may take family and medical leave intermittently, which means taking leave in blocks of time, or by reducing their normal weekly or daily work schedule.

Pregnant employees may have the right to take a pregnancy disability leave (refer to the Pregnancy Disability policy) in addition to a family leave; such employees should contact Human Resources regarding their individual situations.

PROCESS

Notice and Certification Requirements

Employees seeking to use family and medical leave are responsible for providing their supervisor and the Department of Human Resources with at least 30 days advance notice when the need for the leave is foreseeable. Employees are also responsible for providing the required completed forms regarding their request for a family and medical leave to the Department of Human Resources, including medical certification (both prior to the leave and prior to reinstatement). Employees may also be required to provide periodic recertification and periodic reports during the leave, as applicable.

Employees requesting a family or personal medical leave should contact their Benefits Specialist in the Department of Human Resources regarding their individual situations and to get information regarding the specific notification and approval requirements for their leave. For purposes of short and/or long term disability, all medically related leaves are subject to approval by the appropriate plan provider. Family and medical leave request forms are available here:

http://www.scu.edu/hr/forms/benefits.cfm

Compensation During Leave

Family and medical leave is generally unpaid. When an employee is on an FMLA leave for their own serious health condition (including medical conditions relating to pregnancy) any accrued sick leave that the employee has, however, must be used concurrently. Thus, a family or medical leave will be paid only to the extent of the employee's accumulated sick leave, in coordination with either the State or Voluntary Disability Insurance, Worker' Compensation, Social Security Disability and the Santa Clara University Long term disability plan, as applicable. The use of accrued vacation, if sick leave has been exhausted, is at the discretion of the employee.

RESPONSIBILITY

Employees should inform supervisors whenever they believe their need for leave may be covered by the Family and Medical Leave Act or other local jurisdiction's laws. Supervisors are responsible for determining when a request for leave is covered by this policy, and if so, promptly informing the employee orally within 2 business days and in writing within the next pay period. In addition, supervisors are responsible generally for complying with the terms and conditions of this policy and the applicable federal, state, and local laws. The Department of Human Resources is responsible for the interpretation and administration of this policy.

RESOURCE

Please refer to the Pregnancy Disability (622) and Industrial Disability (615) leave policies for procedures related to specific leave applications. Contact Human Resources if you have questions or if you would like more information regarding this benefit.

Policy Approved: June 2013
Last Updated: June 2013
Maintainer: Department of Human Resources

Policy 615 - Industrial Disability

STATEMENT

Employees who are unable to work due to an injury that arises out of and in the course of their employment may be entitled to benefits and leave under the California Worker’s Compensation Act.

PROCEDURE

Employee Eligibility

Santa Clara University will grant a worker's compensation disability leave to all employees with occupational illnesses or injuries in accordance with state law. Leave taken under the worker's compensation disability policy runs concurrently with family and medical leave under both federal and state law. In the event a recovering employee is released under "limited duty", a "workplace needs assessment" will be performed to ascertain whether or not the employee may return to work. Any change to the job limitations will trigger an additional "workplace needs assessment."

Leave Availability

Any regular or temporary employee who is receiving temporary disability payments under the Worker's Compensation Act shall be entitled to an industrial leave of absence. Temporary and fixed-term employees' leaves will not continue beyond the end of the assignment. When the employee is deemed "permanent and stationary", the University may terminate the worker if the worker and his/her treating physician cannot provide reasonable assurance that the employee can return to work with or without reasonable accommodation in accordance with the Americans with Disabilities Act.

Compensation During Leave

Worker's compensation disability leaves are without pay. However, employees may utilize accrued sick or vacation pay during the leave. All such payments will be coordinated with any worker's compensation payments. At no time shall an employee receive a greater total payment than the employee's regular net pay. While on an industrial leave of absence the employee shall accrue service credit (seniority) for the purposes of vacation accruals and retirement vesting only.

Notification and Certification Requirements

Employees must report all accidents, injuries and illnesses no matter how small to their immediate supervisor. In addition, an injured worker who is deemed unable to work by the treating physician, must keep his/her supervisor informed of changes in his/her status within a reasonable time. A release to return to work from the treating physician must be provided to the Supervisor within a reasonable time prior to returning to work. The release must include the capacity in which the individual can return to work.

RESPONSIBILITY

It is the employee's responsibility to coordinate all leave time with the supervisor or department head. It is the responsibility of the department head or supervisor to administer the leave provisions detailed in this policy.

RESOURCE

Please refer to the Family and Medical (614), Short Term Disability (603) and Injury on the Job (701) policies for procedures related to specific leave applications. Contact Human Resources for questions or more information regarding this benefit.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 616 - Holidays

STATEMENT

It is the policy of the University to grant its employees certain paid holidays.

PROCEDURE

Eligibility

All regular and fixed term staff employees whose full time equivalency is at least 50% (20 hours per week) are eligible for paid holidays from their date of hire.

Days Designated as Paid Holidays

New Year’s Day	Memorial Day	Friday after Thanksgiving
Martin Luther King Day	Independence Day	Christmas Eve Day
President’s Day	Labor Day	Christmas Day
Good Friday	Thanksgiving Day	New Year’s Eve Day

At the discretion of the President of the University, other paid days off may be declared on a one time basis.

Saturday or Sunday Holidays

When a holiday falls on a Saturday or Sunday, the University reserves the right to declare either the previous Friday or the following Monday as the paid day off for observation of the holiday. The University reserves the right to observe any holiday on a certain date based on requirements of the University calendar.

Holiday Pay

All holiday pay is based on an employee’s regular base pay unless otherwise noted.

When the day of the holiday observance falls on a scheduled work day and the employee does not work on that day:

Full time exempt and non exempt employees receive regular pay for that day.
Part time exempt and non exempt employees receive prorated pay based on their full time equivalency (FTE), e.g., an employee who works 60% time would receive 4.8 hours of holiday pay (8 hours x 60%).

When the day of holiday observance falls on the employee’s normally scheduled day off:

Full time or part time exempt and non exempt employees receive another day off with pay in the same pay period.
Part time exempt and non exempt employees whose work schedule is four or fewer days per week or varying numbers of hours daily during each week receive time off with pay on the next scheduled work day following the holiday. Hours paid for the holiday should be based on the employee’s full time equivalency (FTE).

When the employee is required to work on the day of holiday observance:

Full time or part time exempt employees may receive partial or full compensatory time off when authorized by the supervisor.
Full time non exempt employees receive one and one half times regular pay for the hours worked on the holiday, and either another day off with regular pay in the same pay period, or when time off cannot be provided, eight hours of extra pay. Under some circumstances the employee may be eligible for overtime pay. Refer to the Overtime policy.
Part time non exempt employees receive time and one half pay for the hours worked on the holiday and either time off with pay for the pro rata holiday hours within the pay period, or , when time off cannot be provided, extra pay for this number of hours.

When the day of holiday observance occurs while an employee is on an approved leave (vacation, sick leave, or other paid leave from which the employee is expected and scheduled to return to work,) the time shall be charged as paid holiday rather than as a vacation, sick leave or other paid leave. An employee on an unpaid leave of absence does not receive pay for the holiday.

RESPONSIBILITY

Each department must inform its employees about the department’s holiday schedule and holiday leave policy.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 617 - Personal Leave

STATEMENT

The University may provide leave with or without pay under certain circumstances at the discretion of the supervisor or department head. Reasons for leave may include educational pursuits, service or civic activities, or personal situations.

PROCEDURE

Eligibility

All regular and fixed term employees are eligible for personal leave.

Leave Availability

Paid

An employee can use a maximum of 24 hours of accrued sick leave during any 12 month period to attend to personal matters. Personal time off is subject to advance supervisory approval. Unused personal time off does not accumulate from year to year and is not paid upon termination.

Unpaid

An employee may be granted a personal leave without pay for up to six months. The granting of this leave is at the discretion of the employee’s supervisor. Supervisors who grant such leave must be willing and able to hold the employee's position open during the leave for her or his return. Examples of reasons for such leaves include child care, extended care for dependent family members (beyond what is allowable under the FMLA), education and/or public service.

Compensation During Leave

Records of use of personal time off are maintained in the department, and hours to be paid are reportable on time sheets as sick leave.

Notification and Certification Requirements

Employees requesting to take a personal leave must submit a Request for Leave of Absence form to the supervisor and Human Resources at least 30 days prior to the start of the leave.

RESPONSIBILITY

Employees are responsible for notifying their supervisor of a leave as soon as possible, and according to notification and certification requirements of this policy. Supervisors are responsible for ensuring proper administration of paid leave and leave scheduling.

RESOURCE

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 618 - Bereavement Leave

STATEMENT

The University provides leaves of absence in situations of bereavement for employees to attend to personal obligations.

PROCEDURE

Eligibility

All regular and fixed term employees are eligible for bereavement leave.

Leave Availability

An employee may be paid for up to five (5) working days when there is a death of an employee’s spouse or person who stands in substantially the same relationship, son, daughter, child’s other parent, father, mother, brother, sister, father-in-law, mother-in-law, grandchild or grandparents, and/or anyone with whom the employee has an in loco parentis relationship. This paid leave is for attending funerals, memorial services and for discharging responsibilities related to the death of the family member. Days of leave may be taken consecutively or split as needed. If additional time off is needed, a supervisor may approve use of accrued vacation or time off without pay.

Compensation During Leave

A bereavement leave will be paid based on the employee’s normally scheduled hours at the regular straight time hourly rate.

Notification and Certification Requirements

The employee’s immediate supervisor should be notified within a reasonable amount of time.

RESPONSIBILITY

Employees are responsible for notifying their supervisor of leave as soon as possible and for following the notification and certification requirements of this policy. Supervisors are responsible for ensuring proper administration of paid leave and leave scheduling.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 619 - Civic Leave

STATEMENT

The University grants paid leave to employees summoned to serve jury duty or appear in court as a state witness (to testify on behalf of the federal, state or local government in a criminal case.) Employees who are summoned to appear in court for other reasons may use paid leave or leave without pay.

PROCEDURE

Voting

When a regular, full-time, non-exempt employee is not able to vote outside of regularly scheduled work hours, the employee will be granted up to two hours leave with pay to vote.

Jury Duty

An employee called for jury duty will receive time off with pay for the necessary period of absence from scheduled work. The employee may retain any payment received from the court. The jury verification notice must be attached to the time sheet and initialed by the supervisor to verify required time off.

Court Appearances

An employee who is subpoenaed as a State witness will receive time off with pay for the necessary period of absence from scheduled work; however, absences to appear as a plaintiff or defendant must be charged to vacation leave, personal time off, or taken as a personal leave without pay.

Dependents’ School Activities

An employee who is a parent, guardian, or grandparent with custody of a child in kindergarten through grade 12 is eligible to take up to 40 hours unpaid leave annually to participate in his or her children’s school activities. Eligible employees are required to give reasonable advance notice of anticipated absences for school activities and can use accrued vacation, if available.

RESPONSIBILITY

Employees must promptly notify their supervisors and departments regarding absences related to jury duty or other court appearances. Employees must stay in regular contact with their supervisor during civic duty assignments. In cases of court appearances, supervisors must secure a copy of the summons when an employee is unable to report for work due to jury duty or court appearance. In addition, supervisors are responsible for monitoring eligible time off.

RESOURCE

Contact Human Resources if you have questions or if you would like more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 620 - Military Leave

STATEMENT

The University grants leaves of absence for military duty to employees who are members of the National Guard or the Military Reserves. The University also reemploys veterans in compliance with the Veteran Reemployment Rights Law.

PROCEDURES

Eligible Employee

All regular and fixed term employees are eligible for military leave.

Leave Availability

Leaves are available to any eligible employee to fulfill voluntary or involuntary military obligations. Additional leaves of absence may be authorized by Human Resources in the event of a national or state emergency.

Compensation During Leave

An employee required to perform annual active duty for training purposes will be paid the regular straight time rate of pay coordinated with military pay received for a maximum of two (2) calendar weeks. Pay shall be calculated on the basis of an employee's normally scheduled hours at the regular straight time hourly rate. Employees will not be paid for weekend drills. At no time shall the employee receive a total payment greater than the employee's regular net pay.

Notification and Certification Requirements

Employees needing to request a military leave must submit a "Request for Leave of Absence" form to the supervisor who must submit it to Human Resources at least 30 days prior to the start of the leave or at the earliest reasonable time. The appropriate military orders requiring such service should be submitted at this time. The employee must present his/her military orders and military pay voucher to Human Resources in order to be eligible for coordinated payment.

Reinstatement Requirement

Both the employee and the employer have obligations under the Veteran’s Reemployment Rights Act (VRRA). Employees returning from active duty who request reemployment within the time limits provided by law will be reinstated to the former positions or to a position of like status and pay for which they are qualified.

RESPONSIBILITY

Employees called to military service or training are responsible for providing all requested documentation in a timely manner. The supervisor and Human Resources will process each request in a timely manner and must comply with all federal reemployment rights.

RESOURCE

All questions about leaves of absence for military duty and related reemployment rights should be directed to the Affirmative Action Office or Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 621 - Emergency Leaves

STATEMENT

The University may provide emergency leave in the event of a bona fide emergency as defined by the Santa Clara University Emergency Communication Plan.

PROCEDURE

Eligibility

Employees in on-going regular positions are eligible for an Emergency Leave.

Leave Availability

Emergency Leave is available for those staff who are unable to work due to a bona fide emergency as defined by the Santa Clara University Emergency Communication Plan (e.g., earthquake).

Compensation During Leave

Regular employees will receive their normal base pay for a period of thirty days while on an approved Emergency Leave. If the leave goes beyond the 30-day period, an employee may utilize any accrued vacation leave.

Notification and Certification Requirement

The employees' immediate supervisor, or second level supervisor, should notify the employees as to their work status in the event of a bona fide emergency. If an employee’s services are not required for the duration of the emergency recovery period, they will be placed on an Emergency Leave until they are able to return to their work assignment. Employees not required to return to their position will be eligible for any rights and benefits provided through the Layoff Policy.

RESPONSIBILITY

It is the responsibility of the employee to coordinate all leave time with the supervisor or second-level supervisor. It is the responsibility of the supervisors to administer the leave provisions detailed in this policy.

RESOURCE

Contact Human Resources for questions or more information on this policy. Contact Public Safety for information on the Santa Clara University Emergency Communication Plan.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 622 - Pregnancy Disability

STATEMENT

Employees who are disabled due to pregnancy-related conditions are entitled to a leave of absence under the California Fair Employment and Housing Act (FEHA).

PROCEDURE

Employee Eligibility

All regular and temporary employees are eligible to receive a pregnancy disability leave due to their pregnancy, childbirth, or related medical conditions.

Leave Availability

An employee disabled due to pregnancy, childbirth, or related medical condition may take up to a maximum of four months leave. As an alternative, the University may transfer the employee to a less strenuous or hazardous position if the employee so requests with the advice of her physician, if a workplace needs assessment allows such a transfer. Fixed-term and temporary employees' leave will not extend beyond the end of their assignment.

Leave taken under the pregnancy disability policy is in addition to the 12 weeks allowed under the Family Medical Leave Act (FMLA). Temporary employees are not eligible for an FMLA leave.

Compensation During Leave

Upon the start of an approved pregnancy disability leave, any accrued sick leave will be coordinated with any short term disability payments. At no time shall an employee receive a greater total payment than the employee's regular net pay. The use of accrued vacation, once the sick leave is exhausted, is at the discretion of the employee and will not be integrated with any other type of payment being received. Once authorized accruals have been exhausted, the paid leave will end.

Notification and Certication Requirements

Employees requesting to take a pregnancy disability leave must submit an approved Request for Leave of Absence form to the Human Resources at least 30 days prior to the start of the disability or at the earliest reasonable time.

In addition, employees must provide an initial physician's certification of disability indicating the expected duration of the disability. The certification must be updated to reflect changes in the employee's condition. Disability approval is also required by the Short Term Disability insurer.

RESPONSIBILITY

It is the employee's responsibility to coordinate all leave time with the supervisor. It is the responsibility of the supervisor to administer the leave provisions detailed in this policy.

RESOURCE

Refer to Family & Medical (614), Personal (617), and Industrial Disability (615) leave policies for procedures related to specific leave applications. Contact Human Resources for questions or more information about this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 701 - Injury on the Job

STATEMENT

Employees of Santa Clara University may be eligible for coverage of medical expenses and loss of income resulting from work-related accidents.

The University strives to provide a safe work environment for all employees. In the event of work-related acccident or occupational disease, employees may be eligible for coverage of medical expenses and loss of income in accordance with he Worker’s Compensation Act.

PROCEDURE

Notification:

An individual should immediately notify his/her supervisor of all work-related accidents.

The supervisor must complete a Report of Injury and submit it to Human Resources within a reasonable time after the incident. The supervisor must give the injured worker a Claim for Worker’s Compensation Benefits form within 24 hours of supervisor's knowledge of the injury, if medical attention is required.

If the nature of the injury is serious, or life or limb threatening, the injured worker or supervisor should contact Emergency Services (911) and Public Safety for transportation to the nearest hospital emergency room for treatment. All follow-up care will be provided by the Santa Clara University designated occupational clinic.

If the nature of the injury is minor, yet requires medical attention, the injured worker should contact Human Resources to arrange treatment through the Santa Clara University designated occupational clinic. If necessary, the individual may be transported by the Public Safety Department.

Absence from Work:

An injured worker who is deemed unable to work, by the treating physician, must keep his/her supervisor informed of changes in his/her status within a reasonable time. A release to return to work, from the treating physician, must be provided to the supervisor within a reasonable time prior to returning to work. The release must include the capacity in which the individual can return to work.

Continuation of Salary and Benefits:

An injured worker who is unable to work will receive disability benefits to which he/she is entitled under California's Worker's Compensation law. He/she may elect to use accrued sick and vacation leave during this period. All paid leave will be integrated, to the injured worker’s normal net pay, with the worker’s compensation payment. Therefore, if the injured worker is subsequently paid for these days by the worker’s compensation insurance carrier, he/she will pay back the difference between the amount of the worker’s compensation payment and the normal net pay. Thereafter, the equivalent leave charged will be restored.

Coordination with Family and Medical Leave Policy

Disability leave that qualifies under worker’s compensation will be applied to the individual's annual Family Medical Leave entitlement.

Termination of Employment

An individual covered by worker's compensation may be terminated upon the attainment of permanent and stationary status. Reasonable accommodation to enable the injured worker to return to work will be considered when appropriate. Change in employment status or termination of an employee receiving worker's compensation benefits must be reviewed with Human Resources. Any termination decision must be in accordance with applicable federal, state or local law.

RESPONSIBILITY

It is the responsibility of each individual to report any injury on the job or occupational disease to his or her supervisor. If the injured worker is unable to work, he/she must follow all the reporting provisions of the policy and keep the supervisor informed of his or her status. It is the responsibility of the supervisor to provide the necessary claim forms to the injured worker and to ensure the incident is reported to Human Resources. It is also the responsibility of the supervisor in conjunction with the Facilities Department and Public Safety to ensure a safe working environment.

RESOURCE

Questions concerning injury reporting or the length of an employee's absence should be directed to Human Resources. Questions concerning payment or the status of the worker’s compensation claim should be directed, by the injured worker, to the University's worker's compensation insurance carrier. Questions concerning termination of employment or other changes in the injured worker's status should be directed to Human Resources. Issues surrounding unsafe working conditions should be directed to the Supervisor, Public Safety, Facilities and/or the University Safety Committee.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 702 - Non Smoking

STATEMENT

Santa Clara University, in compliance with the City of Santa Clara Ordinance No. 1654, has adopted a non-smoking policy. Therefore, in connection with the ordinance which regulates smoking, the University’s goal is to provide a smoke-free environment while accommodating those who do smoke.

PROCEDURE

Scope of Application

All faculty, staff, students, and visitors of the University are covered by this policy. In addition, all persons using the facilities of the University are subject to this policy.

General Rules

Smoking shall be prohibited at all times in all enclosed, non-residence facilities without exception. This includes common work areas, auditoriums, classrooms, conference and meeting rooms, private offices, elevators, hallways, medical facilities, cafeterias, employee lounges, stairways, restrooms, locker rooms, dressing areas, and all other enclosed facilities.

"No Smoking" signs shall be conspicuously posted at the building entrances and in employee lounges, restrooms, locker rooms, dressing areas, cafeterias, and lunchrooms.

Santa Clara University shall supply access to a written copy of the smoking policy to all employees.

The following areas shall not be subjected to the smoking restrictions of this policy, unless smoking or the use of combustible materials is otherwise regulated by the City Ordinance or any other provision of law.

Any portion of a place of employment which is not enclosed (meaning any building or structure that is not enclosed by a permanent roof).
Private residences and residence hall rooms. Smoking is only permitted in individual private residences, including student residence hall rooms and apartments. Smoking is not permitted in lounges, hallways, balconies or restrooms. Due to increasing concerns over second-hand cigarette smoke, smoking within residence halls is permitted on a limited basis only. Smokers are required to provide and operate an air filter when smoking. Should a problem arise regarding smoke bothering other residents, the smoker will be required to curtail smoking in the room. Students may request either smoking or non-smoking rooms.

Individuals who choose to smoke outside must maintain a distance of 25 feet from any building opening (e.g., doors, windows). All cigarette butts shall be disposed in ashtrays located in the designated areas.

Enforcement

All management and supervisory personnel are responsible for implementing this policy and assuring that infractions are handled properly. In addition to posting signs, manager and supervisors shall advise employee, students and visitors not to smoke in enclosed public places or places of employment. An individual may request a smoker to move to the proper areas. Those refusing to comply with this policy may be reported to the appropriate supervisor or manager.

RESPONSIBILITY

This policy relies on the thoughtfulness, consideration, and cooperation of smokers and non-smokers for its success. Faculty, staff, and students are responsible for informing visitors of this policy and directing smokers to designated smoking areas. University managers and supervisors must ensure enforcement of this policy.

RESOURCE

Complaints or concerns regarding this policy shall be referred to Facilities. The University Safety Committee may be asked to provide assistance and clarification in resolving complaints concerning this policy.

Policy Approved: October 23, 1998

Last Updated: December 11, 2001
Maintainer: Human Resources

Policy 703 - Drug Free Workplace

STATEMENT

The Santa Clara University environment is a community in which there are responsibilities and freedoms governed by policies and codes of behavior, including sanctions for violations of these standards. Santa Clara University has a standard of conduct which prohibits the unlawful possession, use, or distribution of illicit drugs and/or alcohol by students and employees on Santa Clara University property or as a part of Santa Clara University activities. The University will impose disciplinary sanctions on students and employees ranging from educational and rehabilitation efforts up to and including expulsion or termination of employment and referral for prosecution for violations of the standards of conduct.

It is the goal of Santa Clara University to maintain a drug-free workplace. To that end, and in compliance with the Drug Free Workplace Act of 1988 (Public Laws 100-440 and 100-690), the University has adopted the following policies:

Unlawful manufacture, distribution, dispensing, possession, or use of controlled substances is prohibited in the workplace.
Employees who violate this prohibition are subject to corrective or disciplinary action as deemed appropriate, up to and including termination.

PROCEDURES

As an on-going condition of employment, employees are required to abide by this prohibition, and to notify Human Resources of any criminal drug statute conviction they receive for a violation occurring in the workplace. Notification must be provided in writing no later than five days after such a conviction.

If an employee receives such a conviction, the University shall take appropriate disciplinary action against the employee, up to and including termination, or require the employee to participate satisfactorily in an approved drug-abuse assistance or treatment program.

Human Resources makes available information about drug counseling and treatment.

RESPONSIBILITY

It is the responsibility of all University faculty, staff, and students to comply with this policy and to inform visitors of this policy.

RESOURCE

Contact the Affirmative Action Office for more information on this policy or to obtain a copy of the Drug Free Workplace Act of 1988 (Public Law 100-440 and 100-690). Contact the Employee Assistance Program for information or questions regarding drug misuse or abuse.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 704 - Motor Vehicle Operators

STATEMENT

This policy and procedure document addresses the use of vehicles in the conduct of University business and activities. Questions regarding the rules and procedures should be directed to the Associate Vice President for Finance.

DEFINITIONS

Vehicle: Vehicle is defined as any University or privately-owned vehicle used for University related business legally certified or approved to be operated upon a public highway, street, road or freeway.

Employee: An employee is any person who is on one of the Unviersity payrolls (faculty, staff, student).

Volunteer of Record: A person who is providing services to the University without compensation and is acting at the specific request and direction of a University employee. A volunteer also includes students participating in a program of service to the University or community.

University Business: Travel that is conducted with the knowledge and approval of the University for the benefit of the University.

Authorized Driver: An employee or Volunteer of Record authorized to drive a vehicle for University business.

GENERAL RULES

Compliance with Law: Drivers shall operate vehicles not only in compliance with law, but in compliance with all good driving practices including but not limited to obeying speed limits and using seat belts and shoulder harnesses. Drivers shall ensure that the vehicle's insurance information is located in the glove compartment.
Compliance with University and Departmental Policy & Procedure: use of any vehicle for University business or activities shall be in compliance with this Vehicle Policy and any departmental Policy and Procedure.
Driving Record: Authorized drivers who are employees shall grant the University permission to obtain a copy of their driving record from the Department of Motor Vehicles. University departments authorizing students or volunteers as drivers must submit a list of these drivers and their drivers license numbers to the controller's office for a DMV record check. Drivers with out-of-state licenses wil provide a copy of their driving records.
The following guidelines shall be used when designating authorized drivers. Any violation of these guidelines will be cause for review of the driving record, revocation of University driving privileges and/or other disciplinary action up to and including termination of employment.
1. Driver must possess a valid drivers license and comply with California motor vehicle laws. A valid drivers license is one that has not expired, without driving restriction, suspensions or revocation of driving privileges.
2. The California laws governing activation and suspension of driving privileges will be enforced. A driver with a suspended license will not be allowed to drive a University vehicle on a public road or on University property.
3. Periodically, the University Risk Manager will audit the driving record of employees, student employees and volunteers-of-record who drive in the course of their employment by requesting the records from the Department of Motor Vehicles. Authorized drivers are responsible for informing their supervisor of any changes in driving records that may affect their driving privileges.
4. Moving violations are accorded points from the DMV with more serious convictions, such as driving under the influence (DUI) of alcohol and drugs, assigned more than one point. Periodic review of driving records by the University that reveal potentially unsafe driving habits will be further reviewed on a case by case basis by the supervisor, Human Resources and the University Risk Manager. Any disciplinary action may include suspension of University driving privileges, mandatory driver training or termination of employment.
5. Generally, drivers must not have any conviction for DUI within the last three years. Two DUI convictions within this time period are grounds for the denial of driving privileges.
6. Class 3 or Commercial License will be required in accordance with DMV regulations relating to vehicle size, cargo or number of passengers.
Accident Reporting: In the event of an accident, following these guidelines will expedite proper notification to all parties, including insurance, may lessen potential legal liability and assure compliance with law.
1. Appropriate first aid should be rendered to all injured persons and "911" phoned to summon police and/or ambulance if necessary.
2. When making statements, NEVER admit fault. Answer all questions from peace officers truthfully and directly, otherwise refrain from casual comments of any kind.
3. If no peace officer is present (as many law enforcement agencies do not investigate non-injury accidents) exchange driver, vehicle and insurance information. Complete the Accident Report Form found in the glove compartment of the vehicle. If the form is not there, record the date, time and location of the accident, the description of the driver and passengers.
4. Advise the other party to contact the University Finance Office if further information is needed.
5. For insurance purposes, all accidents should be reported within 24 hours to Public Safety and the University Finance Office. A Public Safety incident report will be completed with all pertinent information regarding the accident.
6. The University Risk Manager will review each accident on a case by case basis to determine the best course of action to take to control the risk.
7. Failure to identify yourself or leave identifying information (if involved in unattended vehicle) violates this policy and California state law.
Out-of-State Travel: The use of University vehicles is generally limited to travel within the state unless approved by the Vice President under whose jurisdiction the vehicle is assigned.
Hazardous Substances shall not be transported by University employees. These substances will be transported by qualified carriers in accordance with Department of Transportation regulations.
It is the responsibility of all vehicle operators to drive in a safe manner and conform to all applicable laws and regulations. In addition, vehicle operators are responsible for the conduct and actions of all passengers riding in the vehicle.

UNIVERSITY OWNED VEHICLES

Authorized Use: University vehicles shall be used only in the conduct of University business and activities when such use is the most economic and efficient transportation option available.
Authorized Drivers: Only University employees and volunteers of record shall be authorized to drive University vehicles. A list of vehicles and assigned drivers is kept in the Controller's office. Notice of changes of assigned drivers should be forwarded to the Controller's office immediately.
Purchase and trade in vehicles will be handled through the Purchasing Department. Titles and licenses will be maintained in the Controller's office.
Passengers shall be limited to employees engaged in University business, registered students engaged in University sponsored activities, or employees of other agencies who are traveling to meetings in association with University employees.
Drivers who are permanently assigned a vehicle are allowed limited personal use. Such drivers are responsible for maintaining records of mileage for personal use as required by the IRS. At the end of each calendar year, this record will be submitted to the Payroll Office which will calculate an amount based on IRS formulas to be added to the statement of earnings of the employee. Personal use of these vehicles is limited to the assigned driver and spouse for insurance purposes.
Maintenance: The driver or department to whom the vehicle is assigned shall be responsible for the maintenance and upkeep of the department's vehicles. Such maintenance shall be performed in accordance with the vehicle's maintenance schedule which is stored in the vehicle's glove compartment. Additional or more frequent maintenance checks are authorized as deemed necessary by the authorizing supervisor. Maintenance to University vehicles shall adhere to specifications outlined in the Owner's Manual and limited to gasoline, oil and tire maintenance. Other types of repairs or maintenance shall be performed only by qualified mechanics or repair shops.
Authorized drivers shall inspect and report any vehicle deficiency or unsafe condition to the department supervisor before driving the vehicle. The department supervisor shall inspect the vehicle to determine whether it shall be driven under existing conditions. Cracked windshield, inoperable brake lights, faulty seat belts, and worn tire treads are examples of reasons for placing the vehicle out of service.
Animals: Animals may not be transported in University vehicles without the permission of the department supervisor having responsibility for the vehicle. Animals will be transported in accordance with federal and state law. No personal pets will be transported in University vehicles.
Insurance: The University carries blanket liability insurance to protect the University and the authorized driver for any accident involving either bodily damage or damage to property of others.
The University does not carry collision insurance on University vehicles. The University's budget funds the cost of repairs or replacement. The department assigned the vehicle is subject to a deductive expense for collision damage.
Parking Off-Campus Overnight: University vehicles may be parked overnight at an authorized driver's home when driver is departing on, or returning from, an official trip away from the employee or volunteer-of-record's workplace under circumstances which make it impractical to use other means of transportation. When such situations occur, the vehicle shall be parked off the street, in the employee or volunteer-or-record's driveway, garage, or other space that removes it from the public street, thus reducing the hazards of accidental damage, theft and vandalism.
Unauthorized use: University owned vehicles are to be used only for University business, sponsored events and other authorized purposes. Any driver who is not in compliance with this policy may be held personally responsible for any damage incurred during such use.

NON-UNIVERSITY-OWNED VEHICLES

Private Vehicles
1. Authorized Use: Private vehicles may be used in the conduct of University business and activities only when such use is the most economic and efficient transportation option available and when such use is under specific direction of University supervisors.
2. Authorized Drivers: Only employees and volunteers-of-record shall be authorized to drive vehicles that are being driven on University business or activities.
3. Insurance: Private vehicles used on University business must be covered with the owner's insurance as required by law. The vehicle insurance policy need not be classified for commercial use, but if the extent of the University business goes beyong incidental use, it shall be the responsibility of the employee or volunteer-of-record to resolve the matter personally with his or her insurance company.
  The insurance covering the private vehicle used on University business pays first and if that insurance is exhausted, the University insurance pays second to the extent of the policy. Claims paid by private insurance for accidents occurring from the operation of privately owned vehicles on University business are not reimbursable from University funds or University insurance.
4. Mileage Reimbursement: Mileage reimbursement is available to cover the cost of operation of vehicles used for University business. This reimbursement rate is established by the IRS annually and covers operating, operator maintenance and insurance costs.
Rented
1. Authorized use: Vehicles may be rented by employees and volunteers only with the approval of the 4appropriate department manager.
2. Insurance: Rental agencies offer insurance for liability (damage or loss sustained by others) and collision (damage or loss sustained by their vehicles). The University non-owned auto policy covers this exposure. Should the employee or volunteer-of-record suffer such a loss, it will be reimbursed by the University. Therefore, authorized drivers of commercially rented vehicles shall not purchase collision damage coverage from the agency.

RESPONSIBILITY

Employees and supervisors are responsible for compliance with policy requirements. The University Site Risk Manager is responsible for maintaining this policy.

RESOURCE

Contact the University Finance Office with questions regarding this policy.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 705 - Public Safety Inspection

STATEMENT

External inspections are defined as those performed by various government agencies, including but not limited to, the Santa Clara Fire Department, Santa Clara County Toxics Division, Department of Toxic Substance Control, San Jose Water Quality Control Plant, Bay Area Air Quality Management District, California Occupational Safety and Health Authority. The inspections provided by these agencies are to insure compliance with federal, state and local regulations, to respond to emergencies, and to investigate complaints.

Insurance agencies and contracted personnel may inspect University facilities to ensure compliance with regulations, investigate accidents, injuries, incidents, and inspect safety equipment.

Internal inspections are performed by Department Safety Coordinators, Safety Services Manager(SSM), Fire Inspector/Safety Officer (FISO), Public Safety Officers, and Facilities Maintenance Personnel. The purpose of their inspections is to prevent, respond to, and investigate injuries, accidents, chemical releases, and complaints.

PROCEDURES

The Department of Public Safety will notify any faculty and staff one week prior to a planned facility inspection that will affect their building. Any member of a department may request to accompany the inspectors during the inspection. However, exact dates and times are difficult to keep due to emergencies, and such arrangements must be flexible. To prevent the disruption of classes and special events, the internal inspector(s) may be asked to avoid certain areas.

The SSM and FISO reserve the right to inspect an area without notification for emergencies, hazard reports, and complaints. All outside agency inspections may occur without notification.

If any faculty or staff member encounters an unescorted, outside agency inspector, s/he should call Public Safety, to meet and discuss the inspection with the agency. After discussing the nature of the inspection with the appropriate safety personnel, outside agencies reserve the right to interview employees without the presence of safety personnel and supervisors.

When an outside agency inspector takes a sample (air, water, or soil), additional samples will be taken for the University at the same time from the same area. Any employees who may be affected will be notified of the existence of any hazards.

If the SSM or FISO notices a hazard outside of an inspection, while going through an area on other business, they shall record and report the hazard. These hazards will be reported to the appropriate Safety Coordinator or Administrator. In addition, certain circumstances may require, by regulation, that the incident be reported to an outside agency.

Each department that generates waste shall be required upon request by the SSM or FISO to provide a hazardous waste list quarterly. Hazardous waste pick ups shall be completed every 90 days by the SSM or FISO. All waste generators will be contacted three weeks prior to the pick up.

Individual departments shall have their Safety Coordinator, or designee, inspect their designated area bi-monthly. If there is a large area to cover for one department, the bi- monthly inspections may rotate through the various divisions. If the Safety Coordinator is unable to perform this function, then designated alternates shall be responsible.

RESPONSIBILITY

This policy applies to all University facilities and departments and shall be enforced through the Vice President for Administration and Finance.

Individual departments are responsible to coordinate their bi-monthly area inspection with the Safety Coordinator. All supervisors are responsible for reporting any incidence of concern.

RESOURCE

Contact the Safety Services Manager in the Department of Public Safety for questions or concerns regarding this policy and its implementation.

Policy Approved: October 23, 1998

Last Updated: October 28, 1998
Maintainer: Human Resources

Policy 706 - Workplace Violence and Threats of Harm

STATEMENT

Acts or threats of violence include conduct which is sufficiently severe, offensive, or intimidating to alter the employment conditions at Santa Clara University or to create a hostile, abusive, or intimidating work environment for one or several Santa Clara University employees. Examples of workplace violence include, but are not limited to, the following:

All threats or acts of violence occurring on Santa Clara University premises, regardless of the relationship between the University and the parties involved in the incident.
All threats or acts of violence occurring off the University premises involving someone who is acting in the capacity of a representative of Santa Clara University.
All threats or acts of violence occurring off the University premises involving an employee of Santa Clara University if the threats or acts affect the legitimate interests of the University.
Any acts or threats resulting in the conviction of an employee or agent of the University, or of an individual performing services for the University on a contract or temporary basis, under any criminal code provision relating to violence or threats of violence which adversely affect the legitimate interests and goals of Santa Clara University.

PROCEDURE

Some examples of conduct which may be considered threats or acts of violence include, but arenot limited to, the following: hitting or shoving an individual; threatening an individual or his/her family, friends, associates, or property with harm; the intentional destruction or threat of destruction of Santa Clara University property; harassing or threatening phone calls; harassing surveillance or stalking; the suggestion or intimation that violence is appropriate; or possession or inappropriate use of firearms or weapons.

The University’s prohibition against threats and acts of violence applies to all persons involved in the University’s operation, including, but not limited to, Santa Clara University personnel, contract and temporary workers, and anyone else on Santa Clara University property. Violations of this policy by any individual on Santa Clara University property, by any individual acting as a representative of Santa Clara University while off Santa Clara University property, or by any individual acting off of Santa Clara University property when his/her actions affect the University’s business interests will lead to disciplinary action up to and including termination and/or legal action as appropriate.

RESPONSIBILITY

Every employee and every person on Santa Clara University property is encouraged to report incidents of threats or acts of physical violence of which he/she is aware. The report should be made to the Director of Public Safety, the reporting individual’s immediate supervisor, or another supervisory employee if the immediate supervisor is not available. Nothing in this policy alters any other reporting obligation established in University policies or in state, federal, or other applicable law.

All in-progress or impending incidents of workplace violence should be reported immediately to the Santa Clara Police Department by dialing "911" or to the University Department of Public Safety by dialing 408-554-4441.

RESOURCE

More detailed, in some cases department specific, procedures are contained in the SCU Injury and Illness Prevention Policy distributed separately. Questions and/or requests for consultation may be directed to the Director of Public Safety or Human Resources.

Policy Approved: October 23, 1998

Last Updated: October 1, 2008
Maintainer: Human Resources

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