University Policies

1.0 POLICY STATEMENT 

Clark Atlanta University (“University” or CAU) maintains and promotes a reputation for excellence and integrity as promulgated by this policy, which sets forth the general principles which all employees shall adopt; including, but not limited to, part-time and full-time employees, faculty member, administrators, 
officers, trustees, and advisory council committee members. The principles discussed throughout this policy are in accordance with federal, state, and local laws and regulations, University policies and procedures, contractual and grant obligations, and generally accepted principles of ethical conduct. These principles focus on key attributes of Integrity, Excellence, Accountability, and Respect that are aligned with the University’s Mission, Vision, Core Values, and Cultural Creed. Each person at CAU is accountable for his or her actions and for adhering to the ethical principles discussed in this policy while collaborating and partnering with other CAU colleagues. 
 

This Code of Ethical Conduct exists for the benefit of the entire University and its members. This policy is intended to operate in concert with all other University policies and does not contradict or limit other University policies, procedures, and rules. 

2.0 POLICY NARRATIVE 

2.1 STATEMENT OF ETHICAL VALUES AND STANDARDS OF ETHICAL CONDUCT 

Members of the Clark Atlanta University community are committed to the highest ethical standards in furthering our mission of teaching, research, and public service. We recognize that we hold the University in trust for the people of the campus community. Our policies, procedures, and standards guide the application of the ethical values stated below in our daily life and work as members of this community. 

We are committed to the following: 
 

• Integrity - We will conduct ourselves with integrity in our dealings with and on behalf of the University. 
• Excellence - We will conscientiously strive for excellence in our work. 
• Accountability - We will be accountable as individuals and as members of this community for our ethical 
conduct and compliance with applicable laws and University policies and directives. 
• Respect - We will respect the rights and dignity of others. 

2.2 STANDARDS OF ETHICAL CONDUCT 

PURPOSE 

Pursuit of the Clark Atlanta University mission of teaching, research, and public service requires a shared commitment to the core values of the University and the ethical conduct of all University activities. In that spirit, the Standards of Ethical Conduct are a statement of our belief in ethical, legal, and professional behavior in all our dealings inside and outside the University. 

FAIR DEALING 

Members of the University community are expected to conduct themselves ethically, honestly, and with integrity in all dealings. This means principles of fairness, good faith, and respect consistent with laws, regulations, and University policies govern our conduct with others inside and outside the community. Each situation needs to be examined by the Standards of Ethical Conduct. No unlawful practice or practice at odds with these standards can be justified based on customary practice, expediency, or achieving a “higher” purpose. 

RESPECT FOR OTHERS 

The University is committed to treating each community member with respect and dignity. The University prohibits discrimination and harassment and provides equal opportunities for all members of the community regardless of race, color, national origin, religion, sex, gender identity, pregnancy, physical or mental disability, medical condition (cancer-related or genetic characteristics), ancestry, marital status, age, sexual orientation, citizenship, or status as a covered veteran. Further, romantic or sexual relationships between those responsible for supervision or evaluation are prohibited. The University is committed to creating a safe, drug-free environment. Following is a list of the principal policies and reference materials available in support of this standard: 

• The Faculty Code of Conduct 
• Academic Personnel Policy Manual 
• The Faculty Handbook 
• The Staff Handbook 
• Policies Applying to Campus Activities, Organizations, and Students 
• Policy on Sexual Harassment and Procedures for Responding to Reports 
• University policies on nondiscrimination and affirmative action 
• Campus, laboratory, and Research policy and procedures 

COMPLIANCE WITH UNIVERSITY POLICIES, PROCEDURES, AND OTHER FORMS OF GUIDANCE 

University policies and procedures are designed to inform our everyday responsibilities, set minimum standards, and give the University community members notice of expectations. Members of the University community 
are expected to transact all University business in conformance with policies and procedures and accordingly have an obligation to become familiar with those that bear on their areas of responsibility. Each member is expected to seek clarification on a policy or other University directive he or she finds unclear, outdated, or at odds with University objectives. It is not acceptable to ignore or disobey policies if one does not agree with them or to avoid compliance by deliberately seeking loopholes. In some cases, University employees are also governed by ethical codes or standards of their professions or disciplines— some examples are attorneys, auditors, physicians, and counseling staff. It is expected that those employees will comply with applicable 
professional standards in addition to laws and regulations. 

ETHICAL CONDUCT OF RESEARCH 

All members of the University community engaged in research are expected to conduct their research with integrity and intellectual honesty at all times and with appropriate regard for human and animal subjects. To protect the rights of human subjects, all research involving human subjects must be reviewed and approved by Institutional Review Boards (IRB). Similarly, to protect the welfare of animal subjects, all research involving animal subjects is to be reviewed by the institutional animal care and use committees. The University prohibits 
research misconduct. Members of the University community engaged in research are not to: fabricate data or results; change or knowingly omit data or results to misrepresent results in the research record; or intentionally 
misappropriate the ideas, writings, research, or findings of others. All those engaged in research are expected to pursue the advancement of knowledge while meeting the highest standards of honesty, accuracy, and 
objectivity. They are also expected to demonstrate accountability for sponsors’ funds and to comply with specific terms and conditions of contracts and grants. 

INTERNAL CONTROLS

 
Internal controls are the processes employed to help ensure that the University’s business is carried out in accordance with these Standards, University policies and procedures, applicable laws and regulations, and 
sound business practices. They help to promote efficient operations, accurate financial reporting, protection of assets, and responsible fiscal management. All members of the University community are responsible for internal controls. Each business unit or department head ensures that internal controls are established, properly documented, and maintained for activities within their jurisdiction. Any individual entrusted with funds, including principal investigators, is responsible for ensuring that adequate internal controls exist over the use and accountability of such funds. 

FINANCIAL REPORTING

 
All University accounting and financial records, tax reports, expense reports, timesheets, effort reports, and other documents, including those submitted to government agencies, must be accurate, clear, and complete. All published financial reports will make full, fair, accurate, timely, and understandable disclosures as required under generally accepted accounting principles for government entities, bond covenant agreements, and other requirements. Certain individuals with responsibility for the preparation of financial statements and disclosures, or elements thereof, may be required to make attestations in support of the Standards. 

APPLICABILITY

 
The Standards of Ethical Conduct apply to all members of the University community, including The Board of Directors, faculty and other academic personnel, staff, students, volunteers, contractors, agents, and others associated with the University. The Standards apply to campus organizations, foundations, alumni associations, and support groups. 

INDIVIDUAL RESPONSIBILITY AND ACCOUNTABILITY 

Members of the University community are expected to exercise responsibility appropriate to their position and delegated authorities. They are responsible to each other, the University, and the University’s stakeholders both for their actions and their decisions not to act. Each individual is expected to conduct the business of the University in accordance with the Core Values and the Standards of Ethical Conduct, exercising sound judgment and serving the best interests of the institution and the community. 

COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS 

Institutions of higher education are subject to many of the same laws and regulations as other enterprises, as well as those particular to public entities. There are also additional requirements unique to higher education. Members of the University community are expected to become familiar with the laws and regulations on their areas of responsibility. Many but not all legal requirements are embodied in University policies. Failure to comply can have serious adverse consequences both for individuals and for the University, in terms of 
reputation, finances, and the health and safety of the community. University business is to be conducted in conformance with legal requirements, including contractual commitments undertaken by individuals authorized to bind the University to such commitments. The Office of the General Counsel has responsibility for the interpretation of legal requirements. 

CONFLICT OF INTEREST OR COMMITMENT 

Employee members of the University community are expected to devote primary professional allegiance to the University and the mission of teaching, research, and public service. Outside employment must not interfere 
with University duties. Outside professional activities, personal financial interests, or acceptance of benefits from third parties can create actual or perceived conflicts between the University’s mission and an individual’s 
private interests. University community members who have certain professional or financial interests are expected to disclose them in compliance with applicable conflict of interest/conflict of commitment policies. In all matters, community members are expected to take appropriate steps, including consultation if issues are unclear, to avoid conflicts of interest and the appearance of such conflicts. 

RECORDS: CONFIDENTIALITY/PRIVACY AND ACCESS

 
The University is the custodian of many types of information, including that which is confidential, proprietary, and private. Individuals who have access to such information are expected to be familiar with and comply with applicable laws, University policies, directives, and agreements pertaining to access, use, protection, and disclosure of such information. Computer security and privacy are also subject to the law and University policy. Information on the University’s principles of privacy or on specific privacy laws may be obtained from the respective campus or laboratory information privacy office. The public right to information access and the individual’s right to privacy are both governed by state and federal law, as well as by University policies and procedures. The legal provisions and the policies are based upon the principle that access to information concerning the conduct of the people’s business is a fundamental and necessary right of every person, as is the right of individuals to privacy. 

USE OF UNIVERSITY RESOURCES 

University resources may only be used for activities on behalf of the University. They may not be used for private gain or personal purposes except in limited circumstances permitted by existing policy where incidental 
personal use does not conflict with and is reasonable in relation to University resources (e.g., audio or other multi-media-based systems). Members of the University community are expected to treat University property with care and to adhere to laws, policies, and procedures for the acquisition, use, maintenance, record keeping, and disposal of University property. For purposes of applying this policy, University resources are defined to include but not be limited to the following, whether owned by or under the management of the University (for example, property of the federal government at the National Laboratories): 

• Cash and other assets, whether tangible or intangible; real or personal property.
• Receivables, and other rights or claims against third parties 
• Intellectual property rights.
• Efforts of University personnel and any non-University entity billing the 
• University for effort
• Facilities and the rights to use University facilities
• The University’s name 
• University records, including student and patient records; and 
• The University’s information technology infrastructure. 

3.0 REPORTING VIOLATIONS AND PROTECTIONS FROM RETALIATION 

Members of the University community are strongly encouraged to report all known or suspected improper governmental activities (IGAs) under the Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities (Whistleblower Policy). Managers and persons in supervisory roles are required to report allegations presented to them and to report suspected IGAs that come to their attention in the ordinary course of performing their supervisory duties. Reporting parties, including managers and supervisors, will be protected from retaliation for making such a report under the Policy for Protection of Whistleblowers from Retaliation and Guidelines for Reviewing Retaliation Complaints (Whistleblower Retaliation Policy). 

3.0 REPORTING PROCEDURES 

Each member of the University is expected to uphold the standards of Clark Atlanta University and to report suspected violations of the Code or any other apparent irregularity to either his or her supervisor, Human Resources, Athletic Compliance Officer, Research Compliance of the Office of Research and 
Sponsored Programs, the Office of the General Counsel, the University Chief Compliance Officer, or the University NO CALLER ID COMPLIANCE HOTLINE (404) 589- 8006. Also, if a member prefers, he or she may report anonymously by mail to the Clark Atlanta University Compliance Office or online at compliance@cau.edu. The University will, if requested, make every reasonable effort to keep confidential the identity of anyone reporting a suspected violation to the extent permitted by law, except if doing so would effectively prevent the University from conducting a full and fair investigation of the allegations. The Compliance Office will make every effort to notify the reporter if his or her identity is disclosed. This Code of Ethical Conduct will be enforced. Reports of suspected violations will be investigated by authorized University personnel. Officers, managers, and supervisors have a special duty to adhere to the principles of the Code, to encourage their subordinates to do so, and to recognize and report suspected violations. Each member of the University is expected to cooperate fully with any investigation undertaken. If it is determined that a violation has occurred, the University reserves the right to take corrective and disciplinary action against any person who was involved in the violation or who allowed it to occur or persist due to a failure to exercise reasonable diligence. Additionally, the University may disclose appropriately to governmental agencies (including law enforcement authorities).

 
3.1 COMPLIANCE OFFICE 

CAU expects its employees to maintain the highest ethical standards and to protect the resources and reputation of the University. To help achieve this, the University’s Audit Committee of the Board of Trustees established the Compliance Office. The Vice President and Chief Compliance Officer is responsible for providing oversight for all functions of the Compliance Office. The primary function of the Compliance Office is to promote a culture of compliance and accountability. This office is responsible for making compliance a part of daily operations of the University, including but not limited to developing and updating University policy; developing and delivering training programs related to compliance; monitoring the effectiveness of compliance activities, policies, and training; and investigating reported compliance violations. 

3.1.1 University Compliance Committee 

The CAU Compliance Committee provides direction and guidance to the Compliance Office and assists the President in his oversight of the compliance function. The committee’s role is an essential component of the compliance program focusing on CAU compliance with applicable legal, ethical, and regulatory requirements. The compliance committee is responsible for identifying and recommending appropriate disciplinary actions in response to specific types of compliance violations. 

3.1.2 Compliance Training 

All individuals employed by CAU shall participate in the Code of Ethical Conduct and related compliance training and will certify compliance with the Code periodically. All new employees receive compliance training as part of their new employee orientation. All employees who work with government-sponsored grants, contracts, or agreements attend annual compliance training developed to guide management in these programs. 

4.0 Entities Affected by This Policy 

This policy applies to all employees, faculty and staff, all divisions, departments, units, and constituents of Clark Atlanta University.

5.0 APPENDIX 

EMPLOYEE CERTIFICATION (Employees must use their assigned CAU email account to submit to the certification page to Office of Compliance at compliance@cau.edu).

Employee Certification 

I have read and understand Clark Atlanta University's policies as stated in this Code of Conduct. I am complying and will continue to comply with the policies stated in the Code of Conduct. 
 

Print Name Employee ID Number
 

Division and Department/Unit/Program within the University
 

Signature Date (MM/DD/YYYY)

1.0. Policy Statement
All individual members of the Clark Atlanta University (CAD/University) community (including trustees, University officials, and all full-time, part-time, temporary, or adjunct faculty, staff and student employees of the University), and Volunteers must exercise the utmost integrity in fulfilling the education, research, and public service missions to which the University is dedicated. Per the University's bylaws, the University's core purpose includes offering academic instruction, granting degrees in such courses of study and in such curricula, and the sponsoring and undertaking of research and studies as the Board of Trustees shall determine are in the best interests of the University.
 

All CAU Employees and Volunteers must avoid any business or financial relationship, transaction, or event with an outside party or entity that may be viewed, internally or externally, as a conflict of interest or commitment that interferes with, or improperly influences the performance of, the Employee's duties and responsibilities to the University, unless such conflicts are disclosed, reviewed, and appropriately managed in accordance with this policy. All Employees and Volunteers are required to disclose such conflicts upon hire, annually and periodically when requested by the University, and have a continuing obligation to do so when information and circumstances described in previous disclosures have changed. Employees and Volunteers involved in sponsored research activities may be subject to additional or even alternative disclosure requirements under federal, state, and University policies governing conflicts of interests and/or commitments in research. 

This policy establishes rules regarding the disclosure, review and monitoring of Conflicts of Interest (defined in Section 3.0 below) and Conflicts of Commitment (defined in Section 4.0 below), and is intended to supplement, but not replace, state and Federal laws governing conflicts of interest for
nonprofit organizations. Failure to comply with the guidelines set forth in this policy shall result in disciplinary action up to and including termination (if an Employee) or removal from service to the University as a Volunteer.

2.0. Procedure Narrative

CAU will exercise oversight and care in identifying and eliminating or managing all Conflicts of lnterest and Conflicts of Commitments (including Financial Conflicts of Interest in research). CAU will not accept or enter into agreements, contracts, gifts or purchases that create a Financial Conflict of Interest
unless the conflict can be eliminated or appropriately managed through appropriate administrative oversight.
 

CAU will comply with all repotting responsibilities imposed by State and Federal laws or regulations with respect to Financial Interests that have been disclosed while protecting the personal privacy of Employees, except where disclosure is required by applicable law or this policy. If a Federal agency
sponsor requires that it be notified of the existence of and/or the University's efforts to monitor and manage (if possible) an identified or disclosed Financial Conflict of Interest, then the University will comply with this reporting requirement, but it will maintain the specific fiscal details of the subject Financial Conflict of lnterest as confidential to the extent allowed by applicable laws or regulations.

3.0 Duty to Disclose

Employees and Volunteers must disclose in advance all Significant Financial Interests, outside activities and Financial Interests that create or have the appearance of creating Conflicts of lnterest or Conflicts of Commitment to the appropriate University compliance officials using the established disclosure
processes, which may change from time to time. Such disclosures shall be sufficiently detailed and timely as to allow accurate and objective evaluation prior to making commitments or initiating activities that create Conflicts of Interest or Conflicts of Commitment. The information must be accurate and not false, erroneous, misleading, or incomplete. Each Employee has an obligation to cooperate fully in the review of the pertinent facts and circumstances identified in the Employee's or Volunteer's disclosures. Individual schools and departments may implement more specific procedures and require additional
information in fu1therance of this policy.
 

Certain University activities, including activities involving sponsored research or the development and licensing of intellectual property under the auspices of the University, will involve more specific procedures with respect to Conflicts of Interest and Conflicts of Commitment either because of governmental requirements or corporate fiduciary duty.
 

Disclosures required by any governmental, accreditation, or other self-regulatory agency, such as the Public Health Service (PHS), the Food and Drug Administration (FDA), the National Science Foundation (NSF) or the Joint Commission on Accreditation of Healthcare Organizations regulations, should be made to the appropriate University official who oversees the University's research and sponsored program activities on the required forms before grant application submission. Additionally, disclosure should be made to publications and journal editors when research manuscripts are submitted and to the
audience during any oral presentation of research if the presenter has a Conflict of lnterest or Conflict of Commitment.

4.0 Conflict of Interest Guidelines

Conflicts of Interest (COI) can arise under many situations and refers to a situation in which financial or other personal considerations, circumstances, or relationships may compromise, may involve the potential for compromising, or may have the appearance of compromising an Employee's objectivity in
fulfilling an Employee's Employment Responsibilities or a Volunteer's objectivity in completing permitted volunteer tasks. An Employee may have a Conflict of Interest when the Employee or Employee's Family Member(s) has/have a Financial Interest in an activity that may affect or have the appearance of affecting the Employee's ability to be objective in his or her decision making with respect to the Employee's Employment Responsibilities. Similarly, a Volunteer may have a Conflict of lnterest when the Volunteer or Volunteer's Family Member(s) has/have a Financial Interest in an activity that may affect or have the appearance of affecting the Volunteer's ability to be objective in his or her decision making with respect to permitted volunteer tasks.
 

These guidelines set fo1th principles for members of the University community to follow with respect to Conflicts of Interest. Disclosure and approval are required before engaging in activities that are inconsistent with these guidelines.

4.1. University Administration

Employees with staff/administrative Employment Responsibilities and Volunteers must avoid relationships in which private and personal interests, including Financial Interests, interfere with or compromise the Employees' Employment Responsibilities or the Volunteer's permitted tasks,
respectively. In particular, Employees who have Employment Responsibilities and Volunteers who have tasks involving the procurement, exchange, receipt of gifts, or sale of goods, services, or other assets; the negotiation, formation or signing of contracts or other commitments affecting the assets or interests of the University; the handling of confidential, privileged or proprietary University information; the provision of student patient care; the conduct of sponsored research and the handling of any research results or resulting transfer of technology; or the rendition of professional advice to the University must be particularly conscious of potential Conflicts of lnterest or the appearance of Conflicts of lnterest.

4.2. Business Relationships

When Employees, Volunteers or their Family Members have Financial Interests in a business or are involved in a business as an owner, operator, or as an executive officer, they must be aware of the possibility that a Conflict of Interest may arise if the business has or is attempting to have a business
relationship with CAU. This does not apply to the adoption of textbooks, software or other teaching aids written by faculty members or their Family Members for use in their own course of instruction.

4.3 . Personal Gifts

CAU prohibits all Employees and Volunteers from soliciting or accepting any personal gifts or gratuities with a value in excess of $100 from outside organizations, corporations, companies, partnerships or other entities that provide or are seeking to provide goods or services to CAU, unless such gifts or gratuities are disclosed to their supervisors and the University department responsible to identifying and monitoring Conflicts of Interest and are approved by the University prior to acceptance. Similarly, Employees and Volunteers may not accept gifts from outside organizations, corporations, companies, partnerships or other entities that provide or are seeking to provide goods or services to CAU such as tickets or invitations to dining events (i.e., galas, lunches, dinners, etc.), sporting events, golf outings, musical or theater presentations, etc., valued in excess of $250 per attendee, unless such tickets or invitations are disclosed to their supervisors and the University department responsible to identifying and monitoring Conflicts of Interest and are approved by the University prior to acceptance.
 

An Employee's or Volunteer's receipt of prizes or promotional gifts of nominal value such as pens, calendars and scratch pads; modest gifts of gratitude, condolences or in celebration of a retirement or a holiday; and non-extravagant dining events with vendors (i.e., events valued at less than $250 per ticket); or gifts of perishable items given during the holidays such as hams, cookies, nuts, etc., is acceptable and does not need to be reported. Employees of and Volunteers in the University 's purchasing office must
adhere to the University's Purchasing Policy and Procedures on ethical conduct related to the receipt of gifts. Remedies to accepting a prohibited gift may include, without limitation, returning the gift to the donor, turning the gift over to the University, or delivering the gift to a charitable organization.
 

The solicitation or acceptance of personal gifts in cash or cash equivalents ( other than gift cards that meet the $250 amount threshold stated in this section), such as stocks or other forms of marketable securities, is never permissible.

4.4. Personal Loans

Employees or Volunteers in supervisory roles at the University shall not borrow money from, loan money to, or sign jointly a note of any Employee or Volunteer who is within his/her administrative or supervisory jurisdiction, nor shall Employees or Volunteers in supervisory roles sell any goods or services to any Employee or Volunteer who is within his/her administrative or supervisory jurisdiction. Additional prohibitions established under state and Federal laws and regulations relating to sponsored research-related
activities may apply under this policy subsection, and all Employees and Volunteers shall be subject to those laws and regulations.

4.5. Use and Appropriation of CAU Assets

Where specific procedures regarding the disposition and control of CAU assets (i.e., any tangible or intangible item that adds value to the University and increases the University's equity) do not exist, Employees and Volunteers are expected to safeguard CAU's interests in its tangible and intangible assets.
Conduct constituting the misappropriation or unauthorized use of CAU assets in connection with any external activity is prohibited.

4.6. Activities Related to Students

Employees and Volunteers may not assign students, postdoctoral fellows or other trainees to CAU projects sponsored by any business if the Employee, Volunteer or a Family Member has a Significant Financial Interest in the business. An Employee or Volunteer also may not assign students or permit
students to participate in any consulting relationship in which the Employee, Volunteer or a Family Member has a Significant Financial Interest. Deans and department chairs have the responsibility for protecting the interests of students, fellows and trainees who may be directly or indirectly involved in a
Conflict of lnterest situation.

4.7. Activities Related to Family Members

Employees and Volunteers (if applicable) shall not participate in the hiring process or any employment related decisions pertaining to their Family Members. Likewise, no Employee or Volunteer may be in a position to supervise their Family Member as an employee of CAU or otherwise review or participate in reviewing or evaluating the Family Member's work as a CAU employee. Employees and Volunteers are prohibited from using a Family Member or volunteer who has not undergone appropriate University screening processes to perform any services for the University regardless of whether the Family Member or unscreened volunteer receives compensation for the rendering of the services.

5.0 Conflict of Commitment Guidelines

Conflict of Commitment (COC) refers to a type of Conflict of Interest that relates to an individual's distribution of time and effort between University employment (including faculty appointments) or volunteering and the individual's commitment to business activities or employment, professional activities, or personal activities outside of University employment. The latter may include such generally encouraged extensions of professional expe1iise such as professional consulting (i.e., External Professional Activities for Pay) or secondary employment activities. However, it is possible to have a
Conflict of Commitment even if the Employee, like a Volunteer, does not receive compensation for the external activity. External activities may include employment outside CAU, involvement with professional societies, participation related to review panels, education meetings, community service,
conferences, consulting, other professional activities, and business activities related to outside entities, including start-up companies. A Conflict of Commitment can arise when the pursuit of such outside activities involves an inordinate investment of time or is conducted at a time that interferes with an
Employee's fulfillment of his/her Employment Responsibilities. Therefore, external opportunities that interfere with the responsibilities of the faculty/staff member to the department or major academic unit are impermissible and may be deemed a conflict of commitment.
 

Each member of the faculty /staff shall advise the department chair, dean or supervisor of any activities in which he/she engages which will or may result in rendering less than full-time service to CAU. The chair NP of each major academic/business unit, after consultation with the appropriate dean and
Provost/Vice President for Academic Affairs, and VP of Business unit shall approve such outside employment and commitments by the faculty/staff member and report this approval to the dean, the office of human resources, and Provost.

6.0 Research Activities-Specific Guidelines

Conflicts and Commitment and Financial Conflicts of lnterest in sponsored research involves situations in which financial, professional, or other personal considerations may compromise, or have the appearance of compromising an individual's judgment in the conduct or reporting of sponsored research.

Except in limited cases explicitly identified in this policy, individual members of the CAU community may not review, approve or administratively control contracts, grants or other business relationships when such contract, grant or other business relationship pertains to sponsored research involving CAU and the business in which the individual or a family member has a Significant Financial Interest or when the individual or a family member is an employee of the business and directly involved with activities pertaining to the sponsored research. For activities conducted under the Small Business Technology
Transfer (STIR) program, the Investigator may be employed with the small business concern (SBC) or the single, "partnering" non-profit research institution as long as the Investigator has a formal appointment with or commitment to the applicant SBC, which is characterized by an official relationship between the SBC and that individual. Such a relationship does not necessarily involve a salary or other form of remuneration. The primary employment of the Investigator must be with the SBC or CAU (where they are an Investigator) at the time of award and during the conduct of the proposed project.
 

Research activities involving U.S. Public Health Services projects, specifically related to Health and Human Services (HHS), National Institutes of Health (NIH), and National Science Foundation (NSF) projects, must adhere to disclosure requirements established under Federal regulations to ensure the
integrity of University activities, including review and conduct of research involving human subjects, and the associated fiscal, contractual and procurement transactions.

7.0 Faculty-Specific Guidelines

Employment outside CAU or other activities conducted by a faculty member that could create a Conflict of Interest or Conflict of Commitment, or the appearance of a Conflict of Interest or Conflict of Commitment, should be disclosed as outlined in this policy and the faculty handbook, and should be of
such nature as to improve effectiveness as a teacher or contribute to scholarly attainments or should in some manner serve the interests of the University or of the community. Such activities may consist of professional affiliations and activities traditionally undertaken by an Employee outside of the immediate
University employment context that benefit the Employee's profession or professional reputation, the University's reputation or higher education in general. Such affiliations and activities, which may or may not entail the receipt of honoraria or the reimbursement of expenses, include membership in and service
to professional associations and learned societies; membership on professional review or advisory panels; presentation of lectures, papers, conce11s or exhibits; pm1icipation in seminars and conferences; reviewing or editing scholarly publications and books; and service to accreditation bodies. Such integral
manifestations of one's membership in a profession are encouraged, as extensions of University employment, so long as they do not conflict or interfere with the timely and effective performance of the Employee's primary duties.
 

Such external employment or activities must not distract significantly from the faculty member's Employment Responsibilities and must not require such extensive absence as to cause the faculty member to neglect course obligations or become unavailable to students and colleagues. External employment
and activities must be of such nature and conducted in such manner as will not bring discredit to the University and must not compromise any Intellectual Property Rights owned by the University.

8.0 Staff-Specific Guidelines

Employment outside CAU or other activities conducted by University full-time staff Employees that could create a Conflict of lnterest or Conflict of Commitment, or the appearance of a Conflict of lnterest or Conflict of Commitment, should be disclosed as outlined in this policy and the staff handbook, and discussed with the staff member's supervisor to ensure it will not create a such a conflict. Hourly paid staff, or part-time exempt staff, should also disclose and discuss with their supervisors' external obligations that may create a potential or actual Conflict of lnterest or Conflict of Commitment.

Accordingly, external employment and other activities must be arranged so as not to interfere with a staff member's Employment Responsibilities. External employment and other activities must be of such a nature and conducted in such a manner as will not bring discredit to the University and must not
compromise any Intellectual Property Rights owned by the University.

Some University departments such as Public Safety may require employees to obtain preapproval by the Director or Unit Head before beginning outside employment. In no case is a full-time or part-time staff/administrative employee permitted to perform duties for another employer (including self-employment)
during his/her normal working hours at CAU.

9.0 Oversight, Enforcement and Reporting

The appropriate University officials will review all disclosures made pursuant to this policy to determine whether a Conflict of Interest or Conflict of Commitment exists and what conditions or restrictions, if any, should be imposed in order to manage, reduce or eliminate the Conflict of lnterest or Conflict of Commitment.

The appropriate compliance official(s) or committee is responsible for overseeing the implementation of this policy. They will review all violations of this policy, including: (a) failure to comply with the disclosure process (by refusal to respond, by deliberately responding with incomplete, inaccurate, or misleading information, or otherwise); (b) failure to remedy conflicts of interest or commitment; and ( c) failure to comply with a prescribed management or monitoring plan.
 

Penalties for deliberate violations of this policy will be addressed in accordance with applicable employee disciplinary policies and procedures. Possible penalties include reimbursement to the University for misused resources; formal admonition; inclusion in an Employee's file of a letter from their Dean or
supervisor indicating that the individual's good standing has been called into question; ineligibility to participate in grant applications or work with graduate students; performance improvement counseling, up to and including dismissal from employment consistent with the applicable University policies or
handbook.

Any Employee may repott a situation involving a Conflict of Interest or Conflict of Commitment or a violation of this policy to:

(1) an appropriate University official, who shall forward the report to the University's compliance team;
(2) an appropriate University compliance official;
(3) the anonymous Compliance Hotline at 404-589-8006;
(4) the designated compliance email address at compliance@cau.edu; or
(5) The Office of General Counsel at (404) 880-8051.
 

General questions about the policy or disclosure requirements and process should be directed to the Office of the General Counsel at (404) 880-8051. The University will make every effort to protect anyone who reports a violation from retaliation.

10.0 Retention of Conflict of Interest and Commitment Records

With few exceptions, all Conflict of lnterest and Conflict of Commitment disclosures shall be maintained in an Employee's file indefinitely. All Conflict of lnterest and Conflict of Commitment records for grants and cooperative agreements for at least three (3) years from the date of submission of the final
expenditures report or, where applicable, from other dates specified in 45 C.F.R. 74.53 (b) for different situations. For research contracts, CAU is required to keep such records for three (3) years after final payment or where applicable, for the other time periods specified in 48 CPR part 4, subpart 4.7.

11.0 Other Key Definitions

Compliance Committee: The University's Compliance Committee membership consists of appointments made by the University President and as may change from time to time. Representatives may include, but not be limited to, individuals from the following University offices, departments or functions: Office of the Provost; Office of Finance; Office of General Counsel; a representative from the University's audit function; a faculty member representative; Chief of Staff; Office of Research and Sponsored Programs; and one or more school Dean.

Employee: refers to any person - full-time and part-time faculty, staff, student and administrative personnel - who is employed (i.e., receives wages or salary) by the University.

Employment Responsibilities: Refers to the essential duties, responsibilities and functions of the Employee's position and, depending on the position, may consist of the Employee's Institutional Responsibilities, assigned teaching, scholarship, research, institutional service requirements, and other
assigned employment duties.

External Professional Activities for Pay: Activities that are (i) not included within an Employee's Employment Responsibilities; (ii) performed for any entity, public or private, other than the University; (iii) undertaken for compensation; and (iv) based upon the professional knowledge, experience, and
abilities of the Employee.

Family or Family Member: Defined to include the spouse, domestic patiner, children (including stepchildren), parents, siblings, grandparents, grandchildren, father-in-law and mother-in-law or any other in-law of an Employee or Volunteer.

Financial Interest: Anything of monetary value or profit, regardless of whether the value is readily ascertainable. Examples of Financial Interests include:

• Salary or other payments for services from entities other than the University (including fees, paid authorship, honoraria, "gifts," or other "in kind" compensation whether for consulting, membership on a board of directors or advisory board, or any other purpose such as partial, interim, or milestone payments);
• Equity or other ownership interest in a publicly or non-publicly traded entities (e.g., stock, stock options, or other ownership interest); or
• Intellectual Propetiy Rights and interests upon receipt of income related to such rights and interest, held by the Employee, Volunteer or Family Members. Income from investment vehicles, such as mutual funds or retirement accounts, in which the Employee. Volunteer or Family Member do not directly control the investment decisions, and intellectual property
rights assigned to the Institution and agreements to share in royalties related to such rights are excluded from the definition of Financial Interest.

Financial Conflict(s) of Interest: Refers to situations where an Employee's or Volunteer's Financial Interest (including an Investigator's Significant Financial Interest, where applicable) directly or indirectly compromises, or could appear to compromise, his or her judgment or ability to carry out the Institutional
Responsibilities associated with the Employees' appointment or employment at the University or the Volunteer's permitted tasks. A Financial Conflict of lnterest may take many forms, but generally arises when an Employee or Volunteer in a relationship with an outside person or organization is in a position to influence the University's business, research or decisions in ways that could lead directly or indirectly to financial gain for the Employee, Volunteer or their Family Members or could give an improper pecuniary advantage to others to the detriment of the University. 

When applied to an Investigator, Financial Conflicts of Interest occur in situations in which such Investigator's Financial Interest (including Significant Financial Interest) compromises, or could appear to compromise, his or her professional judgment regarding the design, conduct or reporting of research or if such Financial Interest could directly and significantly affect the design, conduct or reporting of research. The bias such conflicts may conceivably impart not only affects collection, analysis and interpretation of data, but also the hiring of staff, procurement of materials, sharing of results, choice of
protocol, involvement of human participants and the use of statistical methods.
 

Financial Conflicts of Interest also include the use of University facilities, personnel, equipment, information technology resources, confidential, privileged or proprietary  information or other resources for purposes that could lead directly or indirectly to financial gain for the Employee, Volunteer and/or
Family Members.

Institutional Responsibilities: An Employee, Volunteer or Investigator's professional responsibilities on behalf of CAU, including, but not limited to, activities such as research, research consultation, teaching, professional practice, institutional committee memberships and service on panels such as institutional review boards or data and safety monitoring boards.

Intellectual Property Rights: Any interest in intellectual property, including, but not limited to, patents, copyrights, licenses, royalties from such rights, agreements to share royalties and similar interests.

Investigator: A project director, a principal investigator of a research project and any other person, regardless of title or position, who has responsibility for the design, conduct or repotting of research or project results at or involving CAU, including Employees, sub-grantees, contractors, subcontractors,
collaborators and consultants. In general, any individual specifically named in a proposal and any individual whose resume or curriculum vitae is appended to a proposal is an Investigator for the purposes of this policy.

Significant Financial Interest(s): A direct or indirect Financial Interest held by an Investigator and/or an Investigator's dependent that reasonably appears to be related to the Investigator's Institutional Responsibilities and that consists of one or more of the following:

• Remuneration (including salary, consulting fees, honoraria, paid authorship, and travel reimbursement) received from a publicly traded company during the twelve-month period preceding the date on which an Investigator is making a disclosure, and/or an equity Interest held in such publicly traded company, if the aggregate value of such remuneration, plus the value of the equity Interest as of the date of disclosure, exceeds $5,000;
• Remuneration (including, but not limited to, salary, consulting fees, honoraria and paid authorship) received from a non-publicly traded company during the twelve-month period preceding the date on which an Investigator is making a disclosure, if the remuneration exceeds $5,000;
• Any equity interest in a non-publicly traded company or business, regardless of value; and
• Any Intellectual Prope1iy Rights, regardless of value; and
• Remuneration received from a government agency.
 

Significant Financial Interest(s) do not include: an Employee's salary or royalties received from the University and/or CAU Institutional Advancement and University Relations; income from seminars, lectures or teaching engagements sponsored by a Federal, state or local government agency or an
institution of higher education, or income from service on panels for a Federal, state or local government agency or institution of higher education.
Volunteer(s): refers to any person (other than a member of CAU's board of trustees) who freely offers to perform services or unde1take a task for CAU without compensation. Such individuals may include volunteer coaching or band staff, event ushers, etc.

12.0 Entities Affected by This Policy

This policy applies to all Employees (including Investigators) Volunteers, as well as sub-recipients and
subcontractors. 

1.0 Authority to Establish University Policy

The ultimate authority to formulate Clark Atlanta University "University" policy rests with the Board of Trustees. The Board of Trustees and the President have retained their authority to mandate a new policy and to require change in an existing policy. A list of new and revised policies is given to the Board of
Trustees at each meeting. In addition, they have the authority to change the current policy review and approval process.

The Board of Trustees has delegated this authority to the President of the University (the President), who, in turn, has delegated his authority to formulate policy to the Compliance Committee. The President reviews all proposed University policies after they have been approved by the Compliance Committee but prior to the policy being communicated to the University community. Should the President reject a policy, the policy is sent back to the Compliance Committee for further review and revisions. The revised
policy is sent to the President for his final approval and signature. No policy is approved without the President's signature.

2.0 Policy Statement

Clark Atlanta University ("University") ("CAU") formally approves, issues, and maintains, in a consistent format, official University policies. Individuals engaged in developing and maintaining University policies must follow the requirements outlined in this document.
All University policies are:

• Approved by the Compliance Committee and the President
• Kept current by Policy Owners
• Made accessible and communicated in a timely manner to all members of the University community University policies mitigate institutional risk. They connect the University's mission to individual conduct, clarify institutional expectations, and support compliance with federal, state, and local regulations.

3.0 PROCEDURE NARRATIVE

 3.1 Compliance Purpose

The University establishes policies and procedures that bring the institution into compliance with all relevant federal, state, and local statutes and regulations, as well as sound business practices. University constituencies are consulted in the formation and establishment of mandated policies and procedures, but they do not have the right to reverse any policy or procedure.

3.2 CAU University Policy Definition

Clark Atlanta University has University policies defined by the following criteria:

• They have broad applications throughout the University.
• They help ensure compliance with applicable laws and regulations, promote operational efficiencies, enhance the University's mission, and/or reduce institutional risks.

2.0 University Policy Development Policy

Responsible Office: Compliance Office
• They mandate actions or constraints and contain specific procedures for compliance and articulate desired outcomes.
• They do not conflict with any existing University policy.
• The subject matter always requires approval by the Compliance Committee and the President.

3.3 Policy Development and Maintenance

The following steps must be followed when developing a new or revised university policy.
Step 1 : Clark Atlanta University's policy development process will be initiated by the compliance office.
Step 2: The process to develop, format and structure, review, benchmark, and research a policy for legal and regulatory compliance updates will be directed by the compliance office.
Step 3. Each policy owner will work closely with the compliance office. After assessing the need for a new or revised existing policy, the compliance office will contact the policy owner promptly to begin the policy development process before review and approval by the Compliance Committee.

3.3.1 Drafting University Policies and Related Procedures

The policy owner may designate one or more subject matter experts or an internal ad hoc group to assist in reviewing a new or revised university policy or related procedure. 

Once the compliance office completes the draft, the compliance office forwards the policy to the policy owner to review. After the policy owner has conducted a thorough review, it resubmits the policy draft to the compliance office. The compliance office and legal complete their review, and send the policy draft to the Executive Cabinet, General Counsel, and Compliance Committee for a 14-day comment period prior to the Compliance Committee meeting.

Related Departmental policies and procedures approved by the Compliance Committee include but are not limited to the Institutional Review Board (IRB) Procedures, Title Ill Handbook, Public Safety Handbook, and Principal lnvestigator(PI) Handbook for Research and Sponsored Programs.

3.3.2 Compliance Committee Approval

After the Executive Cabinet, General Counsel, and Compliance Committee review the policy draft, the Compliance Office will review the policy draft with the Compliance Committee at its next meeting, which will include a presentation by the policy owner or designee. Once there is majority approval of the policy by the committee members, the policy is forwarded to the President for final review and signature.

If the Compliance Committee determines that substantial revisions are necessary prior to approval, they may ask the policy owner to complete the revisions and resubmit them within 14 days for the policy draft to be reviewed at the next Compliance Committee meeting.

3.3.3 Presidential Approval

After approval by the Compliance Committee, the President reviews and approves all proposed and revised University policies and associated procedures. The President may or may not have comments and may approve and sign the policy. If there are comments, they are addressed to the compliance office. Once clarification is provided, the President signs the policy.

3.3.4 Website

All University policies and associated procedures are published on the CAU Website unless prohibited by the President. In addition, the compliance office maintains copies of all University policies and procedures.

3.3.5 Communication

In addition to publishing the new or revised University policy on the CAU Website, the compliance office issues a university-wide communication to affected parties announcing the new policy. The announcement includes a brief explanation of the policy.

3.3.6 Revision

Minor changes or updates to a University policy may be made by the Compliance Office. The policy owner may recommend and/or inform the Compliance Office of recent minor changes and updates that would affect the policy.

3.3.7 Maintenance

Copies of all policies and associated procedures are kept in the Compliance Office as well as the office of the policy owner.

3.3.8 Policy Review Cycle

The compliance office must conduct a detailed review of every University policy at least every 5 years. The review date history is noted on the cover page of the policy.

3.3.9 Retirement or Repeal of Policies

In the event a policy should be retired or repealed, the Vice President and Chief Compliance Officer and General Counsel must approve such action upon recommendation of the Compliance Office.
     Retired Policies: The Compliance Office will carefully review and examine policies regularly to ensure their currency, applicability to the university's current mission, and consistency with other University policies before recommending their retirement.
      Repealed Policies: In the event revoking or annulling a previous University policy is necessary, the compliance office may recommend the repeal of that University policy.
      Index Number: The policy index number cannot be used again once it is retired or repealed.

3.3.10 Interim Policy or Interim Policy Updates

An interim policy or policy update is developed on rare occasions when a University policy is needed within a time frame that is too short to allow for the complete policy development process to be followed.
 

Interim policies must, at a minimum, contain the title page, policy statement, and a brief procedure narrative. The policy owner must get approval from the Compliance Committee to develop an interim University policy.

The complete interim University policy or policy update is presented to the Compliance Committee for approval. Interim policies are in place for no more than 12 months, at that time, the interim policy is replaced by a permanent policy approved by the Compliance Committee. The Compliance Committee may renew the interim policy if necessary.

3.3.11 Training

The University offers University-wide Annual Mandatory Compliance Training.

4.0 POLICY FORMAT

To ensure consistency, a standard format for policies has been created. The standard format facilitates the adoption of clear, concise policies and procedures at all levels of the University. Policies do not need to have identical formats, but all must, at a minimum, contain the following:

Cover Page: The cover page contains the CAU seal, the title of the policy, the name of the department issuing the policy, the title of the policy owner, the effective date, and the date the policy was approved by the Compliance Committee. All dates must be visible on the document when published on the CAU website. A sample of the Cover Page can be provided upon request. The Compliance Office assigns each University poly an index number. Arial font no smaller than 11 font size should be used.

Policy Statement: The policy statement appears on the first page of a policy document and summarizes the policy's purpose. If the policy is being developed as a result of a legal or regulatory requirement or to minimize the institutional risk stated here. The policy statement should be no more
than 2 or 3 paragraphs.

Procedure Narrative: This section documents the actual details of the policy, including its core provisions and requirements.

Entities Affected by this Policy: Departments or University entities that must adhere to and/or are affected by the policy are listed in this section.

Definitions: A list of key terms used in the policy and their definitions are included in each policy. Definitions are included at the end of the document.

Other information should be included as appropriate. Examples of acceptable activities and activities that violate the policy may be particularly helpful in facilitating the understanding of the policy. Enforcement processes and penalties should be included if appropriate. Where the policy and associate procedures
are complex, the policy owner should consider including diagrams and charts.

4.1 Numbering Index for University Policies

Revised University Policy Numbering System Index
The following number scheme is a recommendation for the CAU Policies.

Office of the President 1.0
Compliance Office 2.0
Title 111 3.0
Public Safety 4.0
Office of Planning, Assessment, and Research 5.0
Student Affairs 6.0
Finance and Business Services 7.0
Student Affairs/Enrollment Management 8.0
Human Resources 9.0
Financial Aid 10.0
Research and Sponsored Programs 11.0
Institutional Advancement 12.0
Facilities 13.0
Information Technology 14.0
Athletics 15.0
Office of General Counsel 16.0

Every policy issued by the Office of the President will start with a 1, the Compliance Office 2, etc. The second number is the actual number of the policy. For example, this policy is issued by the Compliance Office and is the first policy issued. Therefore, it is number 2.1.

5.0 ENTITIES AFFECTED BY THIS POLICY
This policy applies to all employees, all divisions, departments, and units of Clark Atlanta University.

6.0 DEFINITIONS
University Policy or University Policies: the written university position or set expectation on a particular subject. University policies may include related procedures and guidance documents based on the nature and complexity of the issue.

Compliance Committee. A standing University committee appointed by the President whose role is to advise the CAU community on policy development and implementation; to review and approve New Policy Proposals; to designate the Responsible Office for approved proposals; to support the policy development process.
 

The Committee includes representatives from the following offices: Provost, School Deans, Faculty, General Counsel, Research, Student Affairs, Budget & Planning, and Financial Operations. The President (Provost or Executive Vice President) may designate one or more stakeholders to participate in the Committee's work, including faculty representatives to participate in developing policies that are academic or otherwise directly affect the faculty.
The Committee conducts its work in consultation with other offices, as appropriate.

Policy Document(s): one or more university policies, related procedures, and guidance documents.
 

Related Procedure(s): the specific written actions, processes, and practices required by the University to implement, enforce, administer, and ensure compliance with a particular university policy. Related procedures may exist independent of or be embedded within a university policy, but all independently related procedures must include a direct reference to a University Policy.

Purpose 

The purpose of establishing and maintaining acceptable standards for student conduct in the University setting is to protect the character of the University community by discouraging conduct inconsistent with the mission and values of the institution. The purpose of publishing student conduct regulations is to give students general notice of prohibited behavior and their rights and responsibilities during the student conduct adjudication process. The purpose of campus student conduct proceedings is to provide a forum through which to determine whether a student is responsible for violating University regulations. This Code provides a means for the exercise of student rights and responsibilities within the University student conduct system. The Code seeks to preserve the individual rights of students while ensuring that the interests of the entire University community are also maintained. 

I. Applicability 

A. The Code applies to the on-campus conduct of all students. The Code also applies to off campus conduct of students that, in the University's judgment, involves or affects the University or other members of the University community, such as, but not limited to, conduct in connection with: 

1. Academic work or other University-related educational activities and experiences, such as class projects, field trips, study abroad, student teaching, or internships; 

2. Activities sponsored, conducted, or authorized by the University or its student organizations; 

3. Activities that cause or threaten to harm the health, safety, well-being, or property of the University or members of the University community, including the student him- or herself;

 4. Activities that unreasonably disturb the peace and privacy of the student's neighbors when living off-campus; or 

5. Online activities and interactions with other students via online platforms such as ZOOM® or GoToMeeting® and social media platforms such as Facebook ®, Instagram®, Twitter®, TikTok®, SnapChat® and YouTube® that may adversely impact the online learning environment, when applicable, constitutes cyberbullying, or violates state, federal or local laws. 

B. The Code applies to conduct by a student while a student, even if it occurs outside of an academic term or when the student is not otherwise enrolled at the University and even if the University does not learn of such conduct until after the student graduates, withdraws, takes leave, or is otherwise absent from the University.

C. Students also continue to be subject to federal, state, and local laws while at the University. While those laws are separate and independent from the Code and impose different standards, violations of them may also constitute violations of the Code. In such instances, the University may take action under the Code independently of any other legal proceeding involving the same conduct and may impose consequences for a violation of the Code even if such other proceeding is not yet resolved or is resolved in the student's favor. 

II. Authority for Student Conduct 

A. Ultimate authority over student conduct is vested in the President of the University ("President"), who may take immediate action at her/his discretion for any violation of University policies or procedures whatsoever. Action taken by the President is final and closes the matter. As an ordinary matter, the President has delegated authority over student conduct to the Dean of Student Services and Campus Life ("Chief Student Affairs Officer") who may exercise it consistent with these procedures. 

B. The Chief Student Affairs Officer or the Chief Student Affairs Officer's designee reserves the authority to take immediate, necessary, and appropriate action to protect the health, safety and well-being of an individual and/or the University community. The Chief Student Affairs Officer may take an interim action to evict a student from University housing, restrict a student's access to and movement about the campus, and/or suspend a student from the University whenever the continued presence of the student at the University is deemed to pose a serious threat to her/himself or to others or to the stability and continuance of normal University functions. The interim action shall become effective immediately upon delivery of verbal and/or written notification to the student or his/her designee. A hearing or conference will be granted following the imposing of interim action as soon as practical, upon the student’s request. 

C. The Office of Student Conduct ("Student Conduct"), with direction and guidance from the Director of Student Conduct ("Director"), is responsible for administering the student conduct system and ensures that all student conduct proceedings are carried out in accordance with University policies and procedures. 

D. Student conduct action may be pursued for any violation of University policy, local, state, or federal law, on or off University premises by a student that affects the University's interests and/or is inconsistent with the University's expectations for students.

III. Prohibited Conduct 

The following list identifies prohibited behaviors and activities which may result in student conduct action under this Code. Commission of or attempts to commit these acts, condoning, supporting or encouraging others in the commission of these acts, or failure to prevent one's guests from committing these acts may be treated as violations of this Code.

A. Dangerous Conduct Intentionally or carelessly engaging in conduct that threatens or endangers the health and/or safety of, or causes physical harm to, any person, including the violator, is prohibited. Examples of such conduct include, but are not limited to: 

1. Placing a person in fear of imminent physical danger or bodily harm. 

2. Causing bodily harm to a person, or engaging in harmful physical contact that would likely have caused bodily harm despite the lack of any measurable harm. 

3. Hazing - Any action which endangers the mental or physical health of a student, or which encourages the student to engage in illegal or inappropriate conduct for the purpose of initiation, admission into, affiliation with, or as a condition of continued membership in, a recognized or unrecognized group or organization. 

4. Engaging in reckless behavior that creates a potentially unsafe situation for members of the community. 

B. Harassment Any actions, threats, gestures, images, and/or words directed toward another person via any medium which have the purpose or which tend to incite a breach of the peace, create a hostile environment, or cause emotional distress to that person because of the humiliating, degrading, intimidating, insulting, coercive, ridiculing, and/or alarming nature of the conduct. It frequently, but not always, involves a pattern of conduct. 

C. Use Possession or Storage of Dangerous Items The use, possession or storage of any firearms, explosives, other weapons, fireworks or dangerous chemicals on University property or at University-sponsored, authorized or – conducted events is prohibited. Examples of such items include, but are not limited to: 

1. Firearms and ammunition - Firearms are defined as any gun, rifle, pistol, or handgun designed to fire bullets, BBs, pellets, or shots (including paint balls), regardless of the propellant used. 

2. Explosives and fireworks including, but not limited to, firecrackers, cherry bombs, smoke bombs, and similar devices. 

3. Knives or other weapons, or objects that could be construed as weapons, or items that pose a potential hazard to the safety or health of others. Other weapons are defined as any instrument of combat or any object not designed as an instrument of combat but carried or used for the purpose of inflicting or threatening bodily injury or damaging/destroying University property or the property of others. 

4. Unauthorized hazardous materials or chemicals.

D. Interfering with Fire Safety Misusing, tampering or damaging fire safety equipment, including, but not limited to, fire extinguishers, smoke alarms, sprinkler systems or exit signs is prohibited. Examples of other prohibited conduct under this section include, but are not limited to: 

1. Unauthorized burning of any material in any University building, on University property or on areas adjacent to University property. 

2. Disregarding a fire alarm signal or refusing to evacuate a building or a section of a building when a fire alarm is activated. 

3. Recklessly or intentionally activating an alarm when an emergency situation does not exist. 

E. Alcohol The use, abuse, possession, or distribution of alcohol, except as permitted by law and University policy is prohibited. Also prohibited are the following activities: 

1. Possession of containers that previously contained alcoholic beverages by persons under 21 years of age. 

2. Possession of common source containers of alcohol such as kegs or alcoholic punch (i.e. – jungle juice). 

3. Possession of alcoholic beverages by persons under 21 years of age. 

4. Consumption of alcoholic beverages, including: a. Consumption of alcoholic beverages by persons under 21 years of age; b. Consumption of alcoholic beverages by persons 21 years of age or older in any public area, including public space within a residence hall, unless it is an official University approved event or University venue licensed to serve alcohol. 

5. Intoxication by any person, regardless of age; 

6. Sale, distribution or provision or attempts to sell, distribute or provide alcoholic beverages to anyone under 21 years of age. This also applies to those hosting social gatherings where alcohol is available for consumption to persons under the age of 21. 

F. Drugs The use, possession, and/or distribution of any drugs and/or drug paraphernalia is prohibited. Drugs include any controlled substances as defined by law, including those without a valid prescription, and/or other recreational substances. The University does not permit marijuana or marijuana products for any purpose including, but not limited to products that contain cannabidiol (CBD) or tetrahydrocannabinol (THC); students who qualify under local law to use marijuana or marijuana products for medical purposes may not possess, store, use or share marijuana or marijuana products on University-owned or controlled property or during University-sponsored events. 

Other prohibited conduct under this section include possession of drug paraphernalia, including, but not limited to, any item typically used to inhale/ingest/inject/mask drugs, regardless of whether the item has been used for illegal purposes, and distribution (any form of exchange, gift, transfer or sale) of drugs.

G. Theft/Unauthorized Possession of Property Theft of property, services, or possession of stolen property is prohibited. Unauthorized possession of University property (including residence hall lounge furniture) or the property of others is also prohibited. 

H. Damage to or Misuse of Property The following activities are considered damage to or misuse of property and are, therefore, prohibited under this Code: 

1. Damaging or defacing University property or the property of others. 

2. Unauthorized entry into University property or the property of others. 

3. Unauthorized use or misuse of University property or the property of others. 

I. Disorderly Conduct 

Acting in a manner which annoys, disturbs, interferes with, obstructs, or is offensive to another/others is considered disorderly conduct and is, therefore, prohibited. Examples of such conduct include, but are not limited to: 

1. Shouting or making excessive noise either inside or outside a building to the annoyance or disturbance of others. 

2. Verbally abusing University officials (including students appointed to act as representatives of the University) acting in the performance of their duties. 

3. Behaving in a lewd or indecent manner. 

4. Engaging in, leading or inciting others in a breach of peace that is disruptive to the community. 

J. Non-Academic Dishonesty The following conduct constitutes acts of non-academic dishonesty, and as such, is prohibited under this Code: 

1. Knowingly furnishing false information to the University or a member of the University community, including at University student conduct proceedings. 

2. Forgery, misuse, unauthorized alteration and/or creation of documents, records, university identification cards, keys, or other objects. 

3. Possession or use of false identification cards issued by an entity other than the university. 

4. Fraud, through act or omission, committed against a member of the campus community or others. 

5. Knowingly initiating or causing to be initiated any false report, warning or threat. 

K. Interfering with University Events Interfering with any normal University or University-sponsored events, including, but not limited to, studying, teaching, research, sponsored social programs, and University administration, fire, policy, or emergency services is prohibited. 

L. Smoking Smoking in a building or vehicle that is owned, operated or leased by the University or within 25 feet of an entrance or window of any University building is prohibited. 

M. Violating Other University Policies Any violation of other published University policies and regulations, including, but not limited to, Residence Life policies and procedures, rules published in other University publications, and those available at https://www.cau.edu/complianceoffice/Forms.html and other University websites is subject to sanctions under this Code. 

N. Non-compliance Failure to comply with reasonable directives of University officials, including students appointed to act as representatives of the University, acting in performance of their duties is deemed prohibited conduct. Directives to provide identification and/or participate in a University student conduct process are included in the scope of this provision. 

O. Sanction Violation Violating the terms of any student conduct sanction as imposed in accordance with student conduct procedures, including the failure to complete sanctions by the stated deadline, is prohibited and may subject the student to additional sanctions under this Code. 

P. Gambling Participation in any form of illegal gambling as defined by local, state, or federal law is prohibited. 

Q. Violation of Law Violation of local, state, or federal laws, regulations or ordinances is deemed prohibited conduct under this Code. 

R. Sexual Misconduct¹ Sexual Misconduct is prohibited in all forms. "Sexual Misconduct" is a broad term encompassing a range of behaviors including, but not limited to: sexual assault; sexual harassment; dating violence; domestic violence; stalking; indecent exposure; sexual exhibitionism; use of communication systems to send unwanted sexual material and messages; prostitution or the solicitation or employment of a prostitute; peeping or other voyeurism; allowing others to view consensual sexual activity; the non-consensual video or audio recording of sexual activity; or any conduct prohibited by applicable law.

1. Sexual Assault includes, but is not limited to, sexual intercourse or sexual contact with another person without consent. Sexual assault is a criminal offense under state law and includes the following: 

a. Oral, vaginal, or anal penetration, no matter how slight, with any object or body part without consent. 

b. Non-consensual touching of another person in a sexual manner. This includes, but is not limited to, the touching either directly or through clothing of another person's genitalia, breasts, inner thigh, or buttocks with a clothed or unclothed body part or object. 

2. Sexual Harassment means unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature when either: 

a. Submission to such conduct is made either explicitly or implicitly a term or condition of employment, education, on-campus living environment, or participation in a University activity or program; or 

b. Submission to or rejection of such conduct is used or threatened to be used as the basis for decisions affecting employment, education, on campus living environment, or participation in a University activity or program; or 

c. Such conduct has the purpose or effect of unreasonably interfering with an individual's work or educational performance or creating an intimidating, hostile, or offensive environment for employment, education, on-campus living, or participation in a University activity or program. 

d. Sexual harassment can occur between and among supervisors or managers and subordinates, faculty and staff or students, peers, vendors/subcontractors/visitors and employees or students, or any combination thereof. Often, but not always, the harasser is in a position of authority, trust, or influence that provides the opportunity to take advantage of the unequal positions of the parties. 

3. Dating Violence means violence, threats, or intimidation committed by another person who is or has been in a social relationship of a romantic or intimate nature with the victim, and where the existence of such a relationship shall be determined based on a consideration of the following factors: 

a) the length of the relationship, 

b) the type of relationship, or 

c) the frequency of interaction between the persons involved in the relationship. 

4. Domestic Violence means violence, threats, or intimidation committed by a current or former spouse of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabitated with the victim as a spouse, by a person similarly situated to a spouse of the victim under the domestic or family violence laws of the State of Georgia (including past or present marriage, domestic partnership, romantic, dating, or sexual relationship), by a former spouse or similarly situated person against a victim who is in a subsequent relationship with a former spouse or similarly situated person, or by any other person against a victim who is protected from that person's acts under the domestic or family violence laws of the State of Georgia. 

5. Stalking means purposely engaging in a course of conduct directed at a specific individual that would cause a reasonable individual to fear for his or her safety or the safety of another person, feel seriously alarmed, disturbed or frightened, or suffer emotional distress. A student can face significant disciplinary sanctions, including expulsion, as well as criminal prosecution or other legal action, for committing a sexual offense. 

S. Solicitation Unauthorized solicitation, sale or promotion of any goods or services in University owned or operated property, including residence halls, or at University-sponsored events is prohibited. 

T. Complicity Being present or otherwise involved, in such a way as to condone, support or encourage any acts which would violate this Code in prohibited. Students who observe acts in violation of this Code are expected to remove themselves and are encouraged to report the matter. 

IV. Student Conduct System & Procedures 

These guidelines are intended to provide general notice of rights and responsibilities during the student conduct process. This Code does not, nor is it intended to, afford the specificity or the due process rights of criminal or civil statutes or procedures. 

A. Case Referrals 

1. Any person may refer a student suspected of violating this Code to Student Conduct. The referral will be reviewed to determine the appropriate student conduct or administrative action to be taken in accordance with this Code including, in the event that there is insufficient evidence to support formal action, a determination that student conduct or administrative action is not warranted. 

2. Referrals should be made within a reasonable timeframe after the alleged incident (or after the latest alleged incident in cases of harassment or where there is a succession of documented incidents). Student conduct action may be pursued after considering the amount of time that has passed since the alleged incident and whether there is enough information available to substantiate the reported behavior.

3. Administrative action, in lieu of formal student conduct action, may be taken at the discretion of the University, in an appropriate and reasonable manner, to address violations of this Code. 

B. Student Conduct Proceedings 

1. A student potentially subject to formal sanctions other than eviction from residence, suspension or expulsion, is entitled to a conference, which will normally consist of an informal meeting between the student responding to allegations ("respondent") and an administrator. 

2. A student subject to eviction from residence, suspension or expulsion from the University is entitled to a hearing, which will normally consist of a formal meeting between the respondent and the University Conduct Board (“Conduct Board”). 

a. Allegations of sexual offenses will be resolved under the Disciplinary Procedures of Sexual Offense Complaints found in the University’s Title IX Policies and Procedures. 

b. A student who accepts responsibility for violations of this Code (prior to the student conduct hearing) may meet with the Director of Student Conduct in an administrative meeting to discuss possible sanction(s), in lieu of attending a hearing. This acceptance must be in writing, affirming acceptance of responsibility for the charge(s) and acknowledging that the full range of sanctions may be imposed. A student who accepts responsibility in writing forfeits all rights to an appeal process. 

c. At times, there may be unique facts and circumstances that justify modifications in the timing and manner of the adjudication process, including, but not limited to, imminent graduation of the student; end of the semester; or other extraordinary circumstances. Therefore, the Chief Student Affairs Officer, or designee, reserves the right to determine the timing and manner of the adjudication process to be used when such facts and circumstances arise. 

C. Guidelines for Student Conduct Proceedings Cases of sexual offenses will be resolved under the University’s Title IX Policies and Procedures. The following procedural guidelines shall be applicable to all other offenses. Formal rules of process, procedure, and technical rules of evidence, such as the rules applied in criminal or civil court, are not used in student conduct proceedings. Deviations from prescribed procedures shall not necessarily invalidate a decision, unless significant prejudice to an accused student, complainant or the University results. 

1. The respondent shall receive advanced written notification of the specific charges and the date, time, and location of the scheduled proceeding. Notice will most often take the form of a letter delivered to a student's University email account and/or residence.

2. The respondent may request a reasonable extension of time to prepare for the proceeding. Requests for an extension will not be granted for a period to exceed two (2) business days except in unusual circumstances where the respondent can demonstrate the necessity for a longer delay. All requests for extension of time should be made in writing at least one business day prior to the scheduled proceeding, except in cases of documented serious illness or emergency. 

3. The respondent shall be afforded reasonable access to review the case file related to his or her matter prior to and during the proceeding. "Case file" means the file containing incident and police reports (if applicable), documents and materials maintained pursuant to the Family Educational Rights and Privacy Act (FERPA) of 1974, and any other materials relevant to the matter. If additional information becomes available and is relevant, it will be discussed and reviewed at the proceeding. The notes of University staff members and investigators are not included in the case file and thus are not accessible. Names and other information of students may also be redacted in the incident report as appropriate for confidentiality. 

4. The respondent shall have the opportunity to provide Student Conduct with additional and relevant information that is not contained within the case file to be considered during the proceeding. Any such additional information should be submitted in writing at least two business days prior to the proceeding. 

5. The respondent may provide the names of witnesses from the University community who have relevant and material information pertaining to the alleged Code violation. Any additional witnesses must be submitted to Student Conduct in writing at least two business days prior to the proceeding. These individuals may be invited at the discretion of Student Conduct to provide information related to the incident. Ordinarily, witnesses who are not members of the University community will not be invited to serve as a witness in the proceeding, and expert witnesses generally will not be invited. 

6. Proceedings will generally be closed to non-participants and to the public, including friends and University personnel without an official or legitimate interest in the matter. However, a respondent may be accompanied to the proceeding by one (1) advisor or advocate of his or her choosing, after providing the University at least three (3) days’ advance notice of such selection prior to the proceeding. The advisor will be required to submit a FERPA release form to Student Conduct in order to be permitted to accompany the student to the proceeding. The role of the advisor shall be limited to support and consultation; the advisor may not speak during any student conduct proceeding except privately to the respondent, nor shall the advisor question or address witnesses or the Student Conduct hearing officers. Violation of this expectation will result in the advisor being removed from a proceeding at the discretion of the student conduct administrator. In consideration of the limited role of an advisor, and of the interest of the University to expeditiously conclude the matter, a proceeding will not normally be delayed if an advisor is unavailable. 

7. During the proceeding, the respondent shall have the opportunity to respond to the information related to the alleged violation of the Code. 

8. Information or testimony that does not directly relate to the facts at issue, but instead reflects upon the character, reputation, personality, qualities or habits of the respondent should not be presented and, if offered, may be excluded. 

9. A respondent who fails to appear at a scheduled proceeding without good cause (e.g. documented serious illness), after proper notice of such a proceeding, may be adjudicated in absentia, and forfeits all rights to an appeal unless it is for lack of proper notice, as required herein. In such cases, decisions will be based solely on information available or information presented during the proceeding. 

10. Proceeding outcomes must be supported by a preponderance of evidence. Preponderance of evidence means that a greater weight of evidence supports the conclusion that a fact is true, or to establish that an event occurred. A preponderance of the evidence does not necessarily mean the greater amount of evidence, but rather the greater quality of evidence - making it more likely than not the matter in question is true. 

11. A respondent may be found responsible for any prohibited conduct (including sections of the Code for which he or she was not originally charged) when behaviors that were previously unknown are discovered during the course of the student conduct proceeding or if it is determined that a different section of the Code more appropriately addresses the conduct in question. 

12. The outcome of the proceeding shall be conveyed to the student in writing. 

13. An audio recording may be made by the Office of Student Conduct. No other individuals present at the proceeding are permitted to make a recording. The audio recording is property of the University and will remain in the Office of Student Conduct. A party that is preparing an appeal may listen to the audio recording but may not duplicate it. The recording will be preserved until the conclusion of the appeals process. The conduct officer will facilitate the recording; however, issues that result in no recording, a limited recording, or an inaudible recording are not considered procedural errors for the purpose of an appeal.

V. Sanctions 

A. The imposition of sanctions, if deemed appropriate, will be based on the nature of the violation and the severity of any damage, injury, or harm resulting from it, and the disciplinary record and rehabilitative potential of the respondent. 

B. In some cases, a sanction may be held in abeyance for a specific period. This means that, should the student be found in violation of the Code during the stated period, he or she may be subject to the deferred sanction in addition to the student conduct action appropriate to the new violation. 

C. Sanctions that may be imposed in accordance with this Code include: 

1. Censure: An official written reprimand for violation of specified regulations. 

2. Disciplinary Probation: A period of time in which a student is expected to demonstrate positive behavioral change and may be excluded from participation in privileged or extracurricular institutional activities. Additional restrictions or conditions for behavioral changes may be imposed. Violations of the terms of student conduct probation, or any other violation of this Code during the period of disciplinary probation, may result in eviction from residence, suspension or expulsion from the University. While on disciplinary probation, the student is not in good disciplinary standing with the University. 

3. Restitution: Repayment to the University or to an affected party for damages resulting from a violation of this Code. 

4. Denial of Access to Specific Areas or Events: Ban from certain University-owned or controlled areas or University-sponsored events for a specified length of time. 

5. Eviction from Residence: Termination of the residence hall agreement and exclusion from visiting within certain or all residential facilities, as set forth in the notice of eviction, for a specified period of time. A student who is evicted is not entitled to a refund of room fees, and may be responsible for additional fees as a result of eviction. 

6. Revocation of Privileges: Restrictions placed on activities and/or use of University services and facilities for a specified period of time. 

7. Suspension: Exclusion from classes and other privileges or activities, including access to University premises or University-sponsored events or activities off campus, as set forth in the notice of suspension, normally for a minimum of one semester. A student who is suspended is not entitled to any tuition or fee refund and is banned from University premises for the duration of the suspension. 

8. Expulsion: Termination of student status, and exclusion from University premises, privileges and activities. A student who is expelled shall not be entitled to any tuition or fee refund and is banned from University premises permanently. 

9. Discretionary Sanctions: Other sanctions that bear a reasonable relation to the violation for which the student has been sanctioned may be imposed instead of or in addition to those specified above. Discretionary sanctions include, but are not limited to: service hours, fines, educational reflection assignments, and participation in alcohol or drug awareness programs, and trainings, counseling and education regarding sexual assault and misconduct.

VI. Appeals 

The outcome of a student conduct proceeding may be appealed subject to the following guidelines: 

A. A letter of appeal should be submitted to the Office of Student Conduct by the student within three (3) business days of receipt of the outcome of the student conduct proceeding. 

B. A student adjudicated in absentia forfeits all rights to an appeal process unless it is proven that it is for lack of proper notice, except in an extraordinary circumstance. 

C. The appeal must specify grounds that would justify consideration. General dissatisfaction with the outcome of the student conduct proceeding or an appeal for mercy are not appropriate grounds for appeal. The written appeal must specifically address at least one of the following criteria: 

1. Significant procedural error that changes the findings of fact of the student conduct proceeding. 

2. New evidence that significantly alters the findings of fact, that was previously unknown to the respondent, has been discovered and is available during the appeal process. 

D. The Chief Student Affairs Officer, or designee, will review and determine the outcome of the appeal.

E. One appeal is permitted. The decision on the appeal is final and shall be conveyed in writing to the student. 

F. The imposition of sanctions may be deferred while the appeal process is pending unless, in the discretion of the Chief Student Affairs Officer, the continued presence of the student on the campus poses a serious threat to her/himself or to others, or to the stability and continuance of normal University functions. 

VII. Student Conduct Files and Records 

The files of students found responsible for any prohibited conduct will normally be retained as a student conduct record in the Office of Student Conduct, under the authority of the Chief Student Affairs Officer. University officials may use the record as a reference; however, the record will be retained for no more than five (5) calendar years from the student's terminating date from the University, except as provided by law.

1.0 Policy Statement

The Office of International Programs coordinates the approved University international programs and activities. These programs and activities include academic study, research, internships, cultural enrichment, and service-learning. The three specific types of academic study abroad programs approved by the University are:
(1) faculty-led or proprietary programs
(2) direct enrollment and exchanges with foreign institutions
(3) third party providers
The duration of the programs may range from one week to an academic year. Regardless of duration, each program type undergoes the same review and approval processes to ensure academic rigor and integrity, and relevance to both the university's mission and the strategic goals of the academic departments.

2.0 Procedures

The procedures provide support and guidance for implementing this policy. The following policies and procedures apply to the development, administration, and conduct of all campus based study abroad programs.

2.1 Faculty-Led/Proprietary Programs

A. Study abroad programs shall undergo the standard on-campus development process that incorporates administrative and academic reviews. Academic departments are responsible for review of program and course subject matter and instructional delivery methods. Program proposals approved by the academic chair(s) and dean(s) are submitted to the Director of the Office of International Programs. Once received, the Director of the Office of International Programs meets with the sponsoring faculty member(s) to develop the marketing, student application processes, international travel
arrangements, CDC health and safety measures, housing, and State Department travel registration. After these logistical matters are completed, the proposal is submitted to the Provost for final review and approval.

B. The Office of International Programs collaborates with faculty and staff from the academic units, student services, financial aid, student accounts, budget office, and the registrar to ensure that the requisite documentation for proposals are submitted.

C. All GAU study abroad programs must consider the health, safety and security of students, staff, and faculty as the central feature of planning and operation. They must also:

1. Not operate in countries where there is a State Department Travel Warning.
 

2. Be conducted and consistent with the provisions of other related executive
orders, such as those related to air travel, health or safety issues, or risk
management.

3. Only approve matriculating students (undergraduate or graduate) as participants. Students must be enrolled for the semester or term the program is offered.

D. Faculty-Led/Proprietary Programs must be submitted to the Office of International Programs by:
1. October 15th for Spring and Summer Programs

2. April 15th for Fall and Winter-Session Programs

E. The University reserves the right to restrict, deny, or postpone faculty-led/proprietary programs or activities if the determination is made that there is substantial risk associated with the international travel destination.

2.1.2. Student Requirements for Participation in Study Abroad Programs

A. Have a cumulative grade-point-average (GPA) of 2.5 at the time of
application for undergraduate students. A 3.0 cumulative GPA is required
for graduate students at the time of application.

B. Have satisfactorily completed a minimum of 24 GAU semester credit
hours for undergraduate students, and six (6) semester credit hours for
graduate students.

C. Have no social warnings or sanctions with the Office of Student
Conduct/Student Services

D. Have the available funding for participation, and ability to abide
submission of full payment according to program deadlines prior to
departure.

E. Participation in all pre-departure and re-entry orientations.

3.0 Definition of Key Terms

• Study Abroad: the academic study, research, internship, cultural enrichment, or service-learning programs located outside the United States.

• Third-Party Provider: in the field of study abroad, the term "Third Party Program Provider" refers to an entity which administers study abroad programs open to students from many various post-secondary institutions. These entities may be for-profit or not-for-profit companies, consortium comprised of several universities, or universities that market their study abroad programs nationally.

• Direct Enrollment: approved agreements with foreign institutions that permit
GAU students to enroll directly as transient students for an academic year,
semester, or summer term.

Policy 6.2: Study Abroad Program

• Faculty-led Programs: proprietary academic programs that are taught by a
CAU faculty member.

4.0 Research and Intellectual Property Guidelines

To ensure compliance with university policies and other state and federal applicable laws regarding research projects, innovations, and technology generated in the course of an approved Clark Atlanta University study, internship, research, or cultural immersion program abroad, clearance must be received from the Office of Research and Sponsored Programs.

5.0 Contracts with the University

All contracts associated with an approved study abroad program will be in the name of the University and approved by the Executive Vice President and Chief Financial Officer. Marketing activities and student recruitment cannot begin until the contract approval process is completed.

6.0 Waiver, Release, and Indemnification Agreement

Faculty, staff, and students who participate in study abroad programs do so on a voluntary basis. As such, all study abroad participants are required to complete and sign the CAU Waiver, Release, and Indemnification Agreement form for international travel prior to departure. The originals of these forms are maintained in the Office of International Programs.

7.0 Entities Affected By This Policy

University faculty, staff, and students; third party providers; and foreign host institutions are affected by this policy.
 

Message from Chief of Police

Chief Debra A. Williams has over 39 years of law enforcement experience. She began her career with the City of Atlanta Police Department in 1983, until retiring in 2011, as a major in rank. After retiring with the City of Atlanta Police Department, she served as a Senior Police Advisor and Deputy Team Leader responsible for providing law enforcement instructions, mentoring, and the delivery of training programs with the Narcotics Affairs Section in Mexico. In 2014, she joined the Clayton County Public Schools Police Department as the major over day-to-day operations.

In August 2018, “she was called” as the Chief of Police for Clark Atlanta University Department of Public Safety. She place emphasis on “called” because she feels that it is a calling for her to serve in this capacity. During her tenure at Clark Atlanta University, she has helped bridged the gap with the students, faculty, staff, alums and the community by implementing several programs initiatives and events. During her short tenure, she has received the Leadership Award from the School of Education in 2018 and an Honorary Service Award by the Student Life Awards in 2019. The National Society of Leadership and Success recognized her for Excellence in Service to Students Award and the Atlanta University Center Consortium for her Leadership of the Public Safety and Campus Security Council. She was also recognized as one of the nominees for Georgia’s Chief of the Year at the 2020 Georgia Association of Chiefs of Police Conference.

She has a Master of Science, Bachelor of Arts in Criminal Justice and an Associate Degree in Accounting. She is a graduate of Georgia Association Chief of Police Executive Training and the Police Executive Research Forum’s (PERF) Senior Management Institute of Policing (SMIP) in Boston, Massachusetts. She participated in the Anti-Defamation League (ADL), where she visited Israel and received training on Intervention Strategies for Domestic and Gender-Based Violence in San Salvador. Furthermore, she has received several commendations throughout her career, such as 2009 Manager of the Year for APD, Female Officer of the Year for the State of Georgia and finalist for Female Officer of the Year with the International Association of Women Police. Additionally, she is a Georgia State POST Certified Senior Instructor, enjoys leading exercise classes and playing golf.

In closing, she is married to retired City of Atlanta Police Major Khirus E. Williams. More importantly, she is a servant member of The Enon Church in College Park. Proudly, Chief Williams is a member of Delta Sigma Theta Sorority Incorporated. Lastly, she is a member of National Organizations of Black Law Enforcement (NOBLE), the International Association of Chiefs of Police, and the Georgia Association of Chiefs of Police, Historically Black Colleges & Universities Law Enforcement Executives & Administrators and the International Association of Campus Law Enforcement Executives.

Sincerely,

Debra A. Williams
Chief of Police / Director of Emergency Management
Clark Atlanta University Police Department

1.0 Policy Statement 

Clark Atlanta University acts as a custodian or fiscal agent of certain external resources for University student organizations. The University does not own these funds; however, the Division of Student Affairs has the responsibility to ensure proper oversight of the funds. The University accepts these resources only when the funds will be used by chartered student organizations for activities consistent with or in support of the mission of the University. 

2.0 Procedural Narrative Agency funds are maintained by chartered student organizations which have an established relationship with the University. Agency funds are resources held by a University-related student organization in a custodial or fiscal agent capacity for the benefit of the chartered student organization and are not funds of the University itself nor are they part of the University’s operating resources. The agency accounts are identified starting with 82 (e.g., 820002). 

Each student organization owns the assets and is responsible for the liabilities in each agency account. All transactions in an agency account must be made on behalf of that student organization and under the laws, contracts, and relationships of that student organization. Although there is an agency account set up with Clark Atlanta University for student organizations, those organizations cannot use Clark Atlanta University’s tax –exempt status. The authorized representative of the student organization and Advisor must ensure all third party dealings are separate from the official activities of Clark Atlanta University. 

Chartered student organizations are required to have an agency account and are not allowed to use external bank accounts. All student organizations must renew their account information at the start of the academic year, by completing the Agency Account Acknowledgement Form. The deadline is September 30th . Agency accounts that are not renewed will be placed on hold and become inactive after each fiscal year. All forms necessary for the establishment and use of an agency account will be made available via the Controller’s Office, and the Division of Student Affairs – Leadership and Student Development. 

All student organizations and their officers are responsible for any financial obligations incurred by the organizations. All other authorized expenditures will be processed, unless prohibited by law or applicable University regulations. The University will not be obligated to process authorized expenditures if there are not sufficient funds in the student organization’s agency account. 

A Clark Atlanta University employee cannot be directly paid from an agency account. 

To establish an agency account, a student organization must be a chartered organization, and must submit an Agency Account Application and the Agency Account: Update/Acknowledgement Form to the Division of Student Affairs – Leadership and Student Development. These request forms outline the responsibilities of all parties involved. Agency account activity includes, but is not limited to, deposits, account inquires, the distribution of funds for student organization related activities, and changes to account information.

2.1 Receipt and Deposit of Funds 

-All student organizations must properly collect, record, and deposit all donations/receipts received. 

-All donations/receipts must be logged on a Cash Receipts Log by the student organization representatives receiving the donation/receipt and signed by the student organization Advisor. 

-CAU only accepts currency denominated in US dollars. 

-All checks must be made payable to “Clark Atlanta University/CAU.” Only checks drawn on US banks can be accepted. The student organization’s name should be placed in the MEMO section. 

-Money orders are acceptable forms of donation/receipt but must be made payable to “Clark Atlanta University/CAU.” 

-Checks are endorsed by the receiving office/organization “For Deposit Only” immediately. 

-At the end of each day the total amount received must be documented and signed off by an officer of the student organization and the student organization Advisor (as detailed on the Cash Receipts Log) and must be verified by the receiving department/organization. It is imperative that every department/organization maintain a segregation of duties. The individual recording cash receipts on the Cash Receipts Log cannot be the same individual performing the verification function. 

-The Deposit Form is used to summarize the type of funds being deposited and listing the appropriate Banner Codes and Agency Account. 

- Cash, checks, a copy of the Cash Receipts Log, and a copy of the Deposit Log should be put in a sealed envelope and hand-delivered to Student Accounts (Room 204 Haven Warren) on the day they are received. No donations/receipts are to be sent through University Mail. In the event that the student organization’s activity ends after normal business hours of Student Accounts (e.g., in the evening or on a weekend), Public Safety should be called. Public Safety will then escort the student organization representative to the Public Safety Office where the sealed envelope will be logged as received by Public Safety and secured in Public Safety’s locked drop box. On the next business day, the student organization representative must return to Public Safety Office and request Public Safety escort to Student Accounts to appropriately deposit the funds. Under no circumstances should donations/receipts be held by a student in his/her residence or held by the Advisor. 

- A Public Safety escort should be utilized for any cash donations over $200 or whenever the individual delivering the donations to Student Accounts deems it necessary for smaller amounts. 

- When donations are delivered to Student Accounts any cash is counted, verified, and recorded on the Deposit Form by Student Accounts personnel.  

-A copy of the verified Deposit Form and the Cash Receipts Log will be maintained by the student organization. 

- Cash must be counted by the Advisor and student organization officer and signed off by both parties before funds are secured for the night and/or deposited.

2.2 Account Inquiries 

Account inquiries include, but are not limited to, current balance statements, detailed transaction summaries, and copies of approved documents. Inquiries will be accepted from an authorized signer via email or by visiting the Controller’s Office and presenting a picture identification card. 

2.3 Distribution of Funds 

Funds can only be distributed from an account via Purchase Requisition. (See the Purchasing Policy). All funds are issued in the form of check. Cash may not be withdrawn directly from an account. It is imperative that student organizations plan their events and all anticipated expenses to allow sufficient processing time through the University’s procurement process. 

2.4 Changes to Account Information 

Account holders must submit a new Account Acknowledgment Form if any information should change. This may include, but not be limited to a change in officers, new contact information, additional signers, etc. 

2.5 Account Holds and Terminations 

Agency accounts may be terminated or placed on hold and managed at the discretion of the Division of Student Affairs: 

-Accounts that have not had activity that includes a deposit or expenditure after two fiscal years shall be terminated.

-Accounts that do not have a current Account Acknowledgement Form on file will be placed on hold.

2.6 Closing an Account 

To close an account, an authorized signer on the account must send a written request to the Controller’s Office. An authorized signer must sign the request, and to have any remaining balance refunded, a Purchase Requisition must be attached to the request.

3.0 Entities Affected By this Policy 

General Accounting, The Controller’s Office, Treasury, Division of Student Affairs, and all University student organizations requesting an Agency Account. 

4.0 Definitions Agency Funds - Funds held by the University as custodian or fiscal agent for student organizations. Agency funds are not owned by Clark Atlanta University. The University policy is to accept agency funds only when they help to fulfill the mission of the University. The agency accounts are identified starting with 82 (e.g., 820002). 

Authorized Representative – An authorized student organization representative and Advisor by an organization to open an agency account on the student organization’s behalf. The authorized student representative and Advisor will have signature authority on the agency account and, therefore, would be able to process transactions on behalf of the student organization. 

Custodian - The University when it acts in its capacity as guardian for a student organization’s resources. To protect the interest of both the University and the student organization, Clark Atlanta University gives the same degree of protection as it gives its own property.

 Donation/Receipt - Support given to the student organization in a variety of forms including, but not limited to cash or check. A donor, who enters into the transaction voluntarily and receives nothing (other than a token of appreciation) in exchange, provides the support. 

Student Organization- A student organization is defined as a group of Clark Atlanta University students joined together in pursuit of a common purpose, which is in support of the Mission, Vision, goals, and Core Values of Clark Atlanta University, guided by a lawful constitution under the direction of chosen officers, two full-time faculty and/or staff advisors, and officially recognized by the Department of Leadership and Student Development in the Division of Student Affairs. 

1.0 CENTRAL RECEIVING POLICY STATEMENT 

Central Receiving is established to offer a centralized location for delivery of supplies and equipment purchased by Clark Atlanta University (University). This central receiving function will receive, inspect, and verify items ordered through an authorized University issued purchase order. Deliveries without an authorized purchase order will not be accepted. Unless otherwise specified on the original purchase order, all supplies and equipment received at the University, will be delivered to Central Receiving. The parcel or equipment will then be available for pick up by the ordering department and receipt will be acknowledged by signature on an electronic delivery manifest. 

1.1 Functions and Responsibilities of Central Receiving 

Central Receiving is designed to: 

• Provide fast turnover of deliveries received and improve payment turnaround time for invoices by providing an organized system for receipt processing. 

• Accurately document the receiving date and condition of items. 

• Provide delivery status information to the ordering departments, Purchasing and Accounts Payable. 

• Reduce the risk that capital equipment is not timely recorded and tagged by the Property Control Accountant. 

Special Note: Central Receiving is not a central warehouse function and not a Mailroom..

Exceptions to Central Receiving: 

Items purchased through issuance of an authorized purchase order are to be received by Central Receiving before delivery to the requesting ordering department, with the following exceptions: 

• Orders placed by Food Services through Sodexo (see section 2.6.1). 

• Orders placed by the Woodruff Library (see section 2.6.2). 

• Orders placed by the Bookstore (see section 2.6.2). 

• Items ordered for designated areas at the construction sites under a C & W contract (see section 2.6.1). 

• Professional services contracts. 

• Non-University purchased packages (see section 2.6.2). 

• Orders/packages received by Students (see section 2.6.2). 

• Desktop deliveries of supplies/expendable items (see section 2.5). 

2.0 PROCEDURES NARRATIVE 

2.1 Receipting During Normal Hours of Operations. 

Central Receiving is opened from 9:00 am to 5:00 pm, Monday through Friday, and is closed on weekends and University holidays. If a         University department is expecting an emergency shipment requiring any special receiving or internal delivery arrangements, the ordering department and/or Purchasing Department shall alert the Central Receiving in advance for special delivery arrangements.

2.1.1 Identify Sender’s Information. 

Before signing for any delivery, Central Receiving will verify that all shipments have a shipping label which identifies the package’s sender and recipient information. Normally such identification shall be made from a Purchase Order (PO) number attached and/or inside the parcel. 

2.1.2 Verification of Parcel Count. 

Before signing for any delivery, Central Receiving will verify the number of packages/boxes being received from the shipper/carrier. 

2.1.3 Inspection for Damage. 

During the verification process, Central Receiving will review the general condition of all parcels received including where any package is visibly damaged. Inspection notation will be made on the shipper’s/carrier’s manifest and on the parcel. 

2.1.4 Documentation of Receipt from Carrier. 

Central Receiving documents receipt of shipments by either of the following two methods: 

2.1.4.1 Bar Coded Tracking Number Based Shipments (Method 1). 

Parcels with bar coded tracking numbers (UPS, FedEx, Airborne, DHL, etc.) are counted by issuing courier staff member and Central Receiving staff member via the Smart Track. Shortages, surpluses, and refusals will be noted on both Carrier and Central Receiving recording logs. Once both parties verify that the package count and shipper’s tracking number are the same, the Central Receiving staff member will sign the shippers/carrier’s manifest. 

2.1.4.2 Non-Bar Coded Tracking Number Shipments (Method 2). 

Shipment Parcels from non-bar code tracking number based carrier (i.e. common carrier) will be counted, inspected, signed, and manually entered into to the Smart Track package receiving module. 

2.2 Processing of Incoming Shipments 

Incoming shipments shall be processed by Central Receiving staff in the following manner:

2.2.1 Scanning of incoming packages. 

Verification and confirmation of incoming shipments are documented when carrier’s shipping labels are scanned using the Smart Track Receiving Scanner. 

2.2.2 Packages with PO # and attached packing slip . 

Central Receiving staff member will retrieve the packing slip from the exterior of the parcel and use the packing slip details for entering shipments into the University Receiving system. 

2.2.3 Packages with PO # and No Attached Packing Slip. 

Parcels will be opened to retrieve a packing slip from the interior of the parcel unless the parcel contents are clearly marked on the exterior, or the parcel contents are labeled as sensitive contents (see section 2.2.4). If a parcel is opened to obtain packing slip, the packing slip details are entered into the University Receiving system , and the parcel is re-sealed. 

2.2.4 Packages with no PO # or Requiring Additional Investigation. 

Parcels delivered to Central Receiving, but do not have a packing slip on the exterior of the shipment or within the parcel require additional investigation. Central Receiving staff member shall contact the Purchasing Department to resolve. Central Receiving along with Purchasing and or ordering department will conduct additional investigation to resolve items description or other discrepancies. If the Purchasing Department is unable to resolve the discrepancies, then the parcel will be returned to the vendor. (see section 2.4). 

2.2.5 University Receiving Method (Three Way Match). 

Central Receiving will enter the applicable PO number in the University Receiving system. This will include matching the packing slip item descriptions to the prescribed Purchase Order line items descriptions, and entering the quantity received. Central Receiving will initial the form and input any special review comments. 

2.2.6 Sensitive Shipments. 

These parcels include live contents, hazardous contents, refrigerated contents, other special handling instructions and controlled substance you must contact the Lab Safety Manager. The internal end user recipient is contacted immediately. The end user is required to come to Central Receiving to review and or /receive the shipment. In cases where the shipment is delivered directly to the end user, Central Receiving will require the end user to open the contents and provide a copy of the packing slip to Central Receiving and contact the Lab Safety Manager within 24 hours (see section 2.).

2.3 Storing of Shipments prior to Internal Pickup. 

Once processed, packages or equipment will be sorted and staged in the designated secured storage area in Central Receiving. 

2.3.1 Storage. 

A secured storage area located in the Central Receiving area that will only be accessible by Central Receiving and Purchasing staff members. This area will house shelving labeled alphabetically to identity the packages to be picked-up by the respective recipients. 

2.3.2 Location of the Recipient. 

Upon scanning of the package from the vendor’s carrier into Smart Track . The recipient location will be affixed to the package and stored in the appropriate location for pickup. 

2.3.3 Unlisted Recipient. 

If upon scanning of the package, the recipient is not found in the Smart Track database, Central Receiving will locate the recipient via the purchase order detail. If the recipient information is not found on the purchase order, Central Receiving will contact the Purchasing Department for assistance. 

2.3.4 Internal Pickup for End User. 

Central Receiving will notify the recipient that their shipment is available for pick up. It is the responsibility of Central Receiving to ensure that a signature is obtained from a responsible member of the recipient when it is picked up. 

2.3.5 Purchases designated as Capital Assets. 

Tagging of capital assets that are purchased and received through Central Receiving will be made by the staff accountant responsible for fixed assets in the General Accounting Department. Central Receiving will send an email notification monthly, of the receipt of new fixed assets purchases to the General Accounting, Inventory Specialist. The Inventory Specialist coordinates with the end user for physical location and tagging of the capital assets purchased. General Accounting reviews a monthly Fixed Asset report in Banner for potential assets that require capitalization.

2.4 Returns 

The Purchasing Department will contact the vendor on your behalf to obtain an RMA “Return Material Authorization” number. The Purchasing Department is responsible for communication with the vendor should an item need to be returned. 

2.4.1 Returns after Internal Pickup. 

The Purchasing Department is the initial point of contact for all shipments being returned for adjustments. End users are to notify Purchasing within 24 hours of any delivery discrepancy. Notification from end user will be made via phone or email; with immediate follow-up via email/fax documenting specific circumstances on the RMA “Return Material Authorization Form. 

2.4.2 Completion of the Discrepancy Form. 

The Return Material Authorization Form will be completed by the end user immediately upon discovery of a discrepancy in the received shipment. 

2.4.3 Processing of Returns. 

The Purchasing Department will review the Return Material Authorization Form submitted by the end user and complete the appropriate sections of the form per the instructions listed and process the return within 48 hours. 

2.4.3.1 Over-shipment Return to Sender. 

The Purchasing Department will determine whether the return of an over shipment is required. If a return is required, Purchasing will forward the Return Material Authorization Form to Central Receiving and to Accounts Payable. Central Receiving will process the return within 48 hours of receiving the Return Material Authorization Form. 

2.4.3.2 Quantity Discrepancies. 

End user notification to Purchasing must include specific item descriptions and quantities on the Return Material Authorization Form. Purchasing will initiate contact with the vendor to notify them of the discrepancy in the quantities received. 

2.4.4 Damaged Goods. 

In case of damaged goods, the end-user will complete the Return Material Authorization form (RMA) notating the specific damaged, quantity and nature of the damage. Upon receipt of the end users email notification, the Purchasing Department will contact Central Receiving to ensure that the shipment was not damage during internal pickup. If the shipment was not damaged during internal pick-up, Purchasing will contact the vendor to get authorization for the return shipment. 

Once authorization for a return has been confirmed with the vendor, Central Receiving will coordinate with the end user for delivery and return of the item to the vendor within 48 hours of receiving the Return Material Authorization Form (RMA).

2.5 Direct Deliveries 

In certain instances, it may be necessary to have merchandise/property delivered directly to the ordering department without first processing it through Central Receiving. In these cases, the Purchasing Department and Central Receiving must be notified immediately so the merchandise / property can be properly processed. Direct deliveries of capital assets will require prior approval from the Purchasing Department. It is the responsibility of the ordering department/requestor to forward all shipping documents to Central Receiving within 24 hours upon receiving the shipment and contact the Lab Safety Manager if the items received are considered hazardous materials. Failure to do so will result in the following actions: 

• 1st time offense – meet with the related requestor and requestor’s supervisor 

• 2nd offense – suspend direct delivery privileges for three (3) months 

• 3rd offense – suspend direct delivery privileges for six (6) months 

Examples of appropriate Direct Deliveries include but are not limited to: 

1. Extremely delicate property or materials requiring professional handling by the vendor. 

2. The purchase agreement requiring assembly and installation by the vendor. 

Notify Central Receiving and the Purchasing Department immediately when the need for a direct delivery has been identified. When placing a Direct Delivery order, any special handling or shipping instructions should appear on the Purchase requisition (if applicable). The street address, office or lab of the department is required on direct deliveries. Including the building and room number of the end user is required to ensure a timely delivery. Departments who receive invoices related to purchase orders are required to immediately forward them to Accounts Payable via email at Accountspayable@cau.edu for processing. 

It is the responsibility of the ordering department or the end user receiving the merchandise being delivered from Central Receiving to verify the delivery. Verification of a shipment consists of the following: 

1. Verify that your department has received the correct quantities.

2. Assuming that all items have been received, document the shipment status on the packing slip and forward via email to Wrice@cau.edu in Central Receiving or Purchasing@cau.edu for processing. 

3. If the shipment appears damaged, verify and notate the number of items damaged on the packing slip and contact Purchasing via email at Purchasing@cau.edu for further instructions. 

4. Verify that the correct merchandise has been received, meets your specifications, and is not damaged.

2.6 Miscellaneous Provisions 

2.6.1 Contractor Goods. 

The Central Receiving department will not receive goods consigned to contractors working at Clark Atlanta University (i.e. C & W, Sodexo, Follett Bookstore or Powerplant). The driver of these deliveries will be redirected to the proper location. The Central Receiving department will not assume any responsibility for the safe-guarding of a contractor’s materials left on Central Receiving’s platform area. 

2.6.2 Delivery by Mail Services. 

All student packages and all non-university purchased small packages shall be internally diverted to Mail Room services for internal delivery/pickup. 

3.0 ENTITIES AFFECTED BY THIS POLICY 

All schools, departments, offices, and units ordering supplies, materials, and equipment are affected by this policy. Vendors delivering goods and equipment to the University are also affected by this policy. 

4.0 DEFINITION OF KEY TERMS 

• Banner Purchase and Procurement-Receiving Processing module- a component of the Banner Finance module which encompasses all business operations of the university including operating budgets, purchasing, receiving, accounts payable, fixed assets, and general ledger operations of the university. 

• University Receiving System – a component of the PantherBuy e-Procurement system, the inventory receiving process which is initiated from a completed PO or quantity receipt. 

• Bar Coded Tracking Number-Universal codes that appear as lines (bars) of varying widths representing the series of 10 or 12 numbers commonly shown below the bars for tracking and control of equipment purposes. 

• Capital Assets - Capital assets are tangible and intangible assets acquired for use in operations that will benefit more than a single fiscal period. Typical examples are land, improvements to land, easements, water rights, buildings, building improvements, vehicles, machinery, equipment, works of art and historical treasures, infrastructure, and various intangible assets. (Land associated with infrastructure should be reported as land rather than as part of the cost of the related infrastructure asset.) A capitalized asset is a capital asset that has a value equal to or greater than the capitalization threshold established for that asset type. Capitalized assets are reported for financial reporting purposes. 

• Return Material Authorization Number- is a numbered authorization provided by a merchant to permit the return of a product for various reasons, like being defective or wrong order. 

• Return Material Authorization Form – it is the form that allows customers to return products for an exchange or refund. RMA is similar to a tracking number in that it is used to identify and track the returned item. 

• Smart Track Receiving Application - an inbound tracking system that captures the carrier, mode of service, date/time and sender just by scanning the affixed tracking barcode label. 

• University Receiving Method 3 Way Match – Three way match refers to a procedure used when processing an invoice received from the vendor or supplier. The purpose of the three-way match is to avoid paying an incorrect and or fraudulent vendor.

1.0. Policy Statement 

The University will act on the Principal Investigator’s (PI) or Program Director’s legitimate reasons for requesting advance or pre-award expenditure authorization and funding to begin work on externally funded projects in advance of a signed agreement. The extent to which these costs create risk in the event that sponsored agreements are not finalized or the sponsor declines to pay; the costs will be absorbed by the University, providing such costs meet the criteria listed below in Section 1.10. The benefits to the University must outweigh any risks. 

1.10. The University will further consider and act, without external sponsor prior approval, incurring obligations and expenditures to cover pre-award costs up to 90 days before the beginning date of the initial project period of a new or competing continuation award, if such costs: 

• are reasonable and necessary to conduct the project; 

• would be allowable and allocable under the grant, cooperative agreement, or contract, if awarded, without external sponsorship prior approval; 

• would prevent the delay in initiating critical program requirements beyond the existing current budget period; 

• would prevent the adverse impact to the program or the significant increase in costs; and 

• would capture the effort, if applicable, at the time it occurs. Thus, effort must be certified for work conducted on the project that has the advance expenditures/pre-award account charges. 

1.20. If specific expenditures would otherwise require prior approval, the University must obtain federal sponsorship approval before incurring the cost. Also, federal sponsorship prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new or competing continuation award. 

1.30. The University may incur pre-award or advance costs before the beginning date of a non-competing continuation award or from a private or state funding agency, without regard to the time parameters stated above. However, the University is fully aware that the incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on the funding agency either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred.

2.0. Procedures Narrative 

The procedures to this policy ensure accountability for the funds and compliance with sponsor regulations. The award document is the funding agency’s official obligation of funds for a project. Many awards cover a multi-year project period made up of several shorter (usually 12-month) budget periods. Funds often are awarded in budget period installments. The procedures are applicable to all sponsored awards from external sponsors, unless the special terms and conditions for the particular award require otherwise. The entire authorization and approval process shall take no more than seven (7) calendar days to complete after the PI’s initial request is submitted. A renewal or competing continuation award provides funds for the extension of an award beyond the original award period and/or budget period. 

2.1.0 Advance Expenditure Authorization 

The award document is the only source document and authority the University has to recover funds which are expended at the direction of the Principal Investigator from the sponsor. The award document gives the University such authority only for the awarded project period. Expenditures made prior to the awarded start date or after the awarded termination date of the project will not be paid by the sponsor. Thus, any expenditure made before receipt of the formal award document, which conveys official notice of the project start date, places the University at financial risk. 

2.2.0 Special Circumstances 

There are, however, special circumstances when award documents are delayed beyond the time it is necessary to begin the work which will be authorized by the award. When such circumstances arise, the Principal Investigator shall request through the Vice President for Research and Sponsored Programs and the Vice President for Finance and Business Services, advance expenditure approval. The request, directed to the Office of Grants and Contracts Accounting, should: 

• identify the anticipated award amount and date; 

• identify the requested advance amount and dates (usually no more than two months); 

• meet the critical requirements to support the need for funds to be advanced to the project; 

• allocate the requested funds to appropriate budget categories in the advance account established by the Controller’s Office; and 

• indicate the time period for which advance funding is requested (usually a two month period). 

2.3.0 Initiation of the Advance Request 

The initiation of the request for advance fund spending occurs with the completed and submitted Advance Expenditure Authorization/Pre-award Costs Approval Form (FBSR01). Since funds available for advance expenditure are extremely limited and at risk, such actions will be restricted to amounts that will allow minimal functioning of the project and will generally be approved only for personnel and other essential expenses.

Upon determining need for advance project funding, the Principal Investigator shall complete and submit a request on the Advance Expenditure Authorization/Pre-award Costs Approval form, which when approved will establish the advance account. The request will be presented to the Vice President for Research and Sponsored Programs for approval. In all cases, the request will require the approval of the Vice President for Finance and Business Services. The Budget Office shall be consulted for input and review, as well. 

2.3.1 The following guidelines apply for the initiating of an advance account: 

a) The Office of Grants and Contracts Accounting must be able to confirm with an authorized representative of the sponsor that the anticipated award will be made for a period of performance that covers the entire period for which advance expenditure authority has been requested and for an amount at least equal to the amount of the requested advance. Such confirmation will ordinarily be in the form of a letter of intent from the sponsor or a notice of award already submitted to the PI or Program Director; 

b) Advance accounts will be approved for limited periods, generally not more than two months at a time, and the source of funds will be unrestricted funds; 

c) The Principal Investigator must be prepared to terminate the project on short notice, even possibly before the approved advance account has been fully expended, if the Division of Research and Sponsored Programs determines that the anticipated award will not be made; 

d) PI has completed and submitted any required annual reports, if applicable; 

e) All regulatory requirements have been satisfied before activity related to those issues can begin; 

f) The principal investigator complied with PI eligibility requirements; and 

g) Expenditures made under an Advance account must conform to the sponsor's regulations, the fiscal agent's policies and procedures, and the budget submitted to the sponsor. 

2.3.2 The initiation of the request for pre-award advance spending occurs with the completed and submitted Advance Expenditure Authorization/Pre-award Costs Approval form (FBS-R01). The authorization will be for the establishment of a pre-award account before the project start date (e.g., a federal award that starts on June 1. 2013, but the principal investigator needs to begin project setup on March 1, 2013). The form will consist of the required signatures of the principal investigator (PI), Vice President for Research and Sponsored Programs, and the Vice President for Finance and Business Services. The Budget Office shall be consulted for input to and review of the requested pre-award account.

2.4.0 Pre-award Costs Authorization 

The University may incur pre-award costs 90 calendar days prior to award or more than 90 calendar days with the prior approval of the Federal awarding agency, Vice President for Research and Sponsored Programs, and the Vice President for Finance and Business Services. Pre-award costs authorization can be acquired prior to award acceptance providing the following critical requirements are met: 

a) The Principal Investigator (PI) provided the Vice President for Research and Sponsored Programs (VPRSP) and the Office of Grants and Contracts Accounting with sponsor’s assurance that a proposal has been recommended for funding by the sponsoring agency, with a recommended start date, end date, and amount of initial obligation; 

b) Any delay in initiating or continuing critical program requirements beyond the existing current budget period or amount may adversely impact the program or significantly increase the cost; 

c) PI has completed and submitted the required annual reports, if applicable; 

d) All regulatory requirements have been satisfied before activity related to those issues can begin; 

e) The principal investigator complied with PI eligibility requirements; 

f) The pre-award account start date must be within the pre-award period allowed by the sponsor, and the source of funds will be unrestricted funds; and 

g) The Principal Investigator shall complete and submit another request on the Advance Expenditure Authorization/Pre-award Costs Approval form to incur pre-award costs outside of 90 days maximum. 

The Principal Investigator must review the terms and conditions of a particular award before submitting a request for pre-award costs authorization and approval to ensure these procedures will be applicable to the award. 

2.5.0 Advance/Pre-award Account Setup 

The Office of Grants and Contracts Accounting will review the submitted Advance Expenditure Authorization/Pre-award Approval form to make sure that it includes the necessary approvals and supporting information. The Controller’s Office will establish an account number and notify both the principal investigator and the Division of Research and Sponsored Programs. The effective date of a pre-award account will be the date of final signature on the pre-award account request form (Advance Authorization/Pre-award Costs Approval - FBS-R01) by either the Vice President for Finance and Business Services, or Vice President for Research and Sponsored Programs, or the effective date requested on the form, whichever is later.

2.6.0 Monitor Pre-award/Advance Accounts 

2.6.1 Expenditures: 

The Office of Grants and Contracts Accounting and Research and Sponsored Programs staff must review and reconcile project financial reports to ensure that pre-award expenditures meet the sponsored agency’s criteria, and are at appropriate spending level. If spending level appears to be excessive, the Office of Grants and Contracts Accounting should stop processing documents and refer the matter to Division of Research and Sponsored Programs. 

2.6.2 Age Account: (the number of days since an account has been active) The Office of Grants and Contracts Accounting will use an aging process to monitor the elapsed time of the establishment of Pre-award and Advance Accounts. If the account has been established for an excessive period of time (e.g., more than 90 days), the Office of Grants and Contracts Accounting shall follow up with the sponsor or the principal investigator to ensure that the awarded funds will be forthcoming and also inform the Division of Research and Sponsored Programs. In addition, the Office of Grants and Contracts Accounting in consultation with the Division of Research and Sponsored Programs will request explanations or facilitate closing of unawarded projects. 

3.0 Entities Affected By This Policy 

Principal Investigators, Research Faculty, School Deans, Division of Research and Sponsored Programs, and the Division of Finance and Business are affected by this policy. 

4.0 Definition of Key Terms Contract and grant terminology includes common designations for a series of awards: 

• A new award - the original award of funds. 

• A continuation award - obligates funds for a subsequent budget period within an existing project period. 

• A supplement - adds funding to an existing budget period for additional work or costs not anticipated in the original proposal or award. 

• Advance - covers urgent costs starting on or after the project effective date. 

• Pre-award costs -cover urgent costs occurring no more than 90 days before the proposed award effective date. 

The Flowchart of the Process

Advance Expenditure Authorization/Pre-award Costs Approval form

1.0 Policy Statement 

The Clark Atlanta University’s policy on fiscal responsibility is based on two main tenets: 

• The expenditures benefit to the University must be either readily apparent from the supporting documents or explained in an accompanying benefit statement. 

• The primary responsibility for ensuring that expenditures are for the benefit of the University rests with deans, directors, department chairs, principal investigators (externally funded grants and research), and budget center managers. 

  2.0 Procedure Narrative 

  2.1 Benefit to the University 

  The documentation should ensure that how funds were used can be determined well after the fact, even if the principals are no longer available. Thus, each transaction must stand on its own, with sufficient information to demonstrate the benefit to the University. 

  2.2 Steward of Funds 

  The University receives its funding from diverse sources, ranging from federal and state agencies to students to benefactors. Regardless of the source, the University has an obligation to demonstrate that it has been a wise steward of funds entrusted to it. 

  2.3 Accountability 

  The process of accountability begins with the planning for receipt and expenditure of funds, and carries through to retaining documentation of what transpired. 

  2.4 Primary Fiscal Responsibility Primary fiscal responsibility rests at the level where the expenditures are made, with those who initiate programs and make decisions on how to actually implement plans and programs. Planning is an interactive process that ultimately results in approval at the upper levels of management (Board of Trustees, president, and cabinet level executives). 

  The actual details are decided at the operating level (deans, directors, department chairs, principal investigators, and managers) within the constraints of University policies. Ultimate responsibility for ensuring that fiscal transactions are in accordance with approved plans, programs, federal guidelines, and policies rests at the Dean/Director/Department Chair, Principal Investigators, and operational manager levels.

  2.5 Responsibility of the Deans, Directors, Department Chairs, Principal Investigators, and Operational Managers 

• Develop budgetary plans and programs. 
• Ensure that transactions are appropriate and for the benefit of the University. 
•  Ensure that transactions are properly documented 
• Adhere to established appropriate fiscal policies and procedures.  
• Adhere to established federal guidelines 

• Personally review and monitor fiscal activities on a regular basis 

  2.6 Responsibility of President, and Cabinet Level Officials 

• Approve university budgetary plans and programs and provide oversight. 
•  Establish and interpret university policies. 

• Maintain fiscal oversight for all university programs. 

  2.7 Responsibility of the Vice President for Finance and Business Services and Controller 

• Assist deans/directors/department chairs, principal investigators, and operational managers in establishing appropriate departmental fiscal policies and procedures. 
• Make information on interpreting and implementing policies and procedures easily accessible to deans/directors/department chairs/principal investigators/operational managers, and their staff. 
• Recommend changes in university fiscal policies and procedures to the President, cabinet level officials, and where University-wide impact would occur, to the Compliance Committee. 

•  Review transactions on a systematic basis to test whether they include proper documentation and comply with university policies. 

  3.0 Entities Affected by this Policy 

  Faculty, Staff and Officers of the University

1.0 Policy Statement 

The regular work week for all full-time exempt staff employees is typically thirty-five (35) hours divided into five (5) workdays, Monday through Friday, with staff employees regularly scheduled to work (7) seven hours per workday. The regular work week for non-exempt staff employees is forty (40) hours per week. Supervisors must approve overtime for non-exempt employees. 

2.0 Procedure Narrative 

The normal work hours for full-time staff are 9:00 a.m. to 5:00 p.m., with a one-hour unpaid lunch period, normally taken between 12:00 noon and 2:00 p.m. The start time of a staff employee’s lunch period is designated by the supervisor. Part-time staff employees’ work hours and schedules are arranged by the supervisor. Staff employees are informed of the University’s work hours during new employee orientation and of the specific work hour requirements for their department by their supervisor. 

All staff employees who are in positions designated as non-exempt shall be paid (i) based on hours worked and (ii) overtime wages for all hours worked in excess of forty (40) hours in a workweek. Prior approval for any overtime worked shall be required by the staff employee’s immediate supervisor at the direction of the division director or department head. Exceptions may be granted in situations deemed as an emergency. A staff employee who works overtime without prior supervisory approval may be subject to disciplinary action up to and including termination from employment. Even if an employee does not receive prior approval, once worked, withholding of overtime pay for work is strictly prohibited and shall not be used as a method of discipline. However, falsification of a time record is a breach of the University policy and is grounds for disciplinary action, including separation from the University. The procedures for the calculation and payment of overtime hours are provided in the University’s Staff Handbook. 

Exempt staff employees may be required to work in excess of thirty-five hours. Staff employees are obligated to report for each and every scheduled working day or shift, to report on time and to complete all scheduled hours. Being absent from or reporting to work after the scheduled beginning time requires the employee to properly notify the supervisor in advance and to utilize appropriate leaves or to lose payment for time not worked. An employee who is absent from work without proper notice for three consecutive working days will be considered to have abandoned the job and may be terminated from employment. 

Daily and weekly work schedules may be changed from time to time at the discretion of the unit head to meet the varying conditions of a unit. Changes in work schedules are announced as far in advance as practicable.

3.0 Alternative Scheduling 

The University recognizes that certain job tasks can be carried out just as effectively from a remote work location as they can on campus and such an arrangement might improve work-family life balance for staff employees as well as increase productivity by eliminating commute times. In addition to the University’s regular five (5) days on campus schedule, beginning January 24, 2022 and until further notice, the University will also offer alternative schedule work week options as follows: 

Schedule A: Monday, Tuesday and Wednesday on campus, Thursday and Friday remote 

Schedule B: Wednesday, Thursday and Friday on campus, Monday and Tuesday remote 

Schedule C: Monday, Wednesday and Friday on campus, Tuesday and Thursday remote 

Requests for alternative scheduling should be submitted to and must be approved by the immediate supervisor in consideration of the work that needs to be performed for the business unit to satisfy its goals and objectives. Once approved, the employee will be permanently assigned to the requested alternative schedule without the option to switch until the following fiscal year. However, at any time the employee can return to the regular five-day on campus schedule either by choice or as required by the supervisor without explanation or justification based on the needs of the University. All work schedules are subject to change based on the requirements of the department as determined by the staff employee’s immediate supervisor. 

All other aspects of this policy applies to the alternative schedules, i.e., 35-hour work week with a 9 am. to 5 p.m. work day with time away from work requested and approved in advance by the immediate supervisor. The same performance metrics for the position should be applied regardless of whether or not the employee is working a regular schedule or an alternative schedule. 

4.0 Alternative Schedule Expectations 

All staff employees who have submitted requests to work an alternative schedule and received approval from their immediate supervisors must adhere to the following guidelines while working remotely on their designated days: 

4.1 Communication. While working remotely, the employee shall be reachable by telephone or CAU e-mail during agreed-upon work hours. The employee and supervisor shall agree on expected turnaround time and the medium for responses in the same way mutual agreements would be established for deliverables if working onsite. All email communication must be conducted through CAU email, not personal email accounts. 

4.2 Conditions of Employment. The conditions of employment shall remain the same on remote working days; wages, benefits and leave accrual will remain unchanged.

4.3 Equipment. 

Home worksite furniture and equipment shall generally be provided by the remote worker. Computers must use University-approved virus protection (https://www.cau.edu/departments/oitc/Sophos-Home.html). In the event that equipment and software is provided by the University at the remote work-site, such equipment and software shall be used exclusively by the remote worker and for the purposes of conducting University business. Software shall not be duplicated. The staff employee shall consult with the support manager regarding the availability of equipment to loan. If the University provides furniture and/or equipment, the employee is responsible for safe transportation and set-up of such equipment. 

4.4 Equipment Liability. 

4.4.1 The University will repair and maintain at the primary worksite any equipment loaned by the University. Surge protectors must be used with any University computer made available to the employee. The employee will be responsible for any intentional damage to the equipment; damage resulting from gross negligence by the employee or any member or guest of the employee's household; damage resulting from a power surge if no surge protector is used; and/or maintaining the current virus protection software on the workstation. 

4.4.2 The University may pursue recovery from the employee for University property that is deliberately, or through negligence, damaged, destroyed, or lost while in their care, custody or control. 

4.4.3 Damage or theft of University equipment that occurs outside the employee's control will be covered by the University. 

4.4.4 The University does not assume liability for loss, damage, or wear of employee-owned equipment used in connection with a remote working arrangement. 

4.5 Dependent Care. Although an employee’s schedule may be modified to accommodate child care needs, the focus of the arrangement must remain on job performance and meeting business demands. 

4.6 Home Work Site. 

4.6.1 The employee is prohibited from holding in-person business visits or meetings with professional colleagues, customers, or the public at the remote worksite. 

4.6.2 In-person meetings with other University staff will not be permitted unless approved in advance by the employee's supervisor.

4.7 Hours of Work. On remote work days, employees should be available during the University’s official work hours (i.e., between the hours of 9 a.m. and 5 p.m.). All hourly non-exempt staff employees who are eligible for overtime wages must obtain preapproval from their immediate manager before working overtime hours. 

4.8 Incidental Costs. The University will not be responsible for costs associated with the setup of the employee's home office, such as remodeling, furniture or lighting, or for repairs or modifications to the home office space. All incidental costs, such as residential utility costs or cleaning services, are the responsibility of the employee who has requested and received approval to work an alternative schedule. 

4.9 Safety. An eligible employee under this policy who chooses his or her home as workspace is expected to maintain the home workspace in a safe manner, free from safety hazards. In the case of injury occurring while carrying out an assigned workrelated task or duty during the defined work period, the employee shall immediately report the injury to the supervisor. However, non-job-related injuries while working remotely will not be considered under this policy. The University does not assume responsibility for injury to visitors or any persons other than the teleworker at the telework site, regardless of the location. 

4.10 Intellectual Property. Products, documents, and records created or developed while working remotely are property of the University. 

4.11 Data Security & Confidentiality. Data security and confidentiality shall be maintained by the employee at the same level as expected at all worksites. Confidential and sensitive data should not be saved on one’s personal computer. Restricted access or confidential material shall not be taken out of the primary worksite or accessed through a computer unless approved in advance by the supervisor. The employee is responsible to ensure that non-employees do not access University data, including in print or electronic form, while working remotely. 

4.12 Leave. The employee must obtain supervisory approval before taking leave in accordance with University policy. 

4.13 Network Access. The University is committed to supporting an employee’s remote working arrangement by increasing network access to remote locations. However, network access is not guaranteed. 

4.14 Office Supplies. The University shall provide the employee any office supplies necessary for the remote working arrangement. However, any out-of-pocket expenses incurred by the employee for office supplies normally available in the office will not be reimbursed.

4.15 Performance & Evaluations. The supervisor and employee will formulate objectives, expected results, and evaluation procedures for work completed while the employee is working remotely on their designate remote workdays. 

4.15.1 The supervisor will monitor and evaluate performance by relying more heavily on work results rather than direct observation. 

4.15.2 The supervisor and telework employee will meet at regular intervals to review the employee's work performance. 

4.16 Personal Business. While working remotely, employees shall not engage in personal business affairs during normal University business hours. 

4.17 Policies. University policies, rules and practices shall apply at the remote work site, including those governing communicating internally and with the public, employee rights and responsibilities, facilities and equipment management, financial management, information resource management, purchasing of property and services, and safety. Failure to follow policy, rules and procedures may result in termination of the alternative schedule arrangement and/or disciplinary action. 

4.18 Quality of Work. All work performed away from the office shall be performed according to the same high standards as would normally be expected for work performed at the primary worksite. 

4.19 Record Retention. Products, documents and records that are used, developed, or revised while working offsite shall be copied or restored to University's computerized record system. Whenever possible, all remote-related information shall be stored in a directory designated for telework and this information shall be backed up on a disk or on the LAN server. 

4.20 Security. Security and confidentiality shall be maintained by the employee at the same level as expected at all worksites. 

4.20.1 Restricted access or confidential material shall not be taken from the primary worksite or accessed through a computer unless approved in advance by the supervisor. 

4.20.2 The employee is responsible to ensure that non-employees do not access to University related office data, either in print or electronic form. 

4.21 Telephone/Internet Expenses. The employee and supervisor will use the most efficient and effective way to engage in business-related long distance calls, whether that is the use of a calling card or reimbursement of long distance business calls.

4.21.1 If reimbursement is approved, the employee will submit an expense request along with a log of long distance business calls and an itemized copy of the telephone bill. 

4.21.2 Such expenses may include increased charges for Internet access and/or facsimile transmissions. 

4.22 Travel. The employee will not be paid for time or mileage involved in travel between the employee’s home and the remote worksite or the primary worksite. 

4.23 Worksite. Remote worksites shall be in Georgia or in the same state as the primary worksite. 

5.0 Entities Affected by This Policy 

All Staff of the University, excluding the Department of Public Safety whose duties cannot be performed remotely. 

6.0 Definitions 

Work Week - The standard work week is defined by law as a regularly recurring period of 168 hours in the form of seven consecutive 24 hour periods. 

Regular Schedule - Five (5) days on campus, Monday through Friday, from 9 a.m. to 5 p.m. Alternative Schedule – Three (3) days on campus and (2) days remote Monday through Friday from 9 a.m. to 5 p.m.

1.0 Policy Statement 

Clark Atlanta University (CAU/the University) prohibits sexual harassment and discrimination on the basis of gender. Further, Clark Atlanta University provides each student, faculty member, and staff member with an environment free from unlawful harassment and the perception of sexual harassment. 

2.1 Procedure Narrative 

As a matter of practice and policy, the University is committed to maintaining an educational and working environment free of conduct that degrades or subjugates employees or students. This policy applies equally to faculty, administrative and support staff and students, and is in keeping with the spirit and intent of applicable law. 

Sexual harassment is any unwelcome sexual advances, requests for sexual favors, or verbal or physical conduct of a sexual or gender-based nature that interferes with performance by creating a hostile, offensive, or intimidating work environment or is an expressed or implied condition of employment. Such behavior will be subject to disciplinary actions up to and including dismissal or expulsion. 

2.2 Regulations 

a. Any complaints relating to this type of misconduct should be reported to the Chief Human Resources Officer or his or her designated representative immediately. Complaints will be treated confidentially and promptly and will be carefully investigated. 

b. It is a violation of University policy for any member of the University community to retaliate against an individual who brings forth a complaint of sexual harassment. Retaliation will be subject to disciplinary action up to and including dismissal. 

2.3 Responsibilities 

a. The Chief Human Resources Officer or his or her designated representative is responsible for the implementation of the University's sexual harassment policy and the coordination of the investigative process. 

b. Each Dean, Department Chair, and Administrative Head of a unit is responsible for ensuring an atmosphere free of discrimination and harassment, sexual or otherwise, and for the dissemination and implementation of this policy within his/her area of responsibility. These individuals are also responsible for referring reported incidents of sexual harassment to Human Resources. 

c. It is the responsibility of all members of the University community to discourage sexual harassment, report such incidents, and cooperate in any investigation that might result. 

2.1 Procedure for Filing a Complaint 

Any employee who feels that he or she has been the victim of sexual harassment should contact the Chief Human Resources Officer or his or her designated representative promptly after the incident. The expectation is that it should be reported within fifteen (15) working.

Policy 9.1.2: Sexual Harassment Sexual Harassment 

days of the incident. This report can be oral or written, but a written and signed statement of the complaint must be submitted by the complaining employee within three (3) working days of the initial report before an investigation can proceed. 

a. Upon receipt of the written complaint, the Chief Human Resources Officer or his or her designated representative will contact the person who allegedly initiated the sexual harassment, and inform that person of the basis of the complaint and the opportunity to respond to the complaint in writing within seven (7) working days. 

Upon receipt of the written response, the Chief Human Resources Officer or his or her designated representative, after conducting a thorough investigation, will submit in writing a confidential summary of the complaint, the response, and the facts of the investigation to the Provost. This summary will contain recommended actions given University policies and applicable employment laws. The Provost, after conducting a review of the facts of the investigation, including possible interviews with all parties involved, will determine whether sexual harassment has occurred. All parties will be notified in writing of the Provost/University President's decision. 

a. If it is determined that sexual harassment has occurred, disciplinary action up to and including discharge will be taken. The severity of the discipline will be determined by the severity and frequency of the offense, or other conditions surrounding the incident. 

b. Please note that this policy establishes specific timeframes for initiating and responding to complaints of sexual harassment. While CAU believes that adherence to these time frames affords CAU and the affected parties the best opportunity to promptly, effectively, and fairly resolve the complaint, CAU's practice has been and will continue to be to investigate any and every complaint of sexual harassment that it receives within a reasonable time frame. 

Employees may not be represented by a lawyer in the complaint resolution process. 

3.0Entities Affected By This Policy 

All Faculty and Staff of the University 

4.0Definition of Key Terms 

Discrimination: Discrimination is defined as: (I) treating members of a protected class less favorably because of their membership in that class; or (2) having a policy or practice that has a disproportionately adverse impact on protected class members. 

Sexual Harassment: Sexual harassment is any unwelcome sexual advances, requests for sexual favors, or verbal or physical conduct of a sexual nature that interferes with performance by creating a hostile, offensive, or intimidating work environment or is an expressed or implied condition of employment. Such behavior will be subject to disciplinary actions up to and including dismissal.

5.0 Desktop Procedures 

I Employee who feels that he or she has been the victim of sexual harassment contacts the Chief Human Resources Officer or his or her designated representative within fifteen (15) working days of the incident. 

2 A written and signed statement of the complaint is submitted by the complaining employee within three (3) working days of the initial report 

3 Upon receipt of the written complaint, the Chief Human Resources Officer or his or her designated representative contacts the person who allegedly initiated the sexual harassment and informs that person of the basis of the complaint and the opportunity to respond to the complaint in writing within seven (7) working days. 

4 The person who allegedly initiated the sexual harassment responds to the complaint in writing within seven (7) working days. 

5 Upon receipt of the written response, Chief Human Resources Officer or his or her designated representative conducts a thorough investigation 

6 After conducting the investigation the Chief Human Resources Officer or his or her designated representative submits in writing a confidential summary of the complaint, the response and the facts of the investigation to the Provost. 

7 The Provost/University President conducts a review of the facts of the investigation including possible interviews with the parties involved 

8 The Provost determines whether sexual harassment has occurred. 

9 All of the parties are notified in Writing of the Provost’s decision. 

10 If it is determined that sexual harassment has occurred, disciplinary action up to and including discharge will be taken.

1.0 Policy Statement 

Clark Atlanta University (CAU/University) permits the employment of qualified relatives of employees as long as such employment does not, in the opinion of the University community, create actual or perceived conflicts of interest. 

2.0 Procedure Narrative 

For purposes of this policy, “relative” is defined as the faculty or staff member’s spouse, domestic partner, children (including stepchildren), parents, siblings, grandparents, grandchildren, father-in-law and mother-in-law or any other in-law. The University will exercise sound business judgment in the placement of related employees in accordance with the following guideline: 

• Individuals who are related by blood or marriage are not permitted to work in the same department. No employee is permitted to work under the direct supervision of a relative such that the relative’s work responsibilities, salary or career progress could be influenced by other relatives. 
• Members of the University community may not participate in the hiring process or any employment-related decisions pertaining to their family members.

•  Employees who marry while employed are treated in accordance with these guidelines. That is, if a conflict or an apparent conflict arises as a result of the marriage, one of the employees will be transferred at the earliest practicable time. This policy applies to all categories of employment at the University, including regular, temporary, and part-time classifications. 

  3.0 Entities Affected By This Policy 

  All Faculty and Staff of the University 

  4.0 Definition of Key Terms 

  Employee: An employee is anyone employed by the University as a faculty member or staff member, including a post-doctoral fellow or student employee 

  Relative: Relative includes the faculty or staff member’s spouse, domestic partner, children (including stepchildren), parents, siblings, grandparents, grandchildren, father-in-law and mother-in-law or any other in-law.

1.0 Policy Statement 

All personnel actions relating to employment, including but not limited to promotions, transfers, demotions, layoffs, position reclassifications, and salary adjustments must follow Clark Atlanta University’s (CAU/the University) established procedures. Personnel actions are not disciplinary actions and do not take the place of disciplinary actions. 

Personnel actions are initiated through the University’s Staff Personnel Requisition Form and the Personnel Action Form (PAF). All personnel actions are subject to the University’s Equal Employment Opportunity and Affirmative Action policies. 

It is understood that the Board of Trustees and the administration of Clark Atlanta University do not relinquish any of their legal rights to appoint and remove employees or to fix compensation and terms and conditions of employment. 

2.0 Procedure Narrative Personnel actions affecting staff employees at CAU include the following: 

2.1 Promotions 

Promotions are based on individual merit and generally result from the reclassification of an existing position or from an employee applying for and becoming the successful candidate for an open position. In determining an employee’s eligibility for promotion, the following factors are considered: performance, skills and abilities, relevant experience, professional development, and education. 

A request for promotion to a higher position does not constitute sufficient grounds for dismissal or any other form of reprisal. The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion. 

Employees who wish to be considered for a promotion to another position at the University are encouraged, but are not required, to discuss the matter with their immediate supervisor prior to seeking information about the new position. 

Employees should review job postings to determine if there are any open positions for which they are qualified and in which they are interested. 

When an employee is promoted to a new position, his or her accumulated leave, retirement benefits and service record are transferred. However, the use or scheduling of accumulated annual leave is subject to the approval of the new supervisor.

At the point that the employee is determined to be a top candidate, Human Resources must and the employee should notify the employee’s current supervisor. 

2.2 Transfers 

A transfer is the shift of an employee from one position to another within the same classification or to one with comparable skills at the same salary. Transfers occur to better utilize an employee’s skill and ability, to meet specific needs of the University or to assist the employee in meeting his/her career goals. Staff interested in applying for a transfer are not required to secure the approval of their immediate supervisor. 

Transfers between departments are made with the agreement of the two supervisors, the employee and the Office of Human Resources. 

Employees who wish to be considered for a transfer to another position at the University are encouraged, but are not required, to discuss the matter with their immediate supervisor prior to seeking information about the new position. 

When an employee transfers from one position to another, his or her accumulated leave, retirement benefits and service record are transferred. However, the use or scheduling of accumulated annual leave is subject to the approval of the new supervisor. 

The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion. All transfers are subject to policy 9.1.5 Probationary Period. 

Transfers resulting from reorganizations to avoid layoffs take precedence over this policy. 

2.3 Demotions 

A demotion is the change in an employee’s status from one level of a position to a position having lesser responsibility and/or a lower starting salary. A supervisor may recommend that an employee be demoted if he or she renders unsatisfactory service or if the employee voluntarily requests a demotion. 

The employee must receive in writing the reasons for the demotion and, prior to the effective date of the action, must be granted a reasonable opportunity (not less than five working days) to appeal to the next highest level of authority. 

Demotions occur only if there is a position available for which the employee is qualified.

2.4 Layoffs 

Because of lack of funds, program adjustments, reorganization, or other situations, the University may find it necessary to effect a general reduction in work force or reduction in a particular area(s). Human Resources assists staff members who have been laid off with possible transfers into other areas of the University based on qualifications, job performance and availability of funds. 

2.5 Position Reclassifications 

A position may be reclassified to another classification and title as a result of a position audit, program reorganization, or the establishment of a new classification. A reclassification occurs when a determination has been made about the actual duties and responsibilities of the position. Position reclassifications may be upward (higher grade), or downward (lower grade). The Office of Human Resources has the responsibility to routinely review the classification of all positions. An employee’s request for reclassification may be submitted in writing by his or her supervisor to the Office of Human Resources. 

2.6 Salary Adjustments 

Salary adjustments are usually completed to keep an individual’s salary within the salary range that is assigned to their position and grade and to ensure pay equity. 

2.6.1 Promotions 

When a staff member is promoted to a position having a higher salary grade, the staff member receives either a minimum salary adjustment to the entry level of the new classification or a 10% salary increase, whichever is higher. 

2.6.2 Transfer 

A staff member is not given a salary adjustment when they are transferred laterally to another position having the same title, or to a different title having the same salary grade assignment. 

2.6.3 Demotion 

When a classified staff member is demoted to a position of decreased responsibility or complexity of duties requiring a change of title and having a lower salary grade, the staff member's salary may remain unchanged, if it is within the salary range of the new position, or it may be adjusted to an appropriate level within the new salary range as agreed upon by the new supervisor and Office of Human Resources. The new rate is determined by considering the circumstances related to the demotion, the staff member's employment record and their job performance. 

2.6.4 Job Reclassification 

Salary adjustments may be made when a position is reclassified to a higher or lower pay grade. Employees who disagree with the result of a personnel action should discuss their concerns with either their supervisor or the Office of Human Resources. 

3.0 Entities Affected By This Policy 

All Faculty and Staff of the University 

4.0 Definitions 

Demotion: The permanent movement of a staff member from one position in one job class to a position in another job class of decreased responsibility or complexity of duties and in a lower salary range. 

Position Reclassification: A position reclassification is the assignment of a new job title and/or grade to an existing position. The evaluation may result in an upward or downward move or no change in the salary grade of the position. 

Promotion: The permanent movement of a staff member from a position in one job class to a position in another job class of increased responsibility or complexity of duties and in a higher salary range. 

Salary Adjustment: Salary adjustments are usually completed to keep an individual’s salary within the salary range that is assigned to their position and grade. 

Transfer: The permanent lateral movement of a staff member from one position to another position in the same or another job class assigned to the same salary range.

5.0 Desktop Procedures 

Promotions and Transfer 

Step Action 

1 Employee reviews job openings and finds a position for which he/she believes they are qualified 

2 Employee applies for job through CAU website 

3 Human Resources and hiring supervisor reviews job applications 

4 Candidates to be interviewed are identified and designated people conduct interviews with all job candidates 

5 The supervisor notifies the supervisor Human Resources of the top candidates 

6 The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion. 

Demotions 

Step Action 

1 Supervisor provides written justification to Human Resources that an employee should be demoted 

2 Human Resources with input from Senior Management either approves or denies the demotion 

3 If the demotion is approved the employee has the option to appeal the decision to the next highest level of authority. 

4 If the employee’s appeal is unsuccessful the employee is demoted. If the demotion is denied the employee remains in their current position.

1.0 Policy Statement 

Clark Atlanta University (CAU/the University) maintains personnel files on every staff member. All files are maintained in a safe and secure location. 

2.0 Procedure Narrative 

Personnel files are a historical body of information from the date of hire to the present. These files contain documentation such as an employee's length of service with the University, performance appraisals, beneficiary designation forms, disciplinary warning notices, and letters of commendation, etc. 

If an employee is interested in reviewing his/her file, he or she many contact the Office of Human Resources to schedule an appointment. A member of the Office of Human Resources reviews the file prior to the appointment to ensure the file does not contain documents or information the employee is not permitted to see such as letters of reference. Neither a member of the Office of Human Resources nor the employee can make copies of the entire file; however, an employee is permitted to copy those documents they should have such as a performance appraisal or disciplinary action paperwork. · 

Academic credentials, sexual harassment documentation, whistleblower documentation and background information are not kept in employee personnel files. All of these files are kept in a separate and secure location in Human Resources. Supervisors may maintain unofficial notes on their employees. The supervisor's working file is a confidential file that is kept in a secure area near the employee's immediate supervisor. The contents of a working file should be shredded at the direction of the supervisor once the information is no longer necessary. The official file of record is that which is housed in the Office of Human Resources. 

Under the Health Insurance Portability and Accountability Act (HIPAA), federal law requires employers to protect medical records as confidential information that is kept separate and apart from other business records. Medical information may not be retained in a personnel file. The Americans with Disabilities Act (ADA) also imposes very strict rules for handling information obtained through post-offer medical examinations and inquiries. Compliance with the ADA requires that information related to medical disabilities be handled in a confidential manner. 

Medical information may be revealed only in very limited circumstances, such as to safety and first aid workers if necessary to treat an employee; to public safety officials to protect the employee or others from a serious and imminent threat to health or safety; to mandated reporters to law enforcement to report child, elder or dependent abuse; to the employee's supervisor, if appropriate under applicable law and the employee's disability requires restricted duties or a reasonable accommodation; and to University officials as required by law for the purposes of defending the University in judicial or administrative proceedings; or for purposes of compliance with worker's compensation programs. Medical files are kept in a separate and secure location in Human Resources. Under no circumstance is medical information (including doctors' notes) to be kept in a supervisor's file.

The only people with a right to inspect, copy, or challenge the contents of a personnel file relating to an individual other than themselves is a supervisor or member of senior management with a justifiable reason. All such requests must be approved by Human Resources prior to reviewing the file. 

No individual, private, or public agency external to the University is permitted access to any individual's personnel file except for federal and state agencies when: the agency has jurisdiction to make an inquiry and/or the information being sought is obtainable by subpoena. The appropriate University officials must be satisfied that the information being requested is pertinent to the agency's inquiry. All requests from outside the University to review a personnel file must come through Human Resources. 

Employees should either call the Office of Human Resources or update their information on the CAU website for the following information: changes in name, telephone number, home address, marital status, number of dependents, beneficiary designations, scholastic achievement, the individuals to notify in case of an emergency, and so forth. Employees are apprised of documents sent to their personnel file upon their request. 

The Office of Human Resources maintains personnel files on-site for three (3) years after which the files are stored off-site. In most cases, the personnel files must be retained for a total of seven (7) years or as long as required by the terms of the funding source. Files are kept on applicants who were not hired for one (1) Fiscal Year after which such files are maintained in accordance with applicable law and then shredded. 

Personnel files are the exclusive property of the University. 

3.0Entities Affected By This Policy 

All Staff of the University 

4.0 Definitions 

Personnel File - Personnel file means the current official file or files regardless of location, relating to an employee of the university, which contains documents and data recorded in the usual course of official university business relating specifically to the individual's employment qualifications, working assignments, promotions, compensation, job performance, personnel evaluations, disciplinary proceedings, and participation in university insurance and benefits programs.

5.0 Desktop Procedures 

Employee Review of Personnel File 

Step Action 

1 Employee contacts HR to schedule an appointment 

2 Designated HR employee reviews employee file to ensure file contains only information permissible for employee review 

3 HR employee schedules anointment with employee 

4 Employee reviews file in the presence of the HR employee 

5 HR employee makes a copy of paperwork as long as that paperwork is approved to be copied 

6 HR employee returns file to original location after employee leaves 

Employee Challenges 

Step Action  

1 Employee identifies what they believe to be inaccurate information in their personnel file 

2 Employee puts challenge in writing to Human Resources 

3 Human Resources researches the issue 

4 Human Resources responds to the challenge in writing

1.0 Policy Statement 

Clark Atlanta University (the University/CAU) prohibits the unauthorized disclosure of confidential information obtained during the course of employment with the University. As a condition of employment with the University, employees are required to sign the Clark Atlanta University Employee Confidentiality Agreement (Appendix A). 

2.0 Procedure Narrative 

All new employees must have a current Confidentiality Agreement on file with The Office of Human Resources. By signing the Confidentiality Agreement the employee is agreeing to abide by the University’s policies and procedures governing confidentiality. 

Any access, use or disclosure of Confidential Information in any form – verbal, written, or electronic – which is inconsistent with or in violation of this policy may result in disciplinary action, including but not limited to, termination of employment. 

All CAU employees are required to report any known or suspected incidents of disclosure of confidential information in violation of this policy. Employees should report violations to their supervisor, the Director of Human Resources or the Compliance Hotline (404-589-8006). 

The stipulations of this policy are in effect both during an employee’s tenure at the University and after they cease to be employed by the University. 

3.0 Entities Affected By This Policy 

All Faculty and Staff of the University 

4.0 Definitions 

Confidential Information – For the purposes of this policy confidential information is defined as information disclosed to the employee or known by the employee as a consequence of their employment and not generally known outside of the University.

5.0 Desktop Procedures 

Completing the Employee Confidentiality Form 

Step Action 

1 Employee attends new employee orientation 

2 Form is given out during orientation 

3 Employee returns the completed form to the HR representative at orientation Reporting a Violation of Employee Confidentiality 

Step Action 

1 Employee becomes aware of a violation of employee confidentiality 

2 Employee should report violations to their supervisor, Director of Human Resources or the Compliance Hotline if they prefer to report the violation anonymously. The Compliance Hotline phone number is (404) 589-8006.

1.0 Policy Statement 

Clark Atlanta University (the University) strives to ensure that employees, including student workers, are paid timely and accurately. Therefore, all required payroll documents must be received by the Department of Human Resources and the Salary Administration (Payroll) Office in accordance with published schedules for timely processing and for inclusion in the appropriate payroll cycle. Compliance with this policy is critical to meeting payroll processing deadlines, meeting legal pay and tax reporting requirements, maintaining employee satisfaction, and avoiding the additional financial risk associated with off cycle payroll processing. 

2.0 Procedure Narrative 

2.1.0 Established Deadlines 

To aid in payroll system processing, the Human Resources Department and the Payroll Office have established deadlines and guidelines in order to ensure completion of the payroll process in a timely and reasonable fashion: 

A. Submitted documents that require one or more levels of approval will need time to be fully processed, forwarded to the Human Resources Department, and in some cases submitted directly to the Payroll Office for processing. Therefore, allowing for the required processing time of submitted documents is crucial. 

B. Submitted documents must be accurate and complete and contain the required signature approvals before final processing steps occur. 

C. Applicable employee Human Resources/Payroll forms (e.g., W-4, I-9, etc.) must be submitted by the established deadlines to ensure proper setup in the payroll processing system, tax withholdings and payment. 

D. Employee timesheets(including one-time payments) must be processed timely to ensure the employee or student is paid on the pay date associated with the work period, as established by the Payroll Office (Salary Administration) pay schedule (see Appendix C for example of Schedule).https://www.cau.edu/humanresources/Human%20Resources%20Docs/PAYR OLL-CALENDAR-2020.pdf 

E. Late submissions of critical payroll documents, such as Web Time Approvals, Personal Action forms, Electronic Personal Action forms, Direct Deposit, Supplemental Pay form, New Hire documents for faculty, staff and student workers will be subject to review and tracking and will result in sanctions imposed against the supervisor or employee responsible for the late submissions, as outlined in Section 2.4. 

F. Submissions by various departments, offices or units of critical documents to the Human Resources Department and/or the Payroll Office for the processing of payroll after  the University established deadline dates, as reflected in Appendixes ‘A’ and ‘C’, must be reviewed and approved by the University Provost for personnel in the Academic Division and the Chief Financial Officer for all others.

G. The Human Resources Department will track the late submissions and generate reports of the occurrences at a frequency that would alert senior management of process problems. The report will be provided to the Provost and the Chief Financial Officer for further review and future disciplinary actions. 

H. Payment made outside of an employee’s “regular” pay schedule should not be promised to that employee for the specified pay period. In the event that it becomes both an exception and is an emergency situation (e.g., posing a threat to life or property) for an employee to be paid outside the normal payroll cycle, the employee’s supervisor must contact the Human Resources Department before assuring payment to the employee to confirm that the payment will occur. Adhering to the deadlines listed in this document— as well as allowing additional lead time to obtain necessary signatures—will ensure inclusion in the desired payroll cycle. The grounds for making a payroll payment outside the normal payroll cycle should be clearly documented and maintained in the employee’s payroll file for recordkeeping purposes. 

2.1.1. Missed Normal Payroll Cycle 

Documents received after the established payroll deadline dates will result in payments being made to employees and students during the next payroll cycle. Only under extreme circumstances (e.g., threat to life or property) will the University make exceptions to this practice. 

2.2.0 Responsibility of Departments, Offices and Units 

University departments, offices or units have a critical responsibility to submit payroll documents according to published deadlines, including the approval of time and attendance hours and payroll request transactions. University employees are paid for work performed for or on behalf of the University through the Human Resources Department and Payroll Offices. The departments, offices or units, as originators have a responsibility to know where the submitted payroll documents are in the payroll process to resolve discrepancies and ensure employees or students are paid timely. 

2.2.1 Departmental Contact Points for HR - Payroll Processing 

Each department, office or unit will have a designated employee as a contact point for human resources payroll processing. This employee will be responsible for the preparation and submission of payroll input documents, as well as the completion of the following tasks: 

a) Accurate and timely submission of all Human Resources and Payroll documents. The document must be signed by the department, office or unit’s authorized approvers or authorized designees for it to be processed by the Human Resources or Payroll Office. 

b) Distribution of payroll information received from the Human Resources Department or Payroll Office to all employees within their department. 

c) Referring questions from employees to the Human Resources Department. 

The department, office or unit head should notify the Human Resources Department (PAFs, Supplemental Pay Forms, Student Stipends, etc.) or Payroll Office (time entry) whenever changes occur regarding the primary and backup timekeeper or department personnel authorized to submit payroll data.

2.2.2 Timely Submission 

All employee data changes (e.g., timesheets, one-time payments, stipends, overloads, etc.) should be submitted to the Human Resources Department as quickly as possible to avoid an incorrect paycheck or no paycheck for the employee. Late submissionsinclude both: (a) items not submitted by the employee to the supervisor in a timely fashion; and (b) items not forwarded by the supervisor/department to the Human Resources Department or the Payroll Office in a timely fashion. It is ultimately the supervisor’s responsibility to ensure that all items are submitted timely to be paid on the established payroll schedule. 

2.2.3 Internal Controls 

The employee who signs and authorizes the payroll input should not be the same person who actually prepares the input. Also, an employee who is responsible for preparing transactions may not be the same person who serves as a department, office or unit’s payroll distribution person. 

2.3.0 Employee Responsibility 

Each University employee should take an active role to make sure his/her payroll is processed accurately. 

A. When employees have payroll questions, they should talk to their department administrator or supervisor, who should be able to answer most general payroll questions. 

B. Employees are required to notify the Human Resources Department as soon as possible after a change in address or phone number by: (1) Banner Self-Service (Banner Web); or (2) Human Resources Personal Information Change Form. 

C. Faculty, staff and students are required to have paychecks direct-deposited into an account at a financial institution (i.e., bank or credit union). New employees should complete a Direct Deposit Authorization Agreement and forward it to the Human Resources Department. 

D. Direct Deposit Changes and Cancellation: If a direct deposit employee needs to make a change in personal information or bank information, changes will be made by completing a request through a new Direct Deposit Authorization Agreement. The authorization form, along with a voided check, must be personally delivered (not submitted as a fax) to the Human Resources Department. All Direct Deposit change requests will be verified by the Human Resources Department. If received timely, the results of the new request will be reflected on the next immediate pay check following receipt of the new information. Delays in notifying the Human Resources Department and Payroll Office will result in delays in receiving payments. Direct Deposit authorizations, changes, or cancellations will be processed according to the Payroll Calendar. 

2.4.0 Sanctions for Late Submission of Critical Payroll Related Documents 

Late submissions (e.g., timesheets, one-time payments, stipends, overloads, etc.) not processed during the regular payroll schedule will create undue hardships for the affected employee or student. Late submissions include both: (a) items not submitted by the employee to the supervisor in a timely fashion; and (b) items not forwarded by the supervisor/department to the Human Resources Department or Payroll Office in a timely fashion. It is ultimately the department, office, or unit supervisor’s responsibility to ensure that all items are submitted timely and in accordance with the established payroll schedule. Late submissions will result in progressive disciplinary actions being taken against and performance deficiency noted in the respective supervisor’s personnel file up to and including termination. Please review section 5.2 in the Staff Handbook or an overview of University disciplinary procedures (https://www.cau.edu/human-resources.) In the event that payments must be made due to special processing, the responsible supervisor is required to provide communication back to the affected employee or student as to status of late submitted documents and the impact of any delays. A. Department Supervisor Notification - Human Resources Department will notify supervisors after the first occurrence of a late submission. B. Department Supervisor/Director/VP Notification - second and any subsequent, late submissions will result in notifications to the department supervisor, respective Director, Senior Manager of the affected area, the Provost/V.P. of Academic Affairs, and V.P. of Finance and Business Services. 2.5.0 Payroll Schedule, and Forms The Payroll Calendar and Forms (Appendices ‘A’ and ‘B’) are available for review on the Human Resources website: https://www.cau.edu/humanresources/Human%20Resources%20Docs/PAYROLLCALENDAR-2020.pdf. Also, the Human Resources Department and the Payroll Office are always available to assist faculty, staff, and students. 3.0 Entities Affected by this Policy The policy impacts faculty, staff and student employees working at or for the University. 4.0 Definition of Key Terms Banner Human Resources System: The software system used by the Human Resources Department and Salary Administration (Payroll) Office to pay salaries and wages to employees in an accurate and timely manner. The system also provides information for managerial purposes. Banner Self-Services (Banner Web): An online resource tool for employees and students that includes everything from Web Time Entry, paychecks, tax withholding, to leave information, where applicable. Direct Deposit: Payroll directly deposits an employee’s paycheck into his/her bank or other financial institution. Payroll Calendar: Document that shows dates and frequency by which the University processes various types of payrolls at regular intervals during a calendar year. The frequency includes biweekly (hourly staff and students) and semi-monthly (salaried and stipends). Data Changes: Any change or update to employee information that is relevant to the generation of a paycheck or benefits, (i.e. name change, address, phone, add or removal of dependents, etc.)

1.0 POLICY STATEMENT 

The Drug-Free Schools and Communities Act of 1989 requires Clark Atlanta University as an institution of higher education receiving Federal funds to certify to the Secretary of Education that it has adopted and implemented an antidrug and alcohol abuse program for its students and employees. Accordingly, the University adopts the following policy: 

Clark Atlanta University does not permit or condone the illicit or unauthorized possession, use, consumption, sale, or distribution of illegal drugs and/or alcohol by its students or employees on its property or as part of its activities. This policy applies to all full-time and part-time students; and all full-time and part-time permanent and temporary employees, including faculty, administration, all exempt and nonexempt staff, and any student employees and interns. 

Students who violate this policy will be subject to appropriate disciplinary action consistent with local, state, and federal laws, and University policies and procedures which may include counseling, a reprimand and warning, disciplinary probation, suspension, expulsion, and referral to the proper law enforcement authorities for prosecution. Employees who violate this policy will be subject to appropriate disciplinary action consistent with local, state, and federal laws, which may include counseling, mandatory participation in an appropriate rehabilitation program, a warning, placement on strict probation, unpaid suspension from employment, termination of employment and referral to the proper law enforcement authorities for prosecution. All disciplinary procedures and appeals presently applicable to students and all categories of employees will continue to be available for violation of this policy. The purpose of this policy is to produce a workplace and campus environment that discourages the unauthorized or illegal use of drugs and alcohol by students and employees. The following is information that is important for each student and employee to read and understand regarding the legal penalties and the health risks that are associated with alcohol and drug abuse. 

2.0 APPLICABLE LAWS 

Most people know that selling illicit drugs is a criminal offense punishable by a fine or imprisonment depending on the specific offense and other factors such as prior convictions for similar offenses. Most people also know that driving while intoxicated is against the law and can result in driver's license revocation or even imprisonment, in some cases. It is less well known that an individual under the age of 21 could be arrested and prosecuted for purchasing, or even attempting to purchase, alcohol. The following is a brief overview of local, state, and federal laws governing the possession, use, and distribution of illicit drugs and alcohol. It is not intended to be an exhaustive or definitive statement of various laws, but rather is designed to indicate the types of conduct that are against the law and the range of legal sanctions that can be imposed for such conduct. 

2.0.1 Alcohol Laws 

Open Container Law. The City of Atlanta, like many other cities, towns, and villages, has an ordinance prohibiting the consumption of an alcoholic beverage in any public place or on private property without the owner's permission or possession of an open container of such beverage.

Such permission on all University property must be specifically requested and granted in writing by an authorized official. Violations of the ordinance are punishable by a fine of up to $150 and/or imprisonment for up to 15 days. 

Georgia Alcoholic Beverage Control Law. 

All states prohibit persons from selling or giving any alcoholic beverage to a minor (defined in Georgia as under age 21) or to a person who is already intoxicated. It is also an offense in Georgia, punishable by a fine of up to $200 and/or imprisonment for up to 5 days, to misrepresent the age of a minor for the purpose of inducing the sale of an alcoholic beverage. Any minor who uses false identification or the identification of another person to purchase an alcoholic beverage can be convicted and fined up to $100 and/or sentenced to probation for up to one year. In addition, a minor can be arrested and fined up to $50 for possessing an alcoholic beverage with the intent to consume it. 

Georgia Vehicle and Traffic Law. 

All states prohibit drinking and driving. In Georgia, it is a misdemeanor punishable by a fine of at least $350 and/or imprisonment for up to one year (as well as suspension and/or revocation of your driver's license) to operate a motor vehicle with a blood alcohol content of one-tenth of one percent or higher. Multiple convictions can result in more serious penalties. 

2.0.2 Legal Sanctions Concerning Drugs and Alcohol 

State of Georgia Law 

Georgia statutes cover a wide range of drug offenses including the offer, sale, possession with the intent to sell, gift and the mere possession of various types of drugs [O.C.G.A. 16-13-30, 16- 13-31, 16-13-32.4 (1990)]. The state laws create the following mandatory/minimum prison sentences for first-time offenders: 

Two (2) years for the purchase, possession, or control of any controlled substance. Five (5) years for the manufacture, delivery, distribution, dispensing, administering, sale, or possession with intent to distribute any controlled substance. One (1) year for the purchase, possession, or control of a drug or other substance that has a low to moderate potential for abuse, low physical dependence or high psychological dependence. 

The state laws create the following mandatory minimum prison sentences and fines for trafficking in cocaine, illegal drugs, or marijuana: 

Ten (10) years and a fine of $200,000 for the sale, manufacture, delivery or bringing into the state 28 grams or more, but less than 200 grams, of cocaine, including "crack." Five (5) years and a fine of $50,000 for the sale, manufacture, delivery or bringing into the state, or possession of four (4) grams or more of any morphine or opium, including heroin. Five (5) years and a fine of $100,000 for the sale, manufacture, growth, delivery, or bringing into the state, or possession of 50 pounds or more, but less than 2,000 pounds, of marijuana. 

Convictions for drug-related offenses involving minors or in the proximity of elementary or secondary schools or school boards used for elementary or secondary education shall carry the following mandatory sentences in addition to any term of imprisonment imposed for violations of the statutes which prohibit the distribution, sale, and possession with intent to sell controlled substances or marijuana: 

No person shall allow or require a person in his employment under 18 years of age to dispense, serve, sell or take orders for any alcoholic beverages. It is unlawful for a person to furnish, sell, barter, or exchange alcoholic beverages to a person who is noticeably intoxicated. Fine of not less than $300.00 nor more than $1,000, and not less than ten (10) days nor more than one (1) year imprisonment for driving under the influence of alcohol or drugs for first-time offenders. An alcohol concentration of 0.10 grams or more denotes a presumption that a person is under the influence of alcohol. An alcohol concentration of 0.12 grams at the time or within three (3) hours after, during, or being in actual physical control of a moving vehicle is deemed to be driving under the influence of alcohol or drugs. 

Not more than twenty (20) years or a fine of not more than $20,000, or both for the manufacture, distribution, dispensing, possession with intent to distribute a controlled substance or marijuana in, on, or within 1,000 feet of any real property owned by, or leased to, any public or private elementary, secondary school, or school board used for elementary or secondary education. Actual sentences depend upon the severity and the circumstances of the offenses and the character and background of the offender. 

Georgia law prohibits the sale, delivery, giving or taking of alcohol to or from minors or intoxicated persons. [O.C.G.A. 3-3-23, 3-3-23.1, 3-3-22, 3-3-24]. Georgia law also prohibits driving under the influence of alcohol or drugs. [O.C.G.A. 40-6-391, 40 6-392]. Georgia statutes create the following mandatory minimum fines and sentences for first-time offenders: 

Not more than 30 days imprisonment, or a fine of not more than $300.00, or both upon the first conviction of furnishing to, purchasing of, or possessing alcoholic beverages by persons under 21 years of age. 

Federal Law 

Federal drug laws parallel Georgia's drug laws in many respects. For example, it is a federal offense to manufacture, distribute, or possess with intent to distribute, a controlled substance or a counterfeit controlled substance. As under the Georgia Penal Code, any property associated with the unlawful handling of controlled substance may be forfeited to the authorities. Federal law also provides that a person age 18 or older who distributes a controlled substance to a person under 21 years of age may be sentenced to a term of imprisonment and/or a fine of up to twice the amount authorized for distribution to a person over the age of 21. 

An important sanction under federal law is that persons convicted of any federal or state offense involving possession of a controlled substance are ineligible to receive any or all federal benefits (e.g., social security, student loans) for up to one year. If the offense involves distribution of a controlled substance, the guilty person could be ineligible for any or all federal benefits for up to 5 years. 

There are both federal and state laws specifically dealing with the distribution or manufacturing of controlled substances in or near schools or colleges. For example, federal law provides that a drug offense committed within 1,000 feet of school property, including universities, is punishable by a term of imprisonment and a fine of up to twice the amount authorized for the same offense committed away from school property.

3.0 Health Risks and Use of Illicit Drugs 

Drugs and alcohol are toxic to the human body and if abused can have catastrophic health consequences. Some drugs, such as crack, are so toxic that even one experimental use can be fatal. The following is a summary of the various health risks associated with alcohol abuse and use of specific types of drugs; it is not intended to be an exhaustive or final statement of all possible health consequences of substance abuse. 

3.0.1 Alcohol Use and Abuse 

Alcohol is the most widely used and abused drug in the United States. Alcohol consumption has acute effects on the body and causes a number of marked changes in behavior. Even low doses significantly impair the judgment and coordination required to drive a car safely, increasing the likelihood that the driver will be involved in an accident. Low to moderate doses of alcohol also increase the incidence of a variety of aggressive acts, including spouse and child abuse, as well as dangerous risk-taking behavior. Moderate to high doses of alcohol cause marked impairments in higher mental functions, severely altering a person's ability to learn and remember information. Very high doses cause respiratory depression and death. If combined with other depressants of the central nervous system, much lower doses of alcohol can be fatal. Alcohol-related automobile accidents are the number one cause of death among people ages 15 through 24. Furthermore, approximately fifty percent (50%) of all youthful deaths from drowning, fires, suicide, and homicide are alcohol-related. Repeated use of alcohol can lead to physical and psychological dependence. Dependent persons who suddenly stop drinking are likely to suffer withdrawal symptoms, including severe anxiety, tremors, hallucinations, and convulsions. Alcohol withdrawal can be life threatening. Long-term consumption of large quantities of alcohol, particularly when combined with poor nutrition, can also lead to permanent damage to vital organs such as the brain and the liver. Mothers who drink alcohol during pregnancy may give birth to infants with fetal alcohol syndrome. These infants have irreversible physical abnormalities and mental retardation. In addition, research indicates that children of alcoholic parents have an increased risk themselves of becoming alcoholics. 

3.0.2 Use of Illicit Drugs 

Drugs interfere with the brain's ability to take in, sort, and synthesize information. They distort perception, which can lead users to harm themselves or others. Drug use also affects sensation and impairs memory. In addition to these general effects, the specific health risks associated with particular types of drugs are as follows.

3.0.3 Cocaine and Crack 

Cocaine use is the fastest growing drug problem in the United States. One reason for this is the ready availability of cocaine in a cheap but potent form called "crack" or "rock." Cocaine stimulates the central nervous system. Its immediate effects include dilated pupils and elevated blood pressure, heart rate, respiratory rate, and body temperature. Occasional use can cause a stuffy or runny nose, while chronic use can ulcerate the mucous membrane of the nose. Injecting cocaine with contaminated equipment can cause AIDS, hepatitis, and other diseases. Preparation of freebase, which involves the use of volatile solvents, can result in death or injury from fire or explosion. Cocaine can produce psychological and physical dependency, a feeling that the user cannot function without the drug. In addition, tolerance develops rapidly and leads to higher and higher doses to produce the desired effect. 

"Crack" or freebase rock is a purified form of cocaine that is smoked. "Crack" is far more addictive than heroin or barbiturates. Repeated use of "crack" can lead to addiction within a few days. Once addicted, many users have turned to stealing, prostitution, and drug dealing in order to support their habit. The effects of crack are felt within 10 seconds. The physical effects include dilated pupils, increased pulse rate, elevated blood pressure, insomnia, loss of appetite, tactile hallucinations, paranoia, and seizures. Continued use can produce violent behavior and psychotic states similar to schizophrenia. Cocaine, in any form, but particularly in the purified form known as "crack," can cause sudden death from cardiac arrest or respiratory failure.

3.0.4 Marijuana 

Marijuana use causes a substantial increase in the heart rate, bloodshot eyes, a dry mouth and throat, increased appetite, and it may impair short-term memory and comprehension, alter sense of time, and reduce ability to perform tasks requiring concentration and coordination, such as driving a car. Research also shows that motivation and cognition may be altered, making the acquisition of new information difficult. When marijuana contains 2% THC, it can cause severe psychological damage, including paranoia and psychosis. Since the early 1980s, most marijuana has contained from 4 to 6% THC two or three times the amount capable of causing serious damage. Because users often inhale the unfiltered smoke deeply and then hold it in their lungs as long as possible, marijuana is damaging to the lungs and pulmonary system. Marijuana smoke contains more cancer-causing agents than tobacco smoke. Long-term users of marijuana may develop psychological dependence and require more of the drug to get the same effect. The drug can become the center of their lives. 

3.0.5 Narcotics 

Narcotics such as heroin, codeine, and morphine initially produce a feeling of euphoria that often is followed by drowsiness, nausea, and vomiting. Users also may experience constricted pupils, watery eyes, and itching. An overdose may produce slow and shallow breathing, clammy skin, convulsions, coma, and possible death. Tolerance to narcotics develops rapidly and dependence is likely. The use of contaminated syringes may result in diseases such as AIDS, endocarditis, and hepatitis. Addiction in pregnant women can lead to premature, stillborn, or addicted infants who experience severe withdrawal symptoms. 

3.0.6 Amphetamines/Other Stimulants 

Amphetamines (speed, uppers), methamphetamines, and other stimulants can cause increased heart and respiratory rates, elevated blood pressure, dilated pupils, and decreased appetite. In addition, users may experience sweating, headache, blurred vision, dizziness, sleeplessness, and anxiety. Extremely high doses can cause a rapid or irregular heartbeat, tremors, loss of coordination, and even physical collapse. An amphetamine injection creates a sudden increase in blood pressure that can result in stroke, very high fever, or heart failure. In addition to the physical effects, users report feeling restless, anxious, and moody. Higher doses intensify the effects. Persons who use large amounts of amphetamines over a long period of time can develop an amphetamine psychosis that includes hallucinations, delusions and paranoia. 

3.0.7 Barbiturates and Other Depressants 

Barbiturates (downers), methaqualone (quaaludes), tranquilizers (Valium), and other depressants have many of the same effects as alcohol. Small amounts can produce calmness and relaxed muscles, but somewhat larger doses can cause slurred speech, staggering, and altered perception. Very large doses can cause respiratory depressants, coma, and death. The combination of depressants and alcohol can multiply the effects of the drugs, thereby multiplying the risks. The use of depressants can cause both physical and psychological dependence. Regular use over time may result in a tolerance to the drug, leading the user to increase the quantity consumed. When regular users suddenly stop taking large doses, they may develop withdrawal symptoms ranging from restlessness, insomnia, and anxiety, to convulsions and death. Babies born to mothers who abuse depressants during pregnancy may be physically dependent on the drugs and show withdrawal symptoms shortly after they are born. Birth defects and behavioral problems may also result. 

3.0.8 Hallucinogens 

Phencyclidine (PCP, Angel Dust) interrupts the functions of the part of the brain that controls the intellect and instincts. Because the drug blocks pain receptors, violent PCP episodes may result in self-inflicted injuries. The effects of PCP are predictable and can vary, but users frequently report a sense of distance and estrangement, and body movement is slowed down. Muscular coordination worsens and senses are dulled. Speech is blocked and incoherent. Chronic users of PCP report persistent memory problems and speech difficulties. Mood disorders also occur. In later stages of chronic use, users often exhibit paranoid and violent behavior and experience hallucinations. Large doses may produce convulsions and coma, as well as heart and lung failure. Lysergic acid (LSD, Acid), mescaline, and psilocybin (mushrooms) cause illusions and hallucinations. The physical effects may include dilated pupils, elevated body temperature, increased heart rate and blood pressure, loss of appetite, sleeplessness, and tremors. Sensations and feelings may change rapidly. It is common to have a bad psychological reaction to LSD, mescaline, and psilocybin. The user may experience panic, confusion, suspicion, anxiety, and loss of control. Delayed effects or flashbacks can occur even after use has ceased.

3.0.9 Designer Drugs "Designer Drugs" are produced by underground chemists who attempt to avoid legal definitions of controlled substances by altering their molecular structure. These drugs can be several hundred times stronger than the drugs they are designed to imitate. Some designer drugs have been known to cause permanent brain damage with a single dose. Many so-called designer drugs are related to amphetamines and have mild stimulant properties but are mostly euphoriants. They can cause nausea, blurred vision, chills or sweating and faintness. Psychological effects include anxiety, depression, and paranoia. As little as one dose can cause severe neurochemical brain damage. Narcotic designer drugs can cause symptoms such as those in Parkinson's disease: uncontrollable tremors, drooling, impaired speech, paralysis, and irreversible brain damage.

3.0.10 Inhalants 

The immediate negative effects of inhalants (laughing gas, whippets) include nausea, sneezing, coughing, nosebleeds, fatigue, lack of coordination, and loss of appetite. Solvent and aerosol sprays also decrease the heart and respiratory rates and impair judgment. Amyl and butyl nitrite cause rapid pulse, headaches, and involuntary passing of urine and feces. Long-term use may result in hepatitis or brain damage. Deeply inhaling the vapors, or using large amounts over a short time, may result in disorientation, violent behavior, unconsciousness, or death. High concentrations of inhalants can cause suffocation by displacing the oxygen in the lungs, or by depressing the central nervous system to the point that breathing stops. Long-term use can cause weight loss, fatigue, electrolyte imbalance, and muscle fatigue. Repeated sniffing of concentrated vapors over time can damage the nervous system permanently. 

3.0.11 Anabolic Steroids 

Steroid users subject themselves to more than 70 side effects ranging in severity from liver cancer to acne and including psychological as well as physical reactions. The liver, cardiovascular and reproductive systems are affected most seriously by steroid use. In males, use can cause withered testicles, sterility, and impotence. In females, irreversible masculine traits can develop along with breast reduction and sterility. Physical effects in both sexes include jaundice, purple or red spots on the body, swelling of the feet or lower legs, trembling, unexplained darkening of the skin, and persistent unpleasant breath odor. Psychological effects in both sexes include very aggressive behavior known as "roid rage" and depression. While some side effects appear quickly, others, such as heart attacks and strokes, may not show up for years. 

4.0 COUNSELLING SERVICES 

The Clark Atlanta University Counseling and Disability Services Center (CADS) provide confidential, professional assessment, behavioral mental health, psycho-education and referral services to CAU students. These services are rendered by licensed mental health professionals at no cost to CAU students in an effort to resolve personal problems and concerns, as well as to enhance overall psychological and interpersonal well-being. The CADS provides both short-term and long-term counseling services for any presenting problem area. No problem is too big or too small for the services of the CADS. In some cases, it may be necessary to refer students to external resources to augment the counseling received at the CADS (for example, referrals for acute treatment or hospitalization, or support groups such as Alcoholics Anonymous). When referrals are made, the CADS professional staff will coordinate the referral and conduct ongoing case management. The CADS staff members encourage students to contact CADS before an issue becomes impairment and before a concern becomes a crisis. The staff will answer questions and respond to any inquiries to assist with problem resolution and lifestyle enhancement. 

For CAU employees, including faculty, staff, administration, the University provides the Employee Assistance Program (EAP) for counseling related to substance abuse and/or other personal issues. The EAP is a free confidential service to help address the personal issues CAU employees or their dependents are facing. This service, staffed by experienced clinicians, is available by calling a toll free phone line available 24 hours a day, seven days a week or by contacting the service through the contact information below. A Guidance Coordinator will refer the CAU employee or dependent to a local counselor for up to five face-to-face counseling sessions per problem, at no per session charge, or to other resources in the community. CAU employees or their dependents may call any time with personal concerns, including: > Relationships > Job pressures > Problems with children > Marital conflicts > Substance abuse > Grief and loss > Stress, anxiety or depression > Empty-nesting

Further information may be found through CAU’s web site at: http://www.cau.edu/gen_info/hr/GuidResOverview.pdf 

Call any time toll-free: 877.327.4753 TDD: 800.697.0353 or Online: guidanceresources.com Enter ID: ZB3042Q.

4.0.1 Education and Prevention 

The Clark Atlanta University Counseling and Disability Services Center (CADS) uses a multi-level prevention model to educate and remediate students in the area of alcohol and substance use, abuse and dependence. 

4.0.2 Primary Prevention 

The CADS Center seeks to increase students’ knowledge and awareness about the effects of alcohol and drug (A&D) use through a myriad of educational programs, which begins in freshman orientation with the CAU Experience. During the CAU Experience, all incoming students participate in a healthy lifestyles workshop where they are exposed to information pertaining to alcohol and drug use, abuse and dependence. An alcohol and drug awareness program is also offered during the fall semester (in either late September or early October) as a part of Red Ribbon month. In addition, the Center provides A&D programs upon request in the residence halls and with any organization on campus. The Center additionally disseminates educational material about the effects of alcohol and drug use & abuse at all of its programs and in its office at all times. 

4.0.3 Secondary Prevention 

The CADS licensed mental health professionals encourage students to seek counseling when they first experience any challenges with alcohol and/or drug use (i.e., before an issue becomes impairment). Following an initial comprehensive assessment, the student will be involved in an individualized treatment plan to address issues related to alcohol and/or substance use or abuse. At this stage of intervention, students generally self-refer for services. Counseling services rendered by the CADS are strictly confidential.

4.0.4 Tertiary Prevention 

There are occasions when CAU students encounter significant difficulties with alcohol and/or other drugs and are referred to the Counseling & Disability Services Center (such as by Judicial Affairs, Residence Life, metropolitan court systems, etc.) for an assessment and remediation, if treatment can be effectively and appropriately rendered by the CADS. Following a comprehensive assessment, these students are strongly encouraged to participate in an individualized treatment program designed to address their presenting problems. An external referral occurs in pronounced cases of alcohol and/or drug dependence. 

5.0 CONTACT INFORMATION FOR COUNSELLING SERVICES 

For CAU Students: Clark Atlanta University Counseling and Disability Services Center (CADS) 223 James P. Brawley Drive, S.W. 242 Bishop Cornelius Henderson Student Center and 210 Kresge Hall Atlanta, Georgia 30314 (404) 880-8044 

For CAU employees (including faculty, staff, administration): Call any time toll-free: 877.327.4753 TDD: 800.697.0353 or Online: guidanceresources.com Enter ID: ZB3042Q

1.0 Policy Statement 

While on Clark Atlanta University (CAU) property and at CAU controlled sites and activities, employees, students, and visitors are prohibited from introducing, transporting, storing, possessing, using, buying, or selling unauthorized weapons, firearms, ammunition, explosives, pepper spray, mace or other items deemed by campus police to be dangerous. This policy applies during, before or after regular class or work hours. 

2.0 Procedure Narrative 

A safe and secure environment is a fundamental prerequisite for fulfilling the mission of Clark Atlanta University. CAU is committed to maintaining a workplace that is free of violence. This obligation includes eliminating recognized hazards from campus that contribute to violence or serious harm. 

2.1 Violation of this Policy 

Violation of this policy is considered to be a serious offense that endangers the safety of the CAU community. Therefore, violations by employees or students may result in immediate termination of employment or expulsion from Clark Atlanta University. 

Visitors to CAU that violate this policy will be required to leave the premises immediately or will be subject to arrest. 

Any employee who becomes aware of a violation of this policy is required to immediately notify the Public Safety Department or his or her supervisor. 

Any student who becomes aware of a violation of this policy should contact the Public Safety Department, Residence Hall Director, or the office of the Vice President of Enrollment and Student Affairs. 

Entities Affected By This Policy 

All University Employees, Students, and guests . 

3.0Definitions 

CAU Controlled Activities include any event on campus or any University sanctioned functions off-campus that are intended solely for CAU employees, students or invited guests. These activities include, but are not limited to, graduation events, coronations, receptions, meetings, and conferences.

An Unauthorized firearm includes any firearm, regardless of whether the owner has a valid permit to possess or carry the firearm. The following firearms are excluded from this definition: 

1. A firearm in the possession of a law enforcement officer who is authorized to possess the firearm either on or off duty, by the employing law enforcement agency 

2. A firearm in the possession of a person who has received prior written authorization from the CAU Director of Public Safety (Chief of Police) to possess the firearm on campus or at off campus events. 

CAU controlled sites include any facility that is leased or rented permanently or temporarily by the University to conduct an activity intended primarily for faculty, staff, students , or invited guests of the University. 

CAU property includes grounds, parking lots, parking areas, sidewalks, walkways, vehicles, and buildings on campus or at satellite locations that are owned or occupied by the University.

5.0 Desktop Procedures 

Step Action 

1 Any employee who becomes aware of a violation of this policy is required to immediately notify the Public Safety Department or his or her supervisor 

2 The Public Safety Department will conduct an investigation of the reported violation 

3 Employees found to be in violation of this policy may be terminated immediately

1.0 Policy Statement 

Clark Atlanta University (commonly referred to as “CAU or “University” within this policy) is committed to ensuring a safe learning environment that supports the dignity of all members of the CAU community. As a recipient of federal funds, the University complies with Title IX of the Higher Education Amendments of 1972, 20 U.S.C. § 1681 et seq. ("Title IX") and therefore prohibits discrimination on the basis of sex, pregnancy, sexual orientation, gender, gender identity, gender expression, and parental status in its education programs or activities, including, but not limited to, admissions processes and extracurricular activities. In compliance with Title IX, the University is and remains committed to: 

• Providing programs, activities, and an educational environment free from Sex Discrimination and Sexual Misconduct; 
• Fostering an environment that encourages prompt reporting of all types of Sexual Misconduct and Sex Discrimination and a timely response to reports and formal complaints; 
•  Providing adequate, prompt, fair and impartial investigations into and resolution of formal complaints of Sexual Misconduct and Sex Discrimination; and 

• Ensuring that Title IX processes are conducted by University officials who receive annual training on the issues related to Sexual Misconduct and Sex Discrimination, and on how to conduct an investigation and hearing process that is fair and impartial. 

  This Sex Discrimination and Sexual Misconduct Policy (hereinafter “Policyˮ) prohibits specific forms of behavior that violate Title IX and are antithetical to the educational mission of CAU. This Policy is not intended to inhibit or prohibit educational content or discussions inside or outside of the classroom that include controversial or sensitive subject matters protected by academic and First Amendment freedoms. 

  All relevant terms are defined in Appendix A to this Policy, and CAU will review, evaluate, and make any revisions or amendments to this Policy on an ongoing and as-needed basis. General inquiries about the application of this Policy and the related grievance procedures should be directed to the University’s Title IX Coordinator: 

  Ramona Roman HR Business Partner & Title IX Coordinator Clark Atlanta University 

  223 James P. Brawley Drive SW, Harkness Hall, Room 206 Atlanta, Georgia 30314 

  Direct Dial: 404-880-6158 | Fax: 404-880-6115 Email: rroman@cau.edu 

  As used throughout this Policy, references to the Title IX Coordinator shall include the Title IX Coordinator and any other person expressly designated by the Title IX Coordinator to act on their behalf.

2.0 Purpose and Scope 

This Policy applies to all CAU community members, including students, faculty, administrators, staff, and any individuals regularly or temporarily employed, studying, living, visiting, conducting business or having any official capacity with the University or on University property. It further pertains to Reports and Formal Complaints of alleged Sex Discrimination and Sexual Misconduct involving CAU students, faculty, staff, or employees as Complainants or Respondents, including instances between employees only.

This Policy and its corresponding grievance procedures attached hereto as Appendix B are intended to outline the rights of, identify supports for and guide individuals who are involved in grievance proceedings following a Report or Formal Complaint of Sex Discrimination and Sexual Misconduct (as defined below), whether as a Complainant or Reporter, a Respondent, or as a witness. 

Any persons designated by CAU to have the authority to address or duty to report alleged sex-based discrimination, sexual misconduct and/or retaliation but who fails to address or report alleged sex-based discrimination, sexual misconduct and/or retaliation of which they have actual knowledge, may be subjected to sanctions up to and including termination of employment, dismissal or expulsion. 

Because of the University’s commitment to maintaining an environment that supports CAU’s educational mission, the University also prohibits romantic, sexual, and exploitative relationships between University employees and students. In the event that any such relationship is reported and confirmed, the employee is subject to employee disciplinary procedures up to and including termination in the case of administrators and staff members, or dismissal for cause in the case of faculty members. The policies and procedures for employee disciplinary procedures and dismissal for cause apply in all such cases. 

There are exceptional circumstances in which the spouse or partner of a University employee is a student at the University. This policy provision does not apply in such circumstances. The Provost and Vice President for Academic Affairs, in consultation with the Title IX Coordinator, is the administrative officer who determines whether an exceptional circumstance applies. 

Nothing in this policy shall prevent the University from addressing employee complaints of sexual harassment under Title VII of the Civil Rights of Act of 1964, when implicated. 

3.0 Application of Policy 

This Policy, as amended and implemented on August 14, 2020, shall apply to all Reports and Formal Complaints received after August 14, 2020, regardless of the date of the alleged incident. It shall not apply to cases pending prior to August 14, 2020, as the prior iteration of this Policy shall apply to those cases. General inquiries about the application of Title IX also can be directed to the U.S. Department of Education’s Office for Civil Rights. 

4.0 Jurisdiction and Authority 

CAU, through the Title IX Coordinator or any other designee, has jurisdiction over and the authority to receive Reports by any member of the CAU community that invoke Title IX. However, the University will only investigate, hear and resolve Formal Complaints signed by the Title IX Coordinator or brought by a Complainant who is participating in or attempting to participate in an educational program or activity of CAU at the time the Formal Complaint is filed. CAU is authorized to take certain actions to address or remedy Sex Discrimination and Sexual Misconduct in instances only where it has actual knowledge (as defined by Title IX regulations) of the alleged conduct. The Title IX Coordinator is ultimately authorized to implement procedures that include specific instructions for making Reports and investigating and resolving Title IX Formal Complaints. CAU, through the Title IX Coordinator or any other designee, has the authority to institute corrective measures under this Policy as it relates to conduct occurring on University property; at Universitysanctioned events or programs that take place off campus, including, for example, internship programs; or at events or programs hosted by University-recognized organizations that take place off campus within the United States. This Policy may apply regardless of the location of the incident, for conduct other than Sexual Misconduct (as defined in this Policy), if it is likely to have a substantial adverse effect on, or poses a threat of danger to, the educational opportunities provided by the University i.e., if it involves or affects a student’s educational experience at the University. Any individual found to have violated this Policy will be subject to disciplinary action up to and including termination for employees, staff, and faculty and expulsion for students. Certain behavior may violate the University’s Policy even when it does not constitute a violation of law. 

The University encourages anyone who has witnessed or experienced an incident of Sexual Misconduct or Sex Discrimination to report it regardless of where the incident occurred, or who committed it. Even if the University does not have jurisdiction over the alleged conduct or Respondent, the University may take prompt action to provide for the safety and well-being of any affected person and the broader University community. The University retains the right to utilize different processes to investigate, hear and adjudicate incidents involving students, employees, staff and faculty that do not invoke the prohibited conduct outlined in this Policy. 

There may be cases where the University’s jurisdiction or authority over individuals who are not subject to this Policy (e.g., Respondents who are students of another college or university, including other colleges in the Atlanta University Center) is limited. In such cases, the Title IX Coordinator will ensure that the Reporter (of Complainant, if applicable) is offered supportive measures and promptly updated on the status of their Report or Formal Complaint, if applicable.

5.0 Retaliation and False Accusations 

CAU expressly prohibits retaliation against anyone who: 1) in good faith, reports what they believe is Sexual Misconduct or Sex Discrimination, 2) participates in any investigation or proceeding under this Policy, or 3) opposes conduct that they believe to violate this Policy. Retaliation includes intimidation, harassment, threats, or other adverse action or speech against the person who reported the misconduct, the parties, and their witnesses, including actions taken on social media or through other virtual means, such as email, text or video communications. 

CAU will not only take steps to prevent retaliation, but it will also take strong corrective action if it occurs. Anyone who believes they have been the victim of retaliation should immediately contact the Title IX Coordinator. Reports of suspected retaliation may be filed as Formal Complaints and provided the same formal grievance process and procedures as outlined in this Policy, or the suspected retaliation may be handled under the applicable Student Code of Conduct provision (for students) or other University antidiscrimination policy (for employees). 

Any individual found to have retaliated against another individual who engaged in conduct consistent with the protections afforded under this Policy will be in violation of this Policy and will be subject to disciplinary action, up to and including termination for employees, staff, and faculty and expulsion for students. Anyone who knowingly makes a false accusation of unlawful discrimination, harassment, or retaliation of any form will be subject to an investigation for a potential violation of this Policy and may be subject to disciplinary action, up to and including termination for employees, staff, and faculty and expulsion for students. 

6.0 General Policy Implementation Considerations

6.1 Time Limitations for Reporting 

There is no time limit for reporting incidents of Sex Discrimination or Sexual Misconduct under this Policy, although CAU encourages prompt reporting of incidents to minimize the risk of losing relevant information, evidence, and reliable witness testimony, and impairment of the University’s ability to fully address the incident. Any individual who has been subjected to, or who knows of or has witnessed, an incident of Sex Discrimination or Sexual Misconduct is encouraged to report the incident or file a Formal Complaint immediately in order to maximize the University’s ability to obtain information and conduct an adequate, thorough, prompt, and impartial investigation into the incident. The University will attempt to resolve most cases of Sexual Misconduct or Sex Discrimination, excluding appeals, within a reasonable timeframe, i.e. 120 days. 

If an individual wishes to file a claim with the U.S. Department of Education’s Office for Civil Rights, they must do so within 180 days of the incident based on the time limits for adjudication set by that agency. 

6.2 Amnesty for Complainants, Reporters and Witnesses 

CAU strongly encourages individuals who have been involved in, or who know of, or have witnessed, incidents of Sex Discrimination or Sexual Misconduct to report such incidents as soon as possible. The University recognizes that students involved (e.g. as witnesses, bystanders, third parties, or Complainants) who have violated the University’s drug and alcohol policy may be hesitant to report out of fear of sanction. Therefore, in order to encourage reporting in all situations, anyone who reports or experiences Sex Discrimination or Sexual Misconduct may be granted amnesty for any violation of the University’s drug and alcohol policy that occurred in connection with the reported incident. CAU intends to grant amnesty for all but the most egregious violations of the University’s drug and alcohol policy; however, individuals may be provided with resources on drug and alcohol counseling and/or education, as appropriate. 

However, CAU Code of Student Conduct and/or other University policy violations discovered during the Title IX investigation will be referred to the appropriate office for review and corrective action, if needed. 

6.3 Emergency Removal 

The University is permitted to remove a Respondent from its education program or activity on an emergency basis if it undertakes an individualized safety and risk analysis and determines that an immediate threat to the physical health and safety of any student or individual arising from the allegations of Sexual Misconduct or Sex Discrimination justifies removal. The Respondent will be provided with notice of such emergency removal and an opportunity to challenge the decision immediately following the removal.

6.4 Administrative Leave 

The University is permitted to place a non-student Respondent (i.e. University employees) on administrative leave, with or without pay, during the pendency of any portion of the grievance process. 

In cases where the Respondent who has been placed on administrative leave (or upon whom some other temporary/interim administrative action has been imposed) during the pendency of the grievance process falls into one or more of the following categories, the University will also comply with federal mandates that require federal grant recipient institutions to notify relevant federal grant agencies of said temporary/interim administrative action: 

• Anyone who is a principal investigator (PI) or co-PI identified on an award from the National Science Foundation (NSF); 
• Anyone who is a principal investigator (PI), co-PI, or other senior key University personnel identified on an award from the National Institute of Health (NIH); or 

• Anyone identified on any other award from a relevant federal grant agency that requires such reporting.

  6.5 Reporting Incidents of Sex Discrimination or Sexual Misconduct 

  Anyone can report incidents of Sex Discrimination and Sexual Misconduct to CAU under the grievance procedures outlined in Appendix B to this Policy, and they may even do so anonymously. Upon receipt of a Report, CAU will: (1) promptly contact the person alleged to be the victim or survivor of the reported conduct to offer and discuss the availability of supportive measures (as defined in this Policy); (2) consider the wishes of the alleged victim or survivor with respect to supportive measures; (3) inform the alleged victim or survivor of the availability of supportive measures with or without the filing of a Formal Complaint; and (4) explain the process for filing a Formal Complaint. That means that not every Report will become a Formal Complaint. However, the University may convert any Report to a Formal Complaint if it determines that it must take further steps to protect the CAU community. The University strongly encourages all individuals to report incidents of Sexual Misconduct and Sex Discrimination, even if the individual does not intend to pursue a Formal Complaint. No person should assume that an incident has already been reported by someone else or that the University already knows about a situation. 

  6.5.1 On-Campus Reporting Options 

  To make a Report to CAU, a reporting individual may do one or more of the following: 

• Report the incident to the Title IX Coordinator via telephone at 404-880-6158 or email at rroman@cau.edu. 
• Notify the Title IX Coordinator of any incident of alleged Sex Discrimination or Sexual Misconduct will trigger the provision of supportive measures to all involved parties. 
• Report the incident to CAU Public Safety staff, Student Affairs Administrators (Director of Student Conduct and Associate Dean of Students), CAU Athletics Director, Senior Associate Athletic Director of Compliance, Senior Women’s Administrator, any Academic Dean, or the University Provost and Vice President of Academic Affairs. 

• Report the incident to any Assistant Director of Residence Life if the student is living in on-campus student housing. 

  All of the individuals listed above have been designated to receive a Report under this Policy and are considered Mandatory Reporters, which are individuals who are required by the University to report any knowledge they receive of possible violations of this Policy to the Title IX Coordinator. Mandatory Reporters must also relay all known information about any reported Policy violation, including but not limited to: the names of involved individuals, the nature of the incident, and the time and location of the incident. Once the Title IX Coordinator learns of any incident of alleged Sex Discrimination or Sexual Misconduct from a Mandatory Reporter, the Title IX Coordinator will offer supportive measures to the Complainant and provide the option to file a Formal Complaint. Supportive measures will also be offered to the Respondent. 

  No other students are obligated to report knowledge they may have of Sexual Misconduct, including student employees of CAU who are considered students and not staff for purposes of this Policy and who are not Mandatory Reporters. 

  After making a Report, an individual who has made the Report may choose to end involvement in the process, may choose to accept or not accept the University-provided supportive measures, or may choose to file a Formal Complaint and pursue Formal Resolution or, if applicable, an Informal Resolution Conference involving the Respondent. 

  6.5.2 Making a Disclosure Utilizing On-Campus Confidential Resources 

  Individuals can confidentially discuss incidents of Sex Discrimination and Sexual Misconduct with the following University’s “confidential resources” staff: 

• Any member of the Office of Counseling and Disability Services Center staff- (404) 880-8044; and 

• Any member of the Religious Life staff. 

  Disclosures made to these confidential resources will be held in strict confidence, and will not constitute a Report to CAU under this Policy. These confidential resources may assist individuals with reporting incidents or filing Formal Complaints if, and only if, they are requested to do so by the individual who has reported the sexual misconduct. 

  Specific and personally identifiable information given to one of these confidential resources will not be disclosed to the Title IX Coordinator without consent. However, in order to assist the University in collecting data and identifying patterns or systematic problems related to sexual violence on and off campus, the “confidential resources” staff will convey general information about the incident (i.e. nature, time and location of incident) to the Title IX Coordinator. In such cases, the University will protect confidentiality and avoid disclosing personally identifiable information about individuals involved in the incident. 

  6.5.3 Notifying Off-Campus Law Enforcement Authorities 

  Individuals can notify off-campus law enforcement authorities about any incident of alleged Sexual Misconduct by dialing 911, calling the Atlanta Police Department Special Victims Unit at (404) 546-7896, and/or calling the Grady Hospital Rape Crisis Center at (404) 616-4861. Individuals can also contact other law enforcement agencies, depending on the location of the incident. Notifying off-campus law enforcement authorities will not constitute a Report to CAU under this Policy, but it may or may not result in such authorities reporting relevant information back to CAU which CAU will address pursuant to this Policy.

  Individuals can request assistance from CAU faculty and staff in notifying appropriate law enforcement authorities, which the University will provide. Requesting such assistance from a Mandatory Reporter will constitute a Report under this Policy.

  6.5.4 Anonymous and Confidential Reporting 

  Any individual can make a Report anonymously under this Policy. An individual may report the incident without disclosing their name, identifying the names of other individuals, or requesting any action. However, no investigation into the allegations will occur until a Formal Complaint has been filed. The anonymous reporting form can be found on the University’s Title IX webpage. Employees may anonymously report any alleged violation of this Policy via the Compliance Hotline at 404-589-8006. 

  Additionally, an individual can make a Report disclosing their name but requesting confidentiality. Again, no investigation into the allegations will occur unless a Formal Complaint is filed. The University will, to the extent that it can with the provided information, inform the Complainant of the availability of supportive measures. Individuals should also understand that the University prohibits retaliation and that University officials will take steps to prevent retaliation and also take strong responsive action if it occurs. 

  The University recognizes that, in some instances a Reporter or Complainant may request that their name not be disclosed or that no Formal Complaint be initiated. In such instances, the Title IX Coordinator may find it necessary to initiate a Formal Complaint in order to provide a safe and nondiscriminatory environment for the broader CAU community. However, the University’s ability to proceed with the grievance process may be severely impeded if the Complainant is not identified or does not wish to file a Formal Complaint. 

  In any event, the University will attempt to provide privacy to the greatest extent possible within the confines of the law, and will only share information related to a Report and/or Formal Complaint with a limited circle of individuals who “need to know” the information to assist in review, investigation, and resolution of the Report and/ or Formal Complaint, and related matters. 

  6.5.5 Option to Not Report 

  Except in cases involving Sexual Misconduct against a person under the age of 18 (see Subsection 6.3.6 below), individuals can choose not to notify CAU or any law enforcement authorities about an alleged incident of Sex Discrimination or Sexual Misconduct. 

  6.5.6 Incidents of Sexual Misconduct Involving Minors 

  As stated in relevant part in the University’s “Mandated Reporting of Abuse or Neglect of a Child, Elder Person or Disabled Adult all University” Policy, all University employees, students, and volunteers (when applicable) the University has designated as Mandated Reporters are required to report suspected abuse of persons under the age of 18 (i.e. child abuse). The University also requires all other employees (as well as volunteers, when applicable) to immediately notify Mandated Reporters of suspected child abuse. All University employees and volunteers, regardless of whether they are designated Mandated Reporters, must understand what they are required to report, when it must be reported, and to whom it should be reported. A failure to report suspected child abuse is a violation of state law and University policy and may subject the individual to criminal penalties, loss of employment or expulsion.

  7.0 Formal Complaint Resolution Process 

  7.1 Filing a Formal Complaint of Sex Discrimination or Sexual Misconduct 

  CAU is authorized to take certain actions to address or remedy instances of Sex Discrimination. CAU is also authorized to take certain actions to address and remedy instances of Sexual Misconduct where it has actual knowledge (as defined by Title IX regulations) of the alleged misconduct. If an individual wishes to pursue a formal resolution of an incident of Sexual Misconduct or Sex Discrimination beyond simply reporting it, they may file a Formal Complaint. The filing of a Formal Complaint means that the individual is asking the University to take steps beyond offering supportive measures, such as conducting an investigation and holding a Formal Resolution Hearing to resolve the allegations. However, the University will only investigate, hear and resolve Formal Complaints signed by the Title IX Coordinator or brought by a Complainant who is participating in or attempting to participate in an educational program or activity of CAU at the time the Formal Complaint is filed. 

  The Title IX Coordinator is ultimately authorized to oversee the implementation of procedures that include specific instructions for making Reports and investigating and resolving Formal Complaints. These instructions are outlined in this Policy’s corresponding grievance procedures attached hereto as Appendix B. 

  7.2 Notice of Allegations 

  Upon receipt of a Formal Complaint, a recipient must provide written notices to the parties who are known of the University’s grievance process, including information about its Informal Resolution process, and of the allegations potentially constituting Sexual Misconduct, including sufficient details known at the time and with sufficient time to prepare a response before any initial interview (the “Notice of Allegations”). The Notice of Allegations will also include a statement that the Respondent is presumed not responsible for the alleged conduct and that a determination regarding responsibility is made at the conclusion of the grievance process; inform the parties that they may have an advisor of their choice, who may be, but is not required to be, an attorney; inform the parties that they may inspect and review evidence; and inform the parties of the relevant provisions of the University’s Code of Student Conduct that prohibits knowingly making false statements or knowingly submitting false information during the grievance process. 

  If, in the course of an investigation, the University decides to investigate allegations about the Complainant or Respondent that are not included in the original notice, the University will provide notice of the additional allegations to the parties whose identities are known. 

  7.3 Investigation of a Formal Complaint 

  The investigation of a Formal Complaint may include, as applicable, interviewing the Complainant, the Respondent, and any witnesses; reviewing law enforcement investigation documents; reviewing student and personnel files; and gathering and examining other relevant documents and evidence. 

  An investigator (“Investigatorˮ), who will be separate and distinct from the Title IX Coordinator, will be appointed to investigate allegations made in a Formal Complaint. Following the investigation, the Investigator will draft an investigation report succinctly describing all collected information. The report will be delivered to the Title IX Coordinator, who will analyze the report to ensure the process was followed, that the investigation was sufficiently thorough, and that the investigation was not biased. 

  During the investigation, the University will ensure: 

• parties understand that the burden of proof and burden of gathering evidence sufficient to reach a determination of responsibility rests on the University; 
• each party has the opportunity to present witnesses; 
• each party has the ability to discuss the allegations under investigation and to gather and present relevant evidence. Note that disclosure of information related to the allegations may hinder the University’s ability to fully investigate the allegations. However, please know that making posts related to the allegations under investigation on social media could constitute retaliation under this Policy and is subject to the grievance process set forth within; 
• each party will receive advance written notice of any investigative meetings, hearings, or other meetings in which they are expected or invited to attend; 
• each party has the same opportunity to have an Advisor or Supporter present during the grievance process, subject to the restrictions provided for in this Policy and related procedures; and 

• each party has the opportunity to review and inspect any evidence obtained as part of the investigative process that is directly related to the allegations raised in the Formal Complaint. 

  During the investigation of a Formal Complaint, the University will not access, consider, disclose, or otherwise use a party's records that are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in the professional's or paraprofessional's capacity, or assisting in that capacity, and which are made and maintained in connection with the provision of treatment to the party, unless the University obtains that party's voluntary, written consent to do so. 

  The University will make reasonable efforts to balance and protect the rights of the parties during any investigation commenced under this Policy. CAU will respect the privacy of the parties and any witnesses in a manner consistent with the University’s obligations to investigate the alleged incident. The Title IX Coordinator will keep the parties reasonably informed of the status of the investigation. 

  7.4 Informal Resolution Conferences 

  For Formal Complaints that do not involve allegations of prohibited conduct that could not result in expulsion or that do not involve allegations that an employee sexually harassed a student, upon written consent of both parties, and as an alternative to the Formal Resolution Process, the parties may opt to pursue an Informal Resolution Conference. The Informal Resolution Conference will be facilitated by a University official or other designee trained to facilitate such conferences. An Informal Resolution Conference is a remedies-based, non-judicial approach designed to eliminate a potentially hostile working or academic environment. This process aims to assure fairness, to facilitate communication, and to maintain an equitable balance of power between the parties. 

  Participation in an Informal Resolution Conference is voluntary and either party can request to end the conference at any time prior to reaching a resolution and return the investigation or proceeding to its pre-conference status. Written notice will be provided to each party involved in the Informal Resolution Process that outlines the details of the allegations, requirements of the informal resolution process, and any consequences resulting from participating in the Informal Resolution Conference. 

  The Informal Resolution Conference ends when a resolution has been reached or when the Complainant or the Respondent has decided to end the process. Agreements reached in an Informal Resolution Conference must be in writing, and will be final and not subject to appeal. 

  7.5 Formal Resolution Process 

  A Formal Resolution Process is the University’s formal Title IX grievance process through which the Special Matter Hearing Board evaluates evidence at a live hearing related to a Formal Complaint against a Respondent to determine whether the Respondent is responsible or not responsible for a violation of this Policy based on the criteria of “a preponderance of evidence.” If it has been determined that the Respondent is responsible for the prohibited conduct under this Policy, the Respondent may be subjected to disciplinary action. 

  The parties will be provided notice of the time, date, and location of the hearing. The Special Matter Hearing Board and the parties and their Advisors will be provided a hearing packet prior to the hearing, including, but not limited to, the Notice of Allegations, Formal Complaint, investigation report, witness statements, correspondence to parties, and any other related material. The hearing may consist of the parties' testimony, witness testimony, and testimony from the Investigator. The Special Matter Hearing Board will be allowed to question each witness, and parties and/or Advisors can ask questions through the Special Matter Hearing Board. Live crossexamination of the parties is permitted. The parties will be provided Notices of Outcome which include the determination of whether the Respondent was found responsible or not responsible for the alleged violation(s) and any applicable sanction(s). Decisions made in a Formal Resolution Process may be appealed. 

  Formal Resolution Hearings that occur during the non-academic calendar year may be conducted via video conference or other live means. 

  7.6 Sanctions 

  Where it is determined, by a preponderance of evidence, that a Respondent is responsible for having committed a violation of the Policy, the Special Matter Hearing Board will have discretion to impose sanctions. The Title IX Coordinator will be authorized to stay sanctions pending appeal and/or make further accommodations/remedies that are consistent with the Special Matter Hearing Board’s decision. 

  In cases where the Respondent who has been found responsible for having committed a violation of this Policy falls into one or more of the following categories, the University will also comply with federal mandates that require federal grant recipient institutions to notify relevant federal grant agencies of said finding: 

• Anyone who is a principal investigator (PI) or co-PI identified on an award from the National Science Foundation (NSF); 
• Anyone who is a principal investigator (PI), co-PI, or other senior key University personnel identified on an award from the National Institute of Health (NIH); or 

• Anyone identified on any other award from a relevant federal grant agency that requires such reporting. 

  7.7 Appeals 

  Either Complainant or Respondent may appeal any Notice of Outcome. The appeal will be reviewed and determined by the Appeals Facilitator, but the appeal will not be reviewed on a de novo basis (i.e. beginning again). Appeals decisions are final and not subject to further review. 

  8.0 Cross-Campus Incidents 

  8.1 When the Respondent Is Not a Member of the CAU Community 

  The Title IX Coordinator shall have discretion on how to proceed on a Formal Complaint involving a Respondent who is not a member of the CAU community. Where the Respondent is a student at another college or university (including other colleges in the Atlanta University Center), a Report may be made to CAU. The Title IX Coordinator will then provide the Report to the Respondent’s home institution for handling at its discretion. Although the University’s jurisdiction and authority over the Respondent or their home institution’s handling of the Report is limited, the Title IX Coordinator will make all reasonable efforts to ensure the Reporter (or Complainant, if applicable) is informed throughout the process and offered all available and reasonable supportive measures. Upon request, the Complainant will be assigned an Advisor by CAU. The Title IX Coordinator or designee may attend any conferences and/or hearing with the Complainant held or required by the Respondent’s home institution, solely in the capacity as a Supporter. 

  8.2 When the Complainant Is Not a Member of the CAU Community 

  If the Respondent is a member of the CAU community but the Complainant is a student at another college or university (including other colleges in the Atlanta University Center), the matter will be adjudicated under this Policy and any other applicable University policies and procedures. The Title IX Coordinator or designee may attend any conferences and/or hearing with the Respondent, held or required by the Complainant’s home institution, solely in the capacity as a Supporter. 

  9.0 Supportive Resources 

  9.1 Advisors 

  Both Complainants and Respondents may choose an Advisor to accompany them to any hearing, investigative conference, or related grievance proceeding described in this Policy. A panel of Advisors will be available for the parties to choose from, or the parties may choose to select their own Advisor. However, each student must have an Advisor to proceed in formal or informal resolution of a Formal Complaint. Advisors for both Complainants and Respondents may be present during hearings, conferences and related grievance proceedings, and they may provide the parties with consultation, assistance and support. However, Advisors are not permitted to directly participate in investigative conferences or related proceedings, other than as provided for in this Policy or related procedures. Advisors are allowed to participate in Formal Resolution Hearings but their participation is limited to conducting cross-examination on behalf of that party within the hearing procedures outlined in this Policy and related procedures. Advisors and supporters are prohibited from making opening or closing statements, presenting evidence, and making procedural objections. 

  9.2 Supporters 

  Both Complainants and Respondents may also choose a designated Supporter, whose role is primarily to provide emotional support during all stages of the Title IX grievance process by accompanying the Complainant or Respondent to any hearing, conference or related proceeding described in this Policy. The Complainant and the Respondent may choose any person, regardless of their association with the University, to perform the role of Supporter and to support them through a portion of or the entire process outlined in this Policy. Neither party is required to have and be accompanied by a Supporter; however, the University encourages the presence of a Supporter at all stages of the proceedings, including the reporting and investigation stages, in order to provide the Complainant and Respondent with emotional and personal support. The Supporter may be present during any stage of these processes but will not be allowed to make opening or closing statements, present evidence, make procedural objections, question witnesses, or otherwise actively participate during Formal Resolution Hearings and Informal Resolution Conferences. 

  9.3 Supportive Measures 

  In all cases, the Title IX Coordinator may offer supportive measures that are consistent with the University’s policies and procedures, before or after the filing of a Formal Complaint or where no Formal Complaint has been filed. Supportive measures are non-disciplinary, non-punitive individualized services offered as appropriate, as reasonably available, and without fee or charge to the Complainant or the Respondent. Such measures shall be confidential, balanced based on the facts collected and seriousness of the allegations and provided to any reporting party, Complainant, or Respondent. Moreover, supportive measures are designed to restore or preserve equal access to the University’s education program or activity without unreasonably burdening the other party. From time to time, the University may also consider and implement supportive measures that affect the broader CAU community and which are aimed to eliminate occurrences of Sex Discrimination or Sexual Misconduct and to promote academic and employment environments free of such conduct. 

  The University may also, upon request, arrange for the re-taking, changing or withdrawing from classes, and in such instances, CAU will make every reasonable effort to mitigate any academic or financial penalty for providing such arrangements. 

  If a Complainant or Respondent withdraws from or leaves his/her employment with CAU after a Formal Complaint is filed but before the matter is resolved, the Title IX Coordinator shall have discretion on how to proceed with the investigation and its resolution, including dismissing the Formal Complaint. If the Formal Complaint is dismissed on this basis, the parties will be issued a Notice of Outcome reflecting the dismissal grounds and any remedies provided to the remaining party. The parties will have the opportunity to appeal the dismissal. 

  Examples of supportive measures that the University may offer and implement include, but are not limited to, those measures listed in Appendix C attached to this Policy. 

  10.0 Recordkeeping 

  The following records will be treated as education records pursuant to the Family Educational Privacy Rights Act (FERPA) and maintained by the University for no more than seven (7) years from the date of their creation:

• All records, including recordings and/or transcripts, regarding the investigation and determination regarding responsibility following the resolution of a Formal Complaint, including appeals, any disciplinary sanctions imposed on the respondent, and any remedies provided to the complainant designed to restore or preserve equal access to the recipient's education program or activity; 
• Any records from an Informal Resolution Conference;  
• All materials used to train Title IX Coordinators, investigators, decision makers, and informal resolution facilitators, which materials will be made public on the University’s website. 
• Records of any actions, including any supportive measures, taken in response to a Report or Formal Complaint. 

• 11.0 Prevention, Education and Training 

  CAU shall provide prevention and awareness educational programs to new and existing students and employees. These programs shall include information on (a) Title IX, (b) how to file a Formal Complaint with CAU, (c) resources available to sexual violence victims, and (d) options for reporting an incident of Sexual Misconduct to local law enforcement. Training on this Policy and CAU’s Title IX obligations will be provided to students and employees. CAU shall consider educational methods that are most likely to help students and employees retain such information. CAU will ensure that the Title IX Coordinator, Investigators, and all decision-makers involved in Formal Resolution hearings and appeals, and any person who facilitates Informal Resolutions Conferences have training or experience in handling Title IX reports and complaints, and, if applicable, training in the operation of the University’s Title IX grievance procedures.

  APPENDIX A – KEY DEFINITIONS 

  As used in Clark Atlanta University’s Title IX Policy and corresponding grievance procedures, the phrases and words listed therein shall have the meanings set forth below: 

  Advisor: Refers to an attorney or a non-attorney advisor who can provide assistance to the Complainant or the Respondent during Formal Resolution Hearings, Informal Resolution Conferences, and any other stage of the processes covered by this Policy. The University will provide a list of individuals who have received training to serve as Advisors.

   Affirmative Consent: Means an affirmative, conscious decision by each participant to engage in mutually agreed-upon sexual activity. All five of the following elements are essential in order to have affirmative consent. If one or more of the following is absent, there is no affirmative consent. 

  A. Consists of Mutually Understandable Communication: Communication regarding consent consists of mutually understandable words and/or actions that indicate an unambiguous willingness to engage in sexual activity. In the absence of clear communication or outward demonstration, there is no consent. Consent may not be inferred from silence, passivity, lack of resistance or lack of active response. An individual who does not physically resist or verbally refuse sexual activity is not necessarily giving consent. Relying solely upon non-verbal communication can lead to a false conclusion as to whether consent was sought or given. Verbal communication is the best way to ensure all individuals are willing and consenting to the sexual activity. 

  B. Informed and Reciprocal: All parties must demonstrate a clear and mutual understanding of the nature and scope of the act to which they are consenting and a willingness to do the same thing, at the same time, in the same way. 

  C. Freely and Actively Given: Consent cannot be obtained through the use of force, coercion, threats, intimidation or pressuring, or by taking advantage of the incapacitation of another individual. 

  D. Not Unlimited: Consent to one form of sexual contact does not constitute consent to all forms of sexual contact, nor does consent to sexual activity with one person constitute consent to activity with any other person. Each participant in a sexual encounter must consent to each form of sexual contact with each participant. Even in the context of a current or previous intimate relationship, each party must consent to each instance of sexual contact each time. The consent must be based on mutually understandable communication that clearly indicates a willingness to engage in sexual activity. The mere fact that there has been prior intimacy or sexual activity does not, by itself, imply consent to future acts. 

  E. Not Indefinite: Consent may be withdrawn by any party at any time. Recognizing the dynamic nature of sexual activity, individuals choosing to engage in sexual activity must evaluate consent in an ongoing manner and communicate clearly throughout all stages of sexual activity. Withdrawal of consent can be an expressed “no” or can be based on an outward demonstration that conveys that an individual is hesitant, confused, uncertain or is no longer a mutual participant. Once consent is withdrawn, the sexual activity must cease immediately and all parties must obtain mutually expressed or clearly stated consent before continuing further sexual activity. 

  Appeals Facilitator: Refers to a trained University faculty and staff member or other appropriate person(s) designated by the University’s Title IX Coordinator (for non-student Respondents) that hear and decide appeals of findings and sanctions imposed by the Special Matter Hearing Board (defined below). The Appeals Facilitator is the individual specifically designated to handle and decide appeals based on the specific category of the Respondent. This individual is authorized to affirm, alter, or reverse the original findings and/or sanctions recommended by the Special Matter Hearing Board. Once issued, the decision of the Appeals Facilitator’s is final. 

  Complainant: Refers to an individual who has been identified in a Formal Complaint as someone who has been subjected to an incident of Sex Discrimination or Sexual Misconduct. A Complainant has certain rights under this Policy, as discussed above. In most cases, a Reporter who has filed a Formal Complaint alleging to have personally experienced Sex Discrimination or Sexual Misconduct can also be a Complainant. In other cases, a Reporter who reports witnessing Sex Discrimination or Sexual Misconduct happening to or affecting someone else can make a Report, but that does not make them a Complainant. 

  Clery Act: Refers to the Jeanne Clery Disclosure of Campus Security and Campus Crime Statistics Act, 20 U.S.C. Section 1092(f); 34 C.F.R., Part 668.46. It requires colleges and universities, both public and private, participating in federal student aid programs to disclose campus safety information, and imposes certain basic requirements for handling incidents of sexual violence and emergency situations. 

  Coercion: Means the use of pressure to compel another individual to initiate or continue activity against their will, including psychological or emotional pressure, physical or emotional threats, intimidation, manipulation, or blackmail. A person’s words or conduct are sufficient to constitute coercion if they wrongfully impair another individual’s freedom of will and ability to choose whether or not to engage in sexual activity. Examples of coercion include, but are not limited to threatening to “out” someone based on sexual orientation, gender identity, or gender expression; threatening to harm oneself if the other party does not engage in the sexual activity; and threatening to expose someone’s prior sexual activity to another person and/or through digital media. 

  Consent: See Affirmative Consent above. 

  Dating Violence: See Sexual Misconduct below, Subsection A. 

  Domestic Violence or Domestic Assault: See Sexual Misconduct below, Subsection B. 

  Force: The use of physical violence and/or imposing on someone physically to gain sexual access. Force also includes threats, intimidation (implied threats) and coercion that overcomes resistance or produces consent. There is no requirement that a person has to resist the sexual advance or request, but resistance is a clear demonstration of non-consent. The presence of force is not demonstrated by the absence of resistance. Sexual activity that is forced is by definition non-consensual, but non-consensual sexual activity is not by definition forced. 

  Formal Complaint: Refers to a formal written complaint filed with the Title IX Coordinator or the Title IX Coordinator’s designee alleging any action, policy, procedure or practice that would be prohibited by Title IX, such as Sex Discrimination or Sexual Misconduct, signed by the Complainant or the Title IX Coordinator and indicating that they want the University to proceed with the formal grievance process. A report can be made by another individual who knows of or witnessed an incident of Sex Discrimination or Sexual Misconduct but who did not suffer such misconduct themselves. 

  Formal Resolution: Refers to the University’s formal grievance proceeding through which the Special Matter Hearing Board evaluates evidence related to a Formal Complaint to determine whether a Respondent is in violation of this Policy, based on the criteria of a preponderance of evidence. 

  Incapacitation: Means the lack of the ability to make rational, reasonable judgments as a result of alcohol consumption, other drug use, sleep, the taking of any so-called “date-rape” drug, unconsciousness, or blackout. An individual unable to make informed judgments is physically helpless. An incapacitated person cannot make rational, reasonable decisions because that person lacks the ability to fully understand the who, what, where, or how of their sexual interaction. Incapacitation is a state beyond drunkenness or intoxication, in which alcohol, drugs, or other factors render one unable to make fully informed judgments or have an awareness of consequences. Evaluating incapacitation also requires an assessment of whether a Respondent knew or should have known of the other individual's incapacitated state. While incapacitation may be caused by drugs or alcohol,  it also includes the state of being asleep, during which time a person is unable to provide affirmative consent. 

  Informal Resolution Conference: Is intended to allow the Complainant and the Respondent to provide information about the alleged incident(s) of discrimination or harassment, and to reach a mutually agreeable resolution. This process aims to assure fairness, to facilitate communication, and to maintain an equitable balance of power between the parties. 

  Investigator: Refers to an official(s) designated by the Title IX Coordinator to conduct an investigation of alleged Sex Discrimination or Sexual Misconduct, and who acts as a witness in the event of a Formal Resolution Hearing. The Investigator will be a trained individual who objectively collects and examines the facts and circumstances of potential violations of this Policy and documents them for review. The Investigator will be neutral and will hold no biases in the investigation. 

  Mandatory Reporter: Refers to an individual or individuals the University has designated as being required to report any knowledge they have of Sex Discrimination and Sexual Misconduct. CAU has identified the following individual or set of individuals as Mandatory Reporters under this Policy: CAU Public Safety staff, Student Affairs Administrators (Dean and Associate Dean of Students), CAU Athletics Director, Senior Associate Athletic Director of Compliance, Senior Women’s Administrator, any Academic Dean, or the University Provost and Vice-President of Academic Affairs. The only students who are designated as Mandatory Reporters are on campus Assistant Directors of Residence Life. 

  Non-Consensual Sexual Contact: See Sexual Misconduct below, Subsection A. 

  Non-Consensual Sexual Penetration: See Sexual Misconduct below, Subsection B. 

  Notice of Outcome: Written notification issued to a Complainant and a Respondent following the conclusion of a Formal Resolution Hearing. The Notice of Outcome shall be issued to the Complainant and the Respondent concurrently and shall contain the determination of whether the Respondent is Responsible or Not Responsible for the alleged violations and, where applicable, sanction(s) assigned, the due date(s) of the sanction(s), any other steps the University will or has taken to eliminate the hostile environment, and any available appeal rights. This term may also be used to refer to the written statement of a Title IX Coordinator or other investigator of his/her findings regarding the validity of the complaint and the recommended corrective actions to be taken and/or sanctions to be imposed in cases involving violations of Title IX. 

  Preponderance of Evidence: Refers to the standard by which it is determined at a hearing whether or not a violation of this Policy has occurred, and means that an act of sex discrimination is “more likely than not” to have occurred. This standard applies for all allegations of Sex Discrimination and Sexual Misconduct. 

  Report: Refers to any communication that puts a CAU Mandatory Reporter on notice of an allegation that Sex Discrimination or Sexual Misconduct occurred or may have occurred. After making a Report, an individual who has made the report may choose to end involvement in the process, to accept or decline University-offered supportive measures, or choose to file a Formal Complaint and pursue Formal Resolution or, if applicable, an Informal Resolution Conference involving the Respondent. The University strongly encourages all individuals to report incidents of Sexual Misconduct and Sex Discrimination even if the individual does not intend to pursue a Formal Complaint. 

  Reporter: Refers to an individual who notifies a CAU Mandatory Reporter of an alleged violation of this Policy. A Reporter can be any individual who reports to CAU that they have personally experienced or been subjected to Sex Discrimination or Sexual Misconduct; that they have been affected by Sex Discrimination or Sexual Misconduct, or that they have knowledge of Sex Discrimination and Sexual Misconduct happening to or affecting someone else. 

  Respondent: Refers to an individual against whom a Formal Complaint has been filed or Report has been made and whose conduct is alleged to have violated this Policy. Typically, the Respondent is an individual who has been accused of conduct that, if proven by a preponderance of the evidence, constitutes Sex Discrimination or Sexual Misconduct under this Policy. A Respondent has certain rights under this Policy, as discussed above. 

  Responsible: Means a determination by a University Special Matter Hearing Board that the Respondent has, in fact, committed an act in violation of this Policy. 

  Sex Discrimination: Refers to the unequal treatment of an individual based on their sex or gender in any employment decision, education program or educational activity receiving Federal financial assistance. Such programs or activities include, but are not limited to, admission, hiring and recruitment, financial aid, academic programs, student treatment and services, counseling and guidance, discipline, classroom assignment, grading, vocational education, recreation, physical education, athletics, housing and employment. The prohibition on sex discrimination also covers unlawful discrimination based on gender identity, sexual orientation, pregnancy, termination of pregnancy, childbirth or related conditions. Also prohibited as sex discrimination is any act which is based on parental, family, or marital status and which is applied differently based on sex. 

  Sexual Assault: See Sexual Misconduct below, Subsection D. 

  Sexual Exploitation: See Sexual Misconduct below, Subsection C. 

  Sexual Harassment: See Sexual Misconduct below, Subsection D. 

  Sexual Misconduct: Is a broad term that encompasses sexually-motivated misconduct as described in this Policy, including conduct of an unwelcome and/or criminal nature, whether such conduct occurs between strangers, acquaintances, or intimate partners. For the purposes of this Policy, the following terms are collectively referred to as “Sexual Misconduct” and will be defined in detail below: Nonconsensual Sexual Contact, Nonconsensual Sexual Penetration, Sexual Exploitation, Sexual Harassment, and Sexual Violence. 

  A. Non-Consensual Sexual Contact: Any intentional touching of a sexual nature, however slight, with any object, by a man or a woman upon a man or a woman, without consent and/or by force. Sexual contact includes intentional contact with the breasts, buttock, groin, or genitals, or touching another person with any of these body parts, or making another touch you or themselves with or on any of these body parts; or any intentional bodily contact in a sexual manner, though not involving contact with/of/by breasts, buttocks, groin, genitals, mouth or other orifice. The crimes of sexual battery and aggravated sexual battery are encompassed in this definition. Such contact is deemed non-consensual if done without the other person's affirmative consent (see definition above). 

  B. Non-Consensual Sexual Penetration: Insertion of a sex organ, object, tongue or finger into the sex organ, mouth or anus of another, no matter how slight the insertion or contact, with consent and/or by force. Such contact is deemed non-consensual if done without the other person's affirmative consent (see definition above). 

  C. Sexual Exploitation: Occurs when a person takes non-consensual or abusive sexual advantage of another for their own advantage or benefit, or the benefit of anyone other than the one being exploited. Examples of sexual exploitation include, but are not limited to: 

• Non-consensual video or audio-taping of sexual activity or other private activity, even if that activity occurs in a public or semi-public place; 
• Non-consensual dissemination of video, photographs, or audio of sexual activity or other private activity, including dissemination by a third party or a person not involved in the original conduct; 
• Exceeding the boundaries of consent (such as, permitting others to hide in a closet and observe consensual sexual activity, videotaping of a person using a bathroom or engaging in other private activities);  
• Engaging in voyeurism, exposing one’s breasts, buttocks, or genitals in a non-consensual circumstance or inducing another to expose their breasts, buttocks, or genitals without affirmative consent; 
• Prostituting another person;
• Engaging in consensual sexual activity with another person while knowingly infected with human immunodeficiency virus (HIV) or other sexually transmitted disease or infection (STD or STI,) and without informing the other person of such disease or infection; and 

• Sexually-based stalking and/or bullying. 

  D. Sexual Harassment: Conduct on the basis of sex that satisfies one or more of the following: (1) A CAU employee conditioning the provision of an aid, benefit, or service of the University on an individual’s participation in unwelcome sexual conduct; (2) unwelcome conduct determined by a reasonable person to be so severe, pervasive, and objectively offensive that it effectively denies a person equal access to CAU’s education program or activity; or any sexually motivated conduct that falls within one or more of the following categories: 

•  Sexual Assault (as defined in 20 U.S.C. 1092(f)(6)(A)(v)): Any type of Sexual Contact or behavior that occurs without the explicit consent of the recipient of the unwanted sexual activity. Falling under the definition of sexual assault is sexual activity such as forced sexual intercourse, sodomy, child molestation, incest, fondling, rape, attempted rape, sexual battery and aggravated sexual battery. Georgia law defines sexual assault as sexual contact that is perpetrated by a person who has supervisory or disciplinary authority over another individual. 
• Dating Violence (as defined in 34 U.S.C. 1229 (a)(10)): Violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the alleged victim. The existence of such a relationship will be determined based on the reporting party's statement and with consideration of the length of the relationship; the type of relationship; and the frequency of interaction between the persons involved in the relationship. Dating violence includes, but is not limited to, sexual or physical abuse or the threat of such abuse. Dating violence does not include acts covered under the definition of domestic violence.  
• Domestic Violence (as defined in 34 U.S.C. 12291 (a)(8)): Felony or misdemeanor crimes of violence committed by a current or former spouse of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabitated with the victim as a spouse, by a person similarly situated to a spouse of the victim under the domestic or family violence laws of the jurisdiction or by any other person against an adult or youth victim who is protected from that person’s acts under the domestic or family violence laws of the jurisdiction. Georgia state law specifically defines such violence as the occurrence of a felony or the commission of offenses of battery, simple battery, simple assault, assault; stalking criminal damage to property, unlawful restraint, or criminal trespass between: 
•  past or present spouses;  
• persons who are parents of the same child;  
• parents and children; 
• stepparents and stepchildren;  
• foster parents and foster children; or 

•  other persons living or formerly living in the same household. 

  Note: This definition will not be applied to simple roommate disputes, in particular, those that do not involve any allegations of gender or sex discrimination. 

• Stalking (as defined in 34 U.S.C. 1229 (a)(30)): Occurs when a person follows, places under surveillance or contacts another person (i.e., the victim) at or about any public or private property occupied by the victim other than the residence of the person without the consent of the victim for the purpose of harassing and intimidating the victim. Harassment and intimidation is a knowing and willful course of conduct directed at a specific person which causes emotional distress by placing such person in reasonable fear for such person's safety or the safety of a member of his or her immediate family, by establishing a pattern of harassing and intimidating behavior, and which serves no legitimate purpose. Types of stalking could include, but are not limited to:

   - Following the targeted person; 

  - Approaching or confronting that person in a public place or on private property; 

  - Persistent and unwelcome attempts to contact the person by phone, electronic communication (including via the internet and cellphones), or regular mail, either anonymously or non-anonymously; 

  - Vandalizing the person’s property or leaving unwanted items for the person; - Persistently appearing at the person’s classroom, residence, or workplace without that person's permission or other lawful purpose; 

  - Cyber-stalking, in which a person follows, observes, monitors, or surveils another person through the use of electronic media such as the Internet, digital media networks, blogs, cell phones, texts or other similar devices; and

  - Using visual or audio recording devices or hidden or remote cameras used without the subject’s consent. 

  E. Sexual Violence: Consists of physical sexual acts perpetrated against a person’s will or where a person is incapable of giving consent (e.g., due to the student’s age or use of drugs or alcohol, or because an intellectual or other disability prevents the student from having the capacity to give consent). A number of different acts fall into the category of sexual violence, including, but not limited to, sexual assault, sexual battery, sexual abuse, and sexual coercion. 

  Special Matter Hearing Board: Refers to the three-member decision-making body composed of University faculty and staff or other appropriate persons designated by the University’s Title IX Coordinator (for nonstudent Respondents) that considers cases brought under this Policy. Each particular Hearing Board is constituted, as needed, from the available pool of individuals who are trained to serve as Hearing Board members. One of the three Hearing Board members will be designated as the chairperson. The Hearing Board hears the facts and circumstances of an alleged policy violation as presented by the Investigator, a Complainant, a Respondent and/or witnesses at a Formal Resolution Hearing. This body is responsible for determining if a Policy violation has occurred and whether/what sanctions are appropriate. 

  Sexual Violence: See Sexual Misconduct above, Subsection E. 

  Stalking: See Sexual Misconduct above, Subsection D. 

  Supporter: Refers to any person, regardless of their association with the university, who a Reporter, Complainant, or Respondent may want to support them through a portion of or the entire process. A Supporter is not required, but is encouraged to help the party with emotional and personal support. When present during interviews, hearings, and appeals, the Supporter cannot take an active role. A Supporter can be a friend, family member, or any trusted person who can provide needed care to a party. Information gained or obtained while serving as a support should be kept in strict confidence.

  APPENDIX B – TITLE IX GRIEVANCE PROCEDURES 

   GENERAL OVERVIEW 

  These grievance procedures outline how the University will investigate, adjudicate, and resolve cases arising under the University’s jurisdiction according to its Sex Non-Discrimination and Sexual Misconduct Policy (“Policyˮ). Please refer to the Policy for key terms and definitions, provisions, and processes that are further informed by these related procedures. 

  Under these grievance procedures, the parties will be provided the following procedural protections and considerations: 

   To be given written notice of the allegations and any charges of alleged violations of this Policy, including the possible sanction(s) if Respondent is found responsible for the alleged Policy violation(s); 

   To be provided evidence directly related to the allegations raised in the Formal Complaint to the extent permitted by law; 

   To be granted temporary delay of a hearing or conference due to extenuating circumstances, including absence of a party, a party’s advisor, or a witness; concurrent law enforcement activity; or the need for language assistance or disability accommodation; 

   To challenge the objectivity of the Special Matter Hearing Board's chairperson or a Hearing Board member upon the belief that a bias or conflict of interest may exist; 

   To admit responsibility for any or all charges of alleged violations of this Policy; 

   To decline to make statements; 

   To present their version of the events in question; 

   To have witnesses present factual information on their behalf (character witnesses are permitted; however, purely character witnesses evidence may be given a low level or weight of consideration by the Hearing Board); 

   To be advised by and/or receive assistance in preparing their case from an Advisor prior to any hearing or conference;  To be accompanied by a Supporter; 

   To have a live recorded hearing with cross examination and witness examination to be conducted by an Advisor as permitted by the Policy, this procedural guidance, and University’s rules of decorum for Formal Resolution Hearings and Informal Resolution Conferences; and 

   To appeal the decision rendered following a hearing within the limits of the time and conditions specified in the Policy and this procedural guidance. 

   INTAKE PROCEDURES 

  Reports 

  Upon receipt of a Report, the Title IX Coordinator will promptly contact the alleged victim or survivor of the described misconduct to discuss the availability of supportive measures (as defined in the Policy); consider the individual’s wishes with respect to supportive measures; inform the individual of the availability of supportive measures with or without the filing of a Formal Complaint; and explain the process for filing a Formal Complaint.

  Formal Complaints 

  The intake of a Formal Complaint can be completed in one of the following two ways: 

  1. Filing of a Formal Complaint by a Complainant - A reporting individual (a Reporter) may file a document (written or via electronic submission) with the Title IX Coordinator or other designated University official with authority to institute corrective measures, describing an incident of Sex Discrimination or Sexual Misconduct and indicating that they want the University to investigate the alleged issue. The Formal Complaint must be signed by the Complainant either physically or digitally, or otherwise indicate that the Complainant is the person filing the Formal Complaint. 

  If a Complainant wishes to file a Formal Complaint, the Title IX Coordinator will assist in preparing the Formal Complaint. Therefore, a Formal Complaint can also be deemed to be filed by meeting with the Title IX Coordinator and providing a verbal description of the incident, the details of which the Title IX Coordinator will use to draft a written document that the Complainant will review, verify and sign to constitute their written Formal Complaint. 

  2. Signing of a Document by the Title IX Coordinator – Upon receipt of actual knowledge of Sex Discrimination or Sexual Misconduct, the Title IX Coordinator may sign a Formal Complaint indicating that the University must investigate in order to meet its Title IX obligations to provide a safe and nondiscriminatory environment for the broader CAU community. In this case, although the Formal Complaint must be signed by the Title IX Coordinator, the Title IX Coordinator is not a Complainant or otherwise a party to any proceeding under this Policy. 

  Formal Complaints filed with the Title IX Coordinator must be in writing, signed by the Complainant and provide the following information: 

   name and contact information for the Complainant(s); 

   nature, location, and date of the alleged Policy violation; 

   name(s) and contact information for the Person(s) responsible for the alleged violation (where known) (“Respondent(s)ˮ); 

   names and contact information for any witnesses; and 

   any other background or supplemental information that the Complainant believes to be relevant (e.g., names of other persons affected by the violation, etc.). 

  INITIAL POST-INTAKE ACTIONS 

  General 

  If a Formal Complaint is filed, the Title IX Coordinator or a designee will take the following post-intake actions: 

   Provide the Complainant and Respondent (the “Parties”) with a general explanation of the University’s procedures for handling Formal Complaints of incidents of Sex Discrimination and Sexual Misconduct, the University’s prohibition against retaliation, the investigative process, and the grievance procedures; 

   Discuss and provide written information (i.e., telephone numbers and website addresses) regarding forms of support available, including Advisors and on- and off-campus resources;  

   Discuss and/or provide written information regarding immediate interventions and supportive measures; 

   Discuss and/or provide written information regarding options and available assistance in changing any accommodations that may be appropriate and reasonably available concerning the individuals' academic, living, transportation and working situations; 

   Where applicable, provide information about their rights and the University’s responsibilities regarding criminal and civil court proceedings, including protective orders, restraining orders, nocontact orders or similar lawful orders issued by a criminal or civil court; 

   Determine if the Complainant wishes to notify law enforcement authorities, wishes to be assisted in notifying law enforcement authorities, or does not wish to notify law enforcement authorities; 

   Provide the parties with a copy of the Notice of Allegations (described below); and 

   Discuss and/or provide a list of the range of possible sanctions and remedies that may be implemented following any determination of responsibility. 

  Notice of Allegations 

  1. Components of the Notice: The Notice of Allegations will include: 

•  Notice that the University’s grievance process; 
• Notice of the allegations, including but not limited to, if known, the identity of the parties involved, the conduct that constitutes a Policy violation, and the date and location of the alleged event;  
• A statement that the Respondent is presumed “not responsible” pending a determination regarding responsibility at the conclusion of the grievance process;  
• Notice that the parties may inspect and review evidence presented; 
•  Notice of the right to an Advisor, who may be an attorney if the individual elects not to use a University-provided Advisor; 
• Notice of the University’s Code of Student Conduct policy which prohibits knowingly making false statements or knowingly providing false information during the grievance process; and  

• Each party’s responsibility to submit a written response within three (3) days, prior to any interview taking place. 

  The Notice of Allegations will be supplemented if additional Policy violation allegations are discovered during the investigation process. 

  2. Responses to the Notice of Allegations: The Complainant’s and Respondent’s responses to the Notice of Allegations should be in writing and may admit or deny the allegations and include any facts, evidence or witnesses that can disprove or provide context relevant to the allegations. 

  Alternatively, a Respondent can also be deemed to provide a written response by meeting with the Title IX Coordinator and providing a verbal description of the items listed above, which the Title IX Coordinator will use to draft a written document that the Respondent will review, verify and sign to constitute their written response. 

  If no response has been received by the Title IX Coordinator from the Respondent within the allotted time, the Title IX Coordinator will send a Notice of Nonresponse to the Respondent. If no response has been received by the Title IX Coordinator from the Respondent within three (3) business days after issuance of the Notice of Nonresponse, the Respondent may be deemed to have waived participation in the investigation. 

  Regardless of the Respondent’s nonresponse, he or she will still receive all notices required under the Policy or this procedural guidance. In any event, the Respondent has the right to remain silent during the investigation and resolution process, without an automatic adverse inference resulting. If the Respondent chooses to remain silent, the investigation may ultimately still proceed and Policy violation charges may still result, which may be resolved against the Respondent. 

  Consolidation of Formal Complaints The University may consolidate Formal Complaints against more than one Respondent or brought by more than one Complainant, if the alleged Policy violations arise out of the same facts or circumstances. 

  Dismissal of Formal Complaints Prior to Formal Resolution Hearing 

  1. Grounds for Mandatory Dismissal: If the conduct alleged in the Formal Complaint would not constitute Sexual Misconduct as defined in the Policy even if proved, did not occur in the University’s education program or activity, or did not occur against a person in the United States, then the University must dismiss the Formal Complaint. 

  2. Grounds for Discretionary Dismissal: The University may dismiss the Formal Complaint if at any time during the investigation or hearing: (1) a Complainant notifies the Title IX Coordinator in writing that he or she would like to withdraw the Formal Complaint or any allegations therein; (2) the Respondent is no longer enrolled or employed by the University; or (3) specific circumstances prevent the University from gathering evidence sufficient to reach a determination as to the Formal Complaint or allegations therein. 

  Written notice of any dismissal under this section will be provided simultaneously to the parties. Parties will be allowed to appeal any dismissal under this section. 

   PROCEDURES FOR INVESTIGATING FORMAL COMPLAINTS 

  Assigning of an Investigator Once a Formal Complaint has been filed, the Title IX Coordinator will assign an Investigator to investigate the Formal Complaint. The Title IX Coordinator will oversee the investigative process solely from an administrative/ procedural standpoint – that is, to ensure process is followed, that the investigation is sufficiently thorough, and that the investigation is not biased. 

  Commencement of the Investigation Process 

  1. As soon as possible, the Investigator will schedule separate initial meetings with the Complainant and Respondent. 

  2. Following the initial meeting with the Complainant and Respondent, the investigation will occur. The investigation may include, as applicable, interviewing any witnesses; reviewing law enforcement investigation documents; reviewing student and employee/staff/faculty personnel files; and gathering and examining other relevant documents and evidence. Note that the Investigator will not access, disclose, consider or otherwise use a party’s medical records prepared or maintained in connection with treatment unless voluntary written consent is obtained from the requisite party.

  3. Upon the completion of the investigation, the Investigator will prepare an investigative report. Prior to the completion of the investigative report, the Investigator will send to each party and the party’s advisor, the evidence, if any, subject to review and inspection, in electronic or hard copy format. The parties have ten (10) days upon receipt of such evidence to provide a written response directly to the Investigator. After consideration of the response, the Investigator will determine whether additional investigation is needed and act accordingly or finalize the investigation report. 

  4. Upon completion of the investigation report, the Investigator will issue an investigation report to the Title IX Coordinator succinctly describing all collected information. It is not the Investigator’s job to "filter" the evidence, such as by deciding relevance or credibility, unless the evidence is clearly irrelevant or not pertinent to the facts at issue, such as impermissible sexual history evidence. The Investigator does not make any recommendations as to whether a Policy violation has occurred or potential sanctions. 

  5. The investigation report will be delivered to the parties, as a part of the Formal Resolution Hearing packet, which includes the investigation report, any evidence subject to review and inspection under the Policy, and other information pertinent to the Formal Resolution Hearing, at least ten (10) days prior to any Formal Resolution Hearing. Once received, the parties shall have three (3) business days to respond or object to the report in writing. Depending on how the Formal Complaint proceeds, the investigation report(s) and the parties’ responses may be presented at a Formal Resolution Hearing and/or may be presented at an Informal Resolution Conference. 

  6. The University will attempt to fully resolve most cases of alleged Sex Discrimination and Sexual Misconduct within a reasonable timeframe, i.e. within 120 days, excluding any appeal(s). The amount of time needed to investigate a Formal Complaint will depend in part on the nature of the allegation(s) and the evidence to be investigated (e.g., the number and/or availability of witnesses involved). 

  7. The Title IX Coordinator will keep the parties reasonably informed of the status of the investigation, keeping in mind confidentiality considerations for each party. If it is determined that more time is needed for the investigation, the Title IX Coordinator will communicate the additional estimated amount of time needed to complete the investigation. 

  Any reoccurrences of conduct at issue in the Formal Complaint or any other related concerns discovered during the investigations should be reported to the Title IX Coordinator. 

  Selection and Use of Advisors and Supporters 

  1. Advisors - Both Complainants and Respondents may choose an Advisor, provided free of cost by the University, to accompany them to any hearing, meeting, conference, or related disciplinary proceeding, at which they are required to attend, as described in the Policy. Parties may choose an alternate Advisor at their own expense if they do not wish to use one of the Advisors provided by the University. Each party must have an Advisor present at the Formal Resolution Hearing. Advisors for both Complainants and Respondents may be present during meetings, conferences and related disciplinary proceedings, at which their assigned party is required to attend and they may provide the parties with consultation, assistance and support. However, Advisors are not permitted to directly participate in the University’s investigation process, meetings, conferences, or Informal Resolution Conferences by, for example, making opening or closing statements, subpoenaing witnesses or information, presenting evidence, making procedural objections, questioning witnesses, or otherwise actively participating. Additionally, Advisors’ direct participation in the Formal Resolution Hearing will be limited to cross examining the Complainant or Respondent and questioning witnesses via the questioning method permitted by  the Policy, this procedural guidance, and the University’s rules of decorum for Formal Resolution Hearings or Informal Resolution Conferences. 

  2. Supporters - Both Complainants and Respondents may also choose a designated Supporter. The role of the Supporter is primarily to provide emotional support during the process by accompanying the Complainant or Respondent to any hearing, conference or related disciplinary proceeding described in this Policy. The Complainant and the Respondent may choose any person, regardless of their association with the University, to perform the role of Supporter and to support them through a portion of or the entire process outlined in this Policy. Neither party is required to have and be accompanied by a Supporter; however, the University encourages the presence of a Supporter at all stages of the proceedings, including the reporting, filing a Formal Complaint and investigation stages, in order to provide the Complainant and Respondent with emotional and personal support. The Supporter may be present during any stage of these processes but will not be allowed to make opening or closing statements, present evidence, make procedural objections, question witnesses, or otherwise actively participate during Formal Resolution Hearings and Informal Resolution Conferences. 

  3. Limitation on Number of Participants in the Grievance Process – CAU may limit the quantity of people in attendance at hearings, conferences and related disciplinary proceedings but will not interfere with parties' choices of specific attendees. A fact witness can serve as a Supporter and will not be prohibited from testifying as a witness, but they will be subject to witness sequestration rule and subject to exclusion from most parts of the Formal Resolution Hearing. There is no restriction on former Supporters testifying as fact witnesses. 

   INFORMAL RESOLUTION CONFERENCE 

  Criteria to Initiate an Informal Resolution Conference 

  For Formal Complaints that do not involve allegations of prohibited conduct that could not result in expulsion or that do not involve allegations that an employee sexually harassed a student, upon written consent of both parties, and as an alternative to the Formal Resolution Process, the parties may opt to pursue an Informal Resolution Conference. The Informal Resolution Conference will be facilitated by a University official or other designee trained to facilitate such conferences. 

  Both parties must consent in writing to an Informal Resolution Conference, if one of the above criteria is met. Participation in an Informal Resolution Conference is voluntary, and either party can request to end the conference at any time and return the investigation or proceeding to its pre-conference status. 

  Selection of a Facilitator 

  With consent of both the Complainant and the Respondent, the Title IX Coordinator handling the case will designate an individual to act as the facilitator. The facilitator is not an advocate for either the Complainant or the Respondent. The role of the facilitator is to aid in the resolution of problems in a non-adversarial manner. The facilitator will not be allowed to be called as a witness in any subsequent Formal Resolution Hearing should the Information Resolution Conference end prior to resolution. 

  Informal Resolution Conference Procedures 

  1. General Provisions – For Formal Complaints that meet the criteria for resolution through an Informal Resolution Conference: 

• The parties will receive simultaneous written notice of the decision to initiate an Informal Resolution Conference. The written notice will include: (1) the allegations; (2) the requirements of the informal resolution conference, including its finality upon reaching a final agreement; and (3) any consequences resulting from participation in the informal resolution 
• The parties will have equal opportunity to respond to the evidence presented and to call appropriate and relevant factual witnesses.  
• The parties may be accompanied by an Advisor and/or a Supporter, subject to the restrictions contained in the section of the Policy and this procedural guidance governing the selection and use of Advisors and Supporters. 

• The University will not compel face-to-face confrontation between the parties or participation in any particular form of informal resolution. 

  2. Concluding the Conference – The Informal Resolution Conference ends when a resolution has been reached or when the Complainant or the Respondent has decided to end the process. 

  3. Finality of Conference Outcomes – Agreements reached in an Informal Resolution Conference are final and not subject to appeal. 

   FORMAL RESOLUTION HEARING PROCEDURES 

  General Provisions 

  1. A Formal Resolution Hearing is the University’s formal grievance proceeding through which the Special Matters Hearing Board evaluates evidence related to a Formal Complaint against a Respondent to determine whether the Respondent is responsible or not responsible for a violation of this Policy, based on the criteria of “a preponderance of evidence”. If the Respondent is found in violation of this Policy, the Respondent may be subjected to disciplinary action. All Respondents are presumed not to be responsible for a Policy violation prior to the conclusion of a Formal Resolution Hearing. 

  2. At least ten (10) business days prior to a hearing, both parties, their Advisors, and the Special Matter Hearing Board will be provided access to a hearing packet containing the Notice of Allegations, Formal Complaint, investigation report, parties’ responses to any written notice or report, witness statements, correspondence to parties, and any other related material pertinent to the hearing. The packet must not be copied and must be returned at the end of the proceeding because it typically will contain other parties’ confidential and FERPA-protected information. Additionally, receipt of the hearing packet is conditioned on each recipient’s agreement not to redisclose or use other people’s confidential information, learned as a result of the investigation or proceeding, outside of such forums without express consent or for any improper purpose. The Hearing Packet will be made available for use at the Formal Resolution Hearing. Each party will have three (3) business days to respond to the investigation report. 

  3. Under no circumstances does the University’s Formal Resolution process allow for, require, rely upon, questions or evidence that constitute, or seek disclosure of, information that is protected under a recognized legal privilege, unless the person holding such privilege waives such privilege in writing. 

  4. All hearings under this section will be live (may be virtual), recorded, and closed to the public. The attendance of any person, other than those specifically outlined in the Policy and this procedural guidance, to the hearing will be at the discretion of the Special Matter Hearing Board’s chairperson; however, the Complainant and the Respondent will have the same opportunities to  have others present. CAU may limit the number of people in attendance at hearings, conferences and related disciplinary proceedings but will not interfere with parties' choices of specific attendees. 

  5. When requested, the Board's chairperson will make arrangements so that the Complainant and the Respondent do not have to be present in the same room at the same time, but each party shall have the right to hear and see all witnesses’ testimony and to conduct live cross examination via electronic means, such as videoconference, ZOOM or Skype. 

  6. At the Formal Resolution Hearing, Advisors for each party shall have the opportunity to cross examine the other party and question witnesses as permitted by the Policy, this procedural guidance, and University’s rules of decorum for Formal Resolution Hearings. 

  7. Questions and evidence about the Complainant’s sexual predisposition or prior sexual behavior are not relevant, unless the questions and/or evidence is offered to prove that: (1) someone other than the Respondent committed the alleged Policy violation or (2) the questions or evidence concern specific incidents of the Complainant’s prior sexual behavior with respect to the Respondent and offered to prove consent. 

  8. A Complainant nor a Respondent is required to participate in the Formal Resolution Hearing. Parties will not be required to be present for the entire Formal Resolution Hearing. That said, the hearing is the opportunity for the Complainant and the Respondent to provide their facts and evidence to the Special Matter Hearing Board. If a party or witness does not submit to cross examination at the Formal Resolution Hearing, the Hearing Board cannot rely on any statement of that party in reaching a determination of responsibility. However, that the Hearing Board cannot draw an inference about the determination regarding responsibility based solely on a party’s or witness’s absence from the Formal Resolution Hearing or refusal to answer cross examination or other questions. 

  9. At the hearing, it is each party’s responsibility to call their own witnesses. The parties must give at least three (3) days’ notice prior to the Formal Resolution Hearing of who their attendees and witnesses will be and the witnesses’ expected sequence, so the other party can be prepared. The parties will not be strictly bound to their lists, but they should be submitted in good faith. Further, every witness offering testimony shall be required to stay at the hearing until all parties have an opportunity to ask them questions. 

  10. When necessary for the pursuit of truth, the Special Matter Hearing Board shall have discretion to ask the Title IX Coordinator to request additional witnesses after receipt of the parties’ witness lists. 

  11. The Title IX Coordinator will be present at all Formal Resolution Hearings. 

  12. Legal rules of evidence or criminal or civil procedure will not apply. 

  13. Decisions made in a Formal Resolution Hearing may be appealed as described in the Appeal Section of this procedural guidance and corresponding Policy. 

  Formal Resolution Procedures and Determinations of Responsibility 

  1. At the Formal Resolution Hearing, the Investigator may give a statement containing a summary of their factual findings, and each party will have the option to provide an introduction and an opening statement, summarizing their position. 

  2. Each party will be permitted to call their own witnesses. Witnesses will be asked to affirm adherence to the Honor Code. Prospective witnesses, other than the Complainant and the Respondent, may be excluded from the hearing during the statements of the Investigator and other witnesses. 

  3. The Special Matter Hearing Board and the parties through their Advisors will have an opportunity to question witnesses who appear at the hearing. Questions by the Advisors should be directed to the Board Chair, who will then make a determination as to the relevancy of the question. If the Board Chair determines that the question is relevant, then the Board Chair will direct the party or witness to answer the question. If the Board Chair determines that the questions is not relevant, he or she must explain the decision to exclude any question as not relevant. The Advisor will not have the opportunity to object to the relevancy determination. If the question is deemed not relevant by the Board Chair, the Advisor must move on to the next question, after the relevancy explanation is given. Typically, the Board will ask its own questions first, then allow the questions of the party whose witness it is, then the questions of the other party. The Board Chair will be responsible for ensuring the questioning is fair and complies with the terms of the Policy, this procedural guidance or any University rules of decorum governing the hearing but will not otherwise substantively limit the scope of the parties’ questions unless they seek to elicit irrelevant information, unduly cumulative evidence, or have the effect of impermissibly badgering or harassing the witness. 

  4. The Board may, in its discretion, grant lesser weight to last-minute information or evidence introduced at the hearing that was not previously presented for investigation by the Investigator. 

  5. At the conclusion of the hearing, the Investigator may give a closing statement and each party will have an opportunity to provide a closing statement at their option. 

  6. All parties, the witnesses and the public will be excluded during Board deliberations, which will not be recorded or transcribed. 

  7. The Title IX Coordinator will be present at the hearing and can assist with procedural matters. However, the Title IX Coordinator will not be present for the deliberations of the Hearing Board in determining responsibility. 

  8. In all cases, the Hearing Board must consider evidence presented by the Complainant, the Respondent, the Investigator and/or others and determine by a preponderance of the evidence whether a violation of the Policy occurred, i.e., whether it is more likely than not that a Respondent violated the Policy, and impose sanctions, if any. 

  9. The Hearing Board will notify the Title IX Coordinator of the decision. 

  10. Decisions made in a Formal Resolution Hearing may be appealed as described in the Appeal Section below. 

  Notice of Outcome 

  1. Within three (3) business days following the completion of the hearing, the Title IX Coordinator will simultaneously provide the Complainant and the Respondent a written notice of the outcome of the hearing, the applicable sanctions (if any), and the appeals procedure. This Notice of Outcome will be provided to the Complainant and Respondent by personal delivery or email (with automated return receipt). The Complainant and Respondent will be deemed to have received the Notice of Outcome on the date of delivery. 

  2. The Notice of Outcome will include the following: (1) Summary of the allegations; (2) A description of the procedural steps taken from the receipt of the Formal Complaint through determination; (3) Findings of fact supporting the determination; (4) Conclusions regarding the application of the Policy to the facts; (5) A statement of, and rationale for, the result as to each allegation, including a determination regarding responsibility, any sanctions imposed on the Respondent, and any remedies provided to the Complainant; and (6) Appeal procedures and permissible bases. 

  3. To ensure that the recommended sanctions are enforced and/or corrective action is taken, in cases where the Respondent is a student, the Notice of Outcome will also be provided to the Associate Dean of Student Services and Campus Life. In cases where the Respondent is an employee, the Notice of Outcome will be sent to the Office of Human Resources and the Respondent’s immediate supervisor. 

   REMEDIES AND SANCTIONS 

  Range of Remedies for Complainants 

  Where a determination of responsibility has been made, the University may provide remedies to a Complainant that are designed to restore or preserve equal access to the University’s education program or activity. Remedies may include the same individualized services described as “supportive measures”; however, remedies need not be non-disciplinary or non-punitive and need not burden the Respondent. 

  Range of Sanctions for Respondents 

  1. Criteria for Determining Sanctions – When determining sanctions for an individual found in violation of this Policy, the following criteria will be considered, among other factors: 

•  The nature, circumstances, and severity of the violation(s);  
• The University’s responsibility to ensure the effectiveness of these behavioral standards for the CAU community; 
• The impact of the violation(s) on the Complainant and the community; protection of the University community and the risk that a Respondent may create a hostile and intimidating environment;  
• The requests of the Complainant;
• The level of cooperation and/or honesty of the Respondent, or lack thereof, during the disciplinary processes;  
• Any official report including, but not limited to, disciplinary records (including any past sexual misconduct or University policy violations), employee records, criminal records if known, or other official information, the relevance of which will be determined by the Hearing Board, may be used in determining the sanction. 
• Whether other judicial measures have been taken to protect the Complainant or discipline the Respondent (e.g., civil protection orders); 
•  The housing and course enrollment pattern of the student-Complainant or the work assignment and/or schedule of the non-student Complainant; 

• If determinable and relevant to the underlying Policy violation, the presence of bias on account of race, ethnicity, color, religion, political views, sex, age, sexual orientation, gender identity or expression, national origin, disability, citizenship status, or military/veteran status as a motivation in the Sexual Misconduct. 

  After taking into account the above considerations, the Hearing Board will determine the sanctions for a Respondent found in violation of the Sexual Misconduct Policy. If a Respondent is found in violation of the Policy but is not sanctioned with expulsion or termination, the Hearing Board may strongly consider requiring sexual assault education or related assessments. 

  If a student is determined, by a preponderance of the evidence, to have committed non-consensual sexual penetration or rape, the recommended sanction is a one (1) semester suspension at a minimum, but the Hearing Board is free to consider mitigating factors and lesser sanctions. If a non-student is determined, by a preponderance of the evidence, to have committed non-consensual sexual penetration or rape, the recommended sanction is termination. However, the sanction will be expulsion for a student-Respondent and termination for a non-student Respondent determined to have committed Non-Consensual Sexual Penetration where the Respondent has previously been found in violation of the Sexual Misconduct Policy for Non-Consensual Sexual Penetration, or the Respondent is determined to have used physical force or threat, or deliberately incapacitated the Complainant, to conduct the violation. 

  2. Sanctions When the Respondent Is a Student – One or more of the following sanctions may be imposed upon any student Respondent found to have violated University policies: 

• Warning: After a hearing, the Board may believe the appropriate lesson has been learned and conclude the matter with a formal letter of warning. 
•  Loss of Privileges: Denial of specified privileges for a designated period of time. 
• Continued Sexual Assault Education: Attending or participating in a required number, determined by the Hearing Board, of educational and/or awareness programs at CAU relating to the Sexual Misconduct, and providing evidence of engaging in the program. 
•  Fines: Previously established and published fines may be imposed.
• Restitution: Compensation for loss, damage, or injury. This may take the form of appropriate service and/or monetary or material replacement. 
•  Discretionary Sanctions: Work assignments, service to the University or community, education, referral to counseling, required behavioral assessment, or other related discretionary assignments.  
• Residence Hall Suspension: Separation of the student from the residence halls for a definite period of time, after which the student is eligible to return. Conditions for readmission may be specified.  
• Residence Hall Expulsion: Permanent separation of the student from the residence halls.  

• Disciplinary Probation: A written notification for violation of specified regulations. Probation is designated for a specified period of time and includes the probability of more severe disciplinary sanctions, including suspension or expulsion, if the student is found to violate any institutional regulation(s) during the probationary period. Students can be placed on disciplinary or housing probation.  

  - Level 1 Disciplinary Probation: A student is not considered in good social standing with the University. Good Standing may be required for participation in certain campus activities. In addition, students not in good social standing may have their conduct reviewed for leadership or employment positions on campus. 

  - Level 2 Disciplinary Probation without Representation: A student may not represent the institution on or off campus in any capacity. Examples include, but are not limited to: competition in varsity athletics, international programs or activities, or executive board member of a student organization. 

• University Suspension: Separation of the student from CAU for a definite period of time, after which the student is eligible to return. Conditions for readmission may be specified. 

• University Expulsion: Permanent separation of the student from CAU. 3. 

  CAU Faculty/Staff Employees: Sanctions may include one or a combination of the following disciplinary actions: 

• Verbal Counseling; 
• Written Warning;  
• Suspension Without Pay; 
• Disciplinary Discharge;  
• Immediate Termination; 

• Other Sanctions: Other sanctions may be imposed instead of, or in addition to, those specified in the subsections listed above. 

   APPEALS 

  Timing of and Grounds for Appeal 

  Within five (5) business days of receipt of the Notice of Outcome, the Complainant, Respondent or both may submit a written appeal to the Title IX Coordinator based only on one or more of the following grounds: 

  1. To determine whether there was a material deviation from the procedural protections provided; 

  2. To consider new facts or information sufficient to alter the decision that were not known or knowable to the appealing party during the time of the hearing; 

  3. To determine whether the decision reached was based on a preponderance of evidence; 

  4. To determine whether bias or conflicts of interest of key individuals were present in the investigation or adjudication of allegations; or 

  5. To determine whether the sanctions were disproportionate to the findings. 

  The Title IX Coordinator will notify the parties of the filing of the appeal within two (2) business days of receiving all necessary information for processing the appeal.  

  Form and Content of Appeal 

  Appeals must be made in writing, include the name of the appealing party, and bear evidence that it was submitted by the appealing party. The appeal statement must contain a sufficient description supporting the grounds for appeal. If the grounds for appeal is to consider new facts sufficient to alter the decision that were not known or knowable to the appealing party during the time of the investigation, then the written appeal must include such information. The Title IX Coordinator retains discretion to verify and/or waive minor procedural variations in the timing and content of the appeal submission. 

  The non-appealing party shall receive a copy of the appeal. The non-appealing party may submit a written statement within three (3) business days of receipt of the copy of the appeal that may seek to affirm the initial decision and/or respond to the appeal statement. 

  Stay of Recommended Sanction and Imposition of Supportive Measures Pending Appeal 

  The Title IX Coordinator shall have discretion to impose or withhold any applicable sanctions prior to the appeal deadline and prior to the resolution of any appeal. If a Hearing Board determines a Respondent to be in violation of this Policy and issues sanctions, but the Title IX Coordinator determines sanctions should be withheld pending the appeal, the Title IX Coordinator shall impose accommodations or other supportive or remedial measures consistent with the Hearing Board’s determination and that minimize the burden on the Complainant. The Title IX Coordinator may also continue to take supportive measures or remedies to the Complainant as provided in the Policy and this procedural guidance. 

  Conducting the Appeal 

  The appeal will be determined by the Appeals Facilitator. The Appeals Facilitator is the individual specifically designated to handle and decide appeals based on the specific category of the Respondent. The Appeals Facilitator will consider all information related to the Formal Resolution Hearing, and any written statements received in relation to the appeal, but no other information. 

  Appeals Facilitator 

  If the Respondent is a student, the Chief Student Affairs Officer shall be the Appeals Facilitator. If the Respondent is a member of the Faculty, the University Provost and Vice-President of Academic Affairs shall be the Appeal Facilitator. If the Respondent is a member of the staff, employee, or contract employee, the Appeals Facilitator shall be the Chief People Officer. 

  Determination of Appeal 

  The Appeals Facilitator shall determine whether the Hearing Board made an error on the grounds contained in the appeal statement. A written determination describing the result of the appeal and rationale for the result. 

  Appeals Decision 

  The decision on appeal may: 

  1. Affirm a finding of responsibility and the sanction(s); 

  2. Affirm a finding of responsibility and increase or reduce, but not eliminate, the sanction(s); 

  3. Affirm a finding of non-responsibility;  

  4. Reverse a finding of responsibility and the sanction(s); 

  5. Reverse a finding of non-responsibility and impose sanction(s); or 

  6. Remand the case to the Title IX Coordinator to coordinate further investigation and determination. In such cases, the procedural provisions of this Policy will apply. 

  Following the decision on appeal, the Title IX Coordinator shall have discretion to extend accommodations and/or supportive measures consistent with providing support to either or both parties. Such measures shall be consistent with the results of the appeal. 

  Results of Appeal 

  The Title IX Coordinator will simultaneously notify both the Complainant and the Respondent within three (3) business days of the decision on appeal. If the Respondent is a student, the Dean of Student Services and Campus Life will be notified. If the Respondent is a member of the Faculty, Staff, Employee or Contract Employee, the Office of Human Resources and the Respondent’s immediate supervisor will be notified. 

  Finality of Decisions on Appeal 

  Decisions on appeal are final and conclusive. To ensure that sanctions upheld or imposed on appeal are enforced and/or corrective action is taken, notice of the sanctions will be provided to the Dean of Student Services and Campus Life in cases where the Respondent is a student and to the Office of Human Resources and the Respondent’s immediate supervisor where the Respondent is a non-student. 

   PROCEDURES FOR RESOLVING GENERAL TITLE IX POLICY VIOLATIONS NOT BASED ON SEXUAL MISCONDUCT 

  For general grievances concerning a perceived Title IX violation not involving Sexual Misconduct but involving University policy, practice or procedure, a written grievance should be submitted to the Title IX Coordinator. The grievance should specifically detail the exact policy, practice, or procedure at issue and how it allegedly violates Title IX protections and signed by the party.

   The Title IX Coordinator will appoint an Investigator to investigate the grievance, including, but not limited to, seeking an opinion from relevant stakeholders regarding whether and why (or why not) the policy, practice or procedure being grieved violates Title IX, and what, if any, steps should be taken to bring the policy, practice or procedure into compliance. The Investigator may also conduct a follow-up conference with the grievant or others. Upon completion of the investigation, the Investigator will submit a report to the Title IX Coordinator determining whether the alleged grievance violated any Title IX protections. Within sixty (60) days of receipt of the grievance, the Title IX Coordinator will issue a Notice of Grievance Determination regarding the grievance. 

  Appeals to a Notice of Grievance Determination must be submitted in writing within five (5) business days of receipt of the Notice of Grievance Determination to the Dean of Student Services and Campus Life, if the grievant is a student and to the University Provost and Vice-President of Academic Affairs for nonstudent grievants. 

  Appeals under this section may only be brought on one or more of the following two (2) grounds: 

  1) Decision resulted in the denial of appellant's due process rights under the law or applicable University policy; or 

  2) To consider new information sufficient to alter the decision or relevant facts not brought out in the investigation or on appeal. 

  A Notice of Final Appeal Determination will be issued to the grievant within thirty (30) calendar days of receipt of the appeal. The Notice of Final Appeal Determination will affirm, modify, or reverse the decision being appealed, or the policy/practice/procedure being grieved. 

  The Notice of Final Appeal Determination is final and may not be appealed; however, an affected individual may contact the U.S. Department of Education’s Office of Civil Rights for questions, concerns or complaints about CAU’s handling of the complaint, grievance, or appeal.   

  APPENDIX C – LIST OF RESOURCES AND SUPPORTIVE MEASURES 

  Recommended Immediate Steps Following an Incident of Sexual Misconduct 

  The University is acutely aware that an individual who has been subjected to, or who knows of or who has witnessed a Sexual Misconduct, specifically, may experience physical, mental and emotional trauma as a result of the incident. A victim of Sexual Misconduct is encouraged to follow the following procedures immediately following the occurrence, when possible: 

  A. Get to a safe place immediately and call someone you trust. 

  B. If sexual contact and/or penetration occurred, do not wash, shower, bathe, use the toilet or change clothing. Preserve any evidence as would be necessary to prove the offense, or in obtaining a protective order, restraining order, and/or no-contact order. Examples of such evidence include: • Clothing worn during the incident, including but not limited to undergarments; • Sheets, bedding, and condoms, if used; • A list of witnesses with contact information; • Text messages, emails, call history, and digital media posts; and • Pictures of any injuries. 

  C. You are encouraged to call the appropriate law enforcement agency. To contact the Atlanta Police Department (APD) Special Victims Unit, call (404) 546-7896. CAU’s Department of Safety, (404) 880- 8911, can assist any student with reporting a crime to the APD. If the incident did not occur on campus, call the law enforcement agency having jurisdiction where the incident occurred. 

  D. Get medical attention. CAU Department of Safety will assist you in calling Emergency Medical Services (911) if you ask them to. The University also encourages you to go, or have someone else take you, directly to a medical facility or medical provider of your choice. Any medical provider should be instructed to collect and preserve relevant evidence, or if they are not experienced in doing so themselves, to contact the Grady Hospital Rape Crisis Center at (404) 616-4861. Additional off-campus medical services include: 

  LOCAL HOSPITALS 

  Grady Memorial Hospital- 80 Jesse Hill Jr Dr. SE, Atlanta, GA 30303 404-616-1000 

  Emory Hospital Midtown- 550 Peachtree St NE, Atlanta, GA 30308 404-686-4411 

  Piedmont Hospital- 1968 Peachtree Rd NW, Atlanta, GA 30309 404-605-5000 

  E. The University will assist an individual who has been subjected to, who knows of, or who has witnessed an incident of Sexual Misconduct in obtaining the services of counseling professionals, if requested. The University encourages you to seek support services. For on-campus student counseling services, contact the Office of Counseling and Disability Services Center at (404) 880-8044. For off-campus counseling and advocacy services, contact the Grady Hospital Rape Crisis Center at (404) 616-4861. 9.6.7. Title IX Policy Page 38 August 2020 The University will provide as much assistance as possible but cannot assume financial responsibility for off-campus counseling services. 

  F. All members of the campus community are encouraged to seek resources and support related to Sex discrimination and sexual misconduct proceedings, including Respondents, witnesses and bystanders. For more information, see CAU’s Title IX website. 

  Non-Exhaustive Examples of Supportive Measures 

  In all cases, the Title IX Coordinator may offer supportive measures that are consistent with the University’s policies and procedures, before or after the filing of a Formal Complaint or where no Formal Complaint has been filed. Examples of supportive measures that the University may offer and implement include, but are not limited to: 

• providing a campus safety escort to ensure a reporting party or party can move safely between buildings, classes, dining halls, and activities on campus;  
• ensuring that the Complainant and the Respondent do not attend the same classes, seminars, functions, meetings, etc.; 
• offering to provide or facilitate the provision of medical, counseling and mental health services, but not necessarily covering the cost of such services; 
• providing education regarding gender discrimination, sexual misconduct, alcohol and drug use, incapacitation and consent, etc.; 
• reviewing any academic challenges or any disciplinary actions taken against either party to see if there is a causal connection between the events that may have impacted the party;
• extension of deadlines or other course or work-related adjustments; 
• modifications of class or work schedules; 
• changing on-campus living arrangements or work locations, when reasonable;  
• initiation of process to obtain orders of protection, no contact orders, restraining orders, or similar lawful orders issued 
• by a criminal or civil court, if necessary; 
• leaves of absences 
• providing increased monitoring, supervision, or security at locations or activities where the misconduct occurred;  

•  limiting the access of the individual accused of the misconduct to certain University facilities until the matter is resolved, including the possibility of an interim suspension, if warranted.

   

1.0 Policy Statement 

Clark Atlanta University values family life and has worked to develop employment policies and benefits that are supportive of families. While we seek to provide an environment open to work and family issues, the University cannot allow the continued or reoccurring presence of children [defined as persons below the age of eighteen (18) years old] in the workplace for the following reasons: 

(1) Health and safety concerns of the children and of employees if children are ill or contagious 

(2) The potential for interruption of work 

(3) Liability to the University The purpose of this policy is to establish criteria to govern unique circumstances that permit children to visit their parents or other relatives who work at the University while still protecting their welfare and safety, and promoting an environment in which faculty staff and students remain productive and reducing potential risk for the University. 

2.0 Policy Narrative 

When possible, departments should honor an employee’s request for flexibility to meet unexpected family needs that may require the employee’s attention during normal working hours. When workloads allow, we encourage departments to cooperate with employees who wish to meet family responsibilities by using breaks, lunch hours, flexible work schedules and adjusted work hours or leave benefits to meet these obligations. However, the University understands that brief (no more than two hours) and infrequent visits by children of employees or graduate fellows may occur for a variety of reasons. In these situations, the employee should get written permission (via e-mail) from the senior leader of the business unit (Assistant Vice President, Associate Vice President, Vice President, Senior Vice President, Executive Vice President) or his/her designee, prior to bringing the child to campus. When permission is granted, employees should follow the principles outlined below: 

• At all times the child(ren) remain the sole responsibility of the parent. The parent must accompany their child(ren) at all times and must not ask any other employee or student to supervise the child(ren). 

• The presence of the child(ren) cannot disrupt the work environment or negatively affect the productivity of the employee responsible for the child, other employees or students. 

• The employee’s supervisor may ask the employee to take the child(ren) from the workplace at any time if the supervisor determines that health or safety risks or the disruption are too great or that the child’s presence is disruptive.

 • Bringing children to the workplace on a recurrent basis during their school breaks or before/after school is not appropriate and is not permitted under this policy. 

• A child who has an illness that prevents acceptance by a regular day care provider or from attending school, particularly a child with an infectious disease, should not be brought to the workplace under any circumstances. 

Entities Affected by this Policy 

All faculty, staff and graduate fellows 

4.0 Definitions 

Child is defined as anyone under the age of eighteen (18) years old. 

Children may include natural children, adopted children, stepchildren, nieces, nephews, foster children, or children of friends or neighbors.

1.0 Policy Statement 

Clark Atlanta University (the University/CAU) does not discriminate against individuals on the basis of diagnoses of any infectious diseases. Clark Atlanta University’s decisions involving persons who have an infectious disease shall be based on current and well-informed medical judgments concerning the disease, the risks of transmitting the disease to others, the symptoms and special circumstances of each individual who has an infectious disease, and a careful weighing of the identified risks and the available alternatives for responding to an employee with an infectious disease. 

This policy is based on information available from the Centers for Disease Control and Prevention (CDC) and the Occupational Safety and Health Administration (OSHA) at the time of its development and is subject to change based on further information provided by the CDC, OSHA, and other public officials. The University intends to implement this policy in a flexible way depending on the varying level of disease transmission in the community. As a result, this policy will likely continue to be refined. The University also may amend this policy based on operational needs. 

2.0 Procedure Narrative 

Clark Atlanta University ensures that employees with infectious diseases are entitled to the same rights, nondiscriminatory practices, equitable treatment, and opportunities as all other employees, assuming it does not put the campus community at risk. Depending upon the medical circumstances of each condition, the University may regularly monitor or require the monitoring of a person’s medical condition by requesting statements from his or her treating physician or medical provider, or requiring medical tests or screenings. 

As with other infectious diseases and conditions which may affect people associated with the University, the University is unable to guarantee that a member of the University community will not be exposed to infectious diseases. The University urges every person in the campus community to learn about the transmission of infectious diseases so he or she may take precautions determined appropriate for his or her individual circumstance. 

All Clark Atlanta University employees are expected to participate in the process of reducing the transmission of infectious disease in the workplace. The best strategy remains practicing good hygiene, with the most obvious measures including frequent hand washing with warm, soapy water for at least twenty (20) seconds; covering your mouth whenever you sneeze or cough; exercising physical and/or social distancing; discarding used tissues in wastebaskets; and wearing face coverings/face shields as recommended by the CDC. The University will also communicate additional measures for reducing the transmission of infectious disease in the workplace, as needed, and will require compliance with these measures to ensure workplace safety. It is critical that employees do not report to work while they are ill and/or experiencing the following symptoms: fever, cough, sore throat, runny or stuffy nose, body aches, headache, and chills. Employees who report to work ill will be sent home in accordance with applicable local, state, and national health guidelines.  

3.0 Regulations, Mandatory Testing, and Screenings 

As permitted by the Equal Employment Opportunity Commission (EEOC), the University may, from time to time, mandate that employees submit to any medical test that is job-related and consistent with the requirements of the business. Additionally, when the University determines it is necessary to establish and implement a screening protocol to monitor the environment in which employees are working, employees will be required to undergo screening for elevated temperatures and other related symptoms immediately upon arriving at the worksite each day. These tests and screenings are designed to help the University take steps to ensure workplace safety. The guidelines for such tests and screenings are as follows:  

• Testing and screenings for any infectious disease, including, but not limited to, COVID19, will be conducted on a non-discriminatory basis
• All test results will be retained as confidential medical records according to regulations associated with the Americans with Disability Act (ADA) and the Health Insurance Portability and Accountability Act (HIPAA), and may be shared in limited circumstances with supervisors, managers, first aid and safety personnel, and government officials as required by law.  
• Any screening, test or inquiry that is broader than necessary to address the potential direct threat is prohibited 
• Although unlikely, it is possible that an employee could have a medical condition that could require the employer to determine whether it can provide the employee with an accommodation, such as making available an alternative testing method to the (likely nasal swab) method being used. 

• Failure to follow guidelines as set forth by the University, particularly those that relate to the safety and general welfare of our students, staff and faculty, will be considered a violation of 2.4.0 the University Code of Ethical Conduct Policy Section 2.9 and will be subject to progressive disciplinary action, up to and including termination. 

  The University reserves the right to bar access to the worksite for any employee that refuses to cooperate with testing, screening, or safety protocols. 

  4.0 Social Distancing Guidelines for Infectious Disease Outbreaks 

  As recommended by state and local health authorities, the University may require employee compliance with a variety of social distancing measures to mitigate the risk of spreading of an infectious disease in the workplace. Such measures may include, but not be limited to, the following: 

•  Avoiding meeting people face-to-face. Employees are encouraged to use the telephone, online conferencing, e-mail, or instant messaging to conduct business as much as possible, even when participants are in the same building. 
•  If a face-to-face meeting is unavoidable, minimizing the meeting time, choose a large meeting room and sit at least one yard from each other if possible; avoid person-toperson contact such as shaking hands.  
•  All employees are required to wear protective face coverings/face shields as recommended by the CDC in all public spaces while on campus property, there will be no exceptions to this directive. 
•  Avoiding any unnecessary travel and cancel or postpone nonessential meetings, gatherings, workshops, and training sessions.  
• Declining to congregate in work rooms, pantries, copier rooms or other areas where people socialize. 
•  Bringing lunch and eating at your desk or away from others (avoid lunchrooms and crowded restaurants). 

• Encouraging members and others to request information and orders via phone and email in order to minimize person-to-person contact, and having the orders, materials and information ready for fast pick-up or delivery. 

  5.0 Confidentiality/Privacy 

  Except for circumstances in which the University is legally required to report workplace occurrences of communicable disease, the confidentiality of all medical conditions will be maintained in accordance with applicable law and to the extent practical under the circumstances. When it is required, the number of persons who will be informed that an unnamed employee has tested positive will be kept to the minimum needed to comply with reporting requirements and to limit the potential for transmission to others. Individual medical information may be consolidated into a data pool to track exposure and initiate protective measures for the university community. The University also reserves the right to inform sub-contractors, vendors/suppliers or visitors that an unnamed employee has contracted an infectious disease if they might have been exposed to the disease so those individuals may take measures to protect their own health. 

  6.0 Responsibilities 

  Any complaints relating to discrimination and/or harassment should be reported to the Office of Human Resources immediately. Complaints will be treated confidentially and promptly and will be carefully investigated. The Human Resources Department is responsible for the implementation of the University’s Infectious Disease policy and the coordination of the grievance process related to this policy. 

  7.0 Entities Affected By This Policy 

  All Faculty and Staff of the University 

  8.0 Definitions 

  Infectious Disease: an infectious disease transmissible (as from person to person) by direct contact with an affected individual or the individual's discharges or by indirect means (as by a vector). Examples of Infectious (Communicable) Diseases include, but are not limited to, measles, influenza, viral Hepatitis-A (infectious hepatitis), viral Hepatitis-B (serum hepatitis), human immunodeficiency virus (HIV infection), AIDS, AIDS-Related Complex (ARC), leprosy, Severe Acute Respiratory Syndrome (SARS) and any version of SARS (i.e. COVID-19), and tuberculosis. The University may choose to broaden this definition within its best interest and in accordance with information received through the CDC.

1.0 Policy Statement 

Clark Atlanta University (CAU/the University) volunteers are expected to abide by all University policies and procedures and external regulations that govern their actions, including but not limited to those relating to ethical behavior, safety, confidentiality, protected health information, computer use, financial responsibility, and drug use. University volunteers are not covered by the Fair Labor Standard Act and are not considered employees for any purpose. Therefore, volunteers are not eligible for compensation or any University benefits except for workers’ compensation benefits as a result of this volunteer association. Volunteers are required to complete the University’s Volunteer Service Agreement and may be subject to a background check. Both the Volunteer Service Agreement and the Background Investigation Consent form must be completed prior to allowing a volunteer start their assignment.

 2.0 Procedure Narrative 

2.1 Applicability 

This policy applies to individuals who: (1) volunteer their services directly to the University, whether on an ad hoc basis or through a formal volunteer program conducted by a University department; and (2) receive no compensation for such services. 

This policy does not apply to: 

• Volunteers who are affiliated with and provide services on behalf of an external sponsoring agency or service organization not associated or affiliated with the University, such as the American Red Cross. 
• Volunteer groups and nonprofit organizations dedicated to providing fundraising, public outreach and other support services to the University  Individuals serving unpaid educational internships in order to receive academic credit or certification.
• Individuals holding academic “without salary” appointments. 

• Guest lecturers and individuals serving as judges or expert panelists in the context of an instructional program. 

  This policy does not address students, faculty or staff who volunteer off-campus while representing the University. 

  2.2 Selection Criteria and Restrictions 

  Because CAU Volunteers are not employees of the University, they are not eligible for any University benefits or leave time. 

  Other restrictions and conditions include:   

• CAU Volunteers cannot be used to supplant regular staff employees, i.e., performing duties and having responsibilities that are part of the department’s normal business and that are normally assigned to an employee who is compensated 
• CAU Volunteers may not be used in full-time, long-term assignments. Volunteer activities are expected to be sporadic or of limited duration.  
• In accordance with provisions of the Fair Labor Standards Act employees may not perform hours of volunteer service in the same capacity as their regular duties or perform the same types of services they perform as part of their jobs. 
• Within the context of this policy, the use of volunteers in the performance of services for the University is at the sole discretion of the University. Volunteer services may be terminated without prior notice at any time when the University in its sole opinion, determines that the services are no longer required, or that the volunteer may not be able to satisfactorily perform the service. No length of performance of volunteer services for the University shall create any entitlement, right or privilege on the part of any individual to continue providing volunteer services for the University in the future. 

• CAU Volunteers must be at least 18 years of age. 

  2.2 Prohibited Activities 

  University volunteers may not be used to replace an existing employee. University volunteers are also prohibited from performing the following activities: 

•  Operating heavy equipment including vehicles.  
• Any activity considered inappropriate for an employee.  
• Entering into a contract on behalf of the University. 
• Working with infectious or potentially infectious agents, including human blood or working in any other activity that would put the volunteer at risk. 
•  Volunteers may not supervise or manage other volunteers nor may they supervise staff members, including student employees. University volunteers must be supervised by CAU staff or faculty. 

•  Volunteers should not be used for cash handling activities. However, in situations where CAU volunteers must handle cash, a University employee must be present at all times during which cash transactions are conducted, and all applicable University policies and procedures regarding cashiering and cash handling must be observed. 

  2.3 Access to University Resources, Facilities and Records 

•  University volunteers may not be granted access to University financial accounts or funds, or University systems such as the University Payroll, Purchasing, or Student Systems, nor may they be given the authority to commit University funds.
• Volunteers may not have access to confidential information. 

• Volunteers should not be issued keys to buildings or offices. However, if departmental operational considerations require the issuance of keys to a volunteer, the volunteer must undergo, and satisfactorily pass, a criminal background check prior to being issued such keys. At no time should CAU volunteers have access, even temporarily, to master keys for any University building. 

  2.4 Dismissal 

  A University volunteer’s term of service may be terminated at any time and without prior notice. 

  3.0 Entities Affected By This Policy 

  All Employees of the University 

  4.0 Definitions 

  Fair Labor Standards Act (FLSA) - The FLSA is a federal statute that regulates wage and hour issues including child labor, minimum wage, the number of hours in a standard workweek, overtime pay and record-keeping. 

  University Volunteer - Uncompensated individuals who perform services directly related to the business of the University, to support the humanitarian, charitable or public service activities of the University volunteer, or to gain experience in specific endeavors. To qualify as a University volunteer, an individual must be willing to provide service according to the procedures in this policy. An individual who provides services to an entity other than the University that may be related to the University, such as the Alumni Association, will not be considered a University volunteer.

4.0 

Desktop Procedures 

Step Action 

1 When selecting and engaging a volunteer, it is the department’s responsibility to ensure the individual or volunteer organization has adequate experience, qualifications, and training for the task he or she will be required to perform. 

2 Departments seeking to engage a volunteer must complete a Volunteer Service Agreement. 

3 The original Volunteer Service Agreement is given to Human Resources, one copy is retained by the department engaging the volunteer and one copy is given to the volunteer. 

4 Copies of the Volunteer Service Agreement must be retained for three years.

Clark Atlanta University Volunteer Service Agreement

Clark Atlanta University-Background Investigation Consent

1.0 Policy Statement 

All staff job openings at Clark Atlanta University (the University/CAU) are posted for a minimum of five (5) business days. 

2.0 Procedure Narrative 

The University believes in promoting staff from within for those positions in which existing employees are interested and for which they are qualified. The University has established a jobposting program to give all staff an opportunity to apply for open positions. Vacancies governed by this policy are posted on the CAU website and in the lobby of Harkness Hall. Positions are posted for at least five (5) business days. 

In order to be eligible to apply for a posted position, an employee must meet the minimum hiring specifications for the position, be in good standing in terms of his or her overall work record, and generally has been in his/her current position for a minimum of six months. 

Staff members are responsible for monitoring job vacancy notices and for submitting appropriate application materials to the Office of Human Resources during the posting period. 

Staff members are not required to notify his or her supervisor when submitting an application for a posted position. Human Resources notifies the employee’s supervisor if the staff member is a finalist. The supervisor is notified prior to the completion of the application process. A member of the Human Resources Department contacts the staff member regarding his/her application and the status of his/her candidacy. 

Retaliation against an employee seeking a new position will not be tolerated by the University. 

3.0 Entities Affected By This Policy 

All new employees and hiring departments

1.0 Policy Statement 

All new staff employees are required to satisfactorily complete a ninety (90) day probationary period. Staff employees who have been promoted are required to complete a ninety (90) day evaluation period. Staff employees making a lateral transfer without a break in service are not required to complete either a probationary or evaluation period. 

2.0 Procedure Narrative 

2.1 New Employees 

During the probationary period the supervisor determines if the employee has demonstrated that they have the knowledge and skills required to perform satisfactorily in their new position. 

• At the end of the first ninety (90) calendar days of employment, the employee’s performance is evaluated by his/her supervisor to determine whether the employee has performed satisfactorily in his/her job. The Staff Performance Plan and Evaluation Form (Appendix A) is completed at this time. 
• If a staff member is proving unsuitable for the job, the supervisor discusses the situation with a Human Resources representative. This contact must be made as early as possible, but at least 14 calendar days prior to the end of the 90-calendar day probationary period, and before discussing it with the staff member. The Human Resources representative provides information, advice and the appropriate procedure to follow in the event of an extension of the probationary period or termination.
• The probationary period may be extended in writing by the department head upon recommendation of the immediate supervisor and with the agreement of the Director of Human Resources. Extensions to the standard probationary period may not exceed sixty (60) calendar days. 
• At the end of the extended probationary period, the supervisor revises the Staff Performance Plan and Evaluation Form and provides the appropriate recommendation regarding the employee’s continued employment. All documentation, including the performance evaluations, must be forwarded to the Office of Human Resources for inclusion in the employee’s personnel file.  
• After successfully completing the probationary period, the staff member becomes a regular full-time or a regular part-time employee of the University. 
• Employees in the 90-day probationary period may be separated from the University without cause and have no recourse through the grievance procedure. 

• 2.2 Promoted or Transferred Employees 

  Regular full-time employees who are promoted, or transferred, or whose jobs are reclassified are not re-categorized to probationary employee status; however, the transferred, promoted or reclassified employee must satisfactorily complete a 90 day evaluation period. The employee’s supervisor completes the Staff Performance Plan and Evaluation Form at the end of this time. 

  If the employee receives an unsatisfactory performance evaluation they may be transferred back to their former position if it is still open. However, if their former position has been filled and there are no open positions for which they are qualified they may be terminated. 

  3.0 Entities Affected By This Policy 

  All staff employees 

  4.0Definitions 

  Regular Employee: A person who is hired to provide services to the University on a regular basis in exchange for compensation and who does not provide these services as part of an independent business.

5.0 Desktop Procedures 

New Employees 

Step Action 

1 At the end of the first ninety (90) calendar days of employment, the employee’s performance is evaluated by his/her supervisor to determine whether the employee has performed satisfactorily in his/her job. The Staff Performance Plan and Evaluation Form (Appendix A) is completed at this time. 

2 If a staff member is proving unsuitable for the job, the supervisor discusses the situation with a Human Resources representative. This contact must be made as early as possible, but at least 14 calendar days prior to the end of the 90-calendar day probationary period, and before discussing it with the staff member. The Human Resources representative provides information, advice and the appropriate procedure to follow in the event of an extension of the probationary period or termination. 

3 The probationary period may be extended in writing by the department head upon recommendation of the immediate supervisor and with the agreement of the Director of Human Resources. Extensions to the standard probationary period may not exceed sixty (60) calendar days. 

4 At the end of the extended probationary period, the supervisor revises the Staff Performance Plan and Evaluation Form and provides the appropriate recommendation regarding the employee’s continued employment. All documentation, including the performance evaluations, must be forwarded to the Office of Human Resources for inclusion in the employee’s personnel file. 

5 After successfully completing the probationary period, the staff member becomes a regular full-time or a regular part-time employee of the University. 

Promoted or Transferred Employees 

Step Action 

1 Regular full-time employees who are promoted, or transferred, or whose jobs are reclassified are not re-categorized to probationary employee status; however, the transferred, promoted or reclassified employee must satisfactorily complete a 90 day evaluation period. 

2 The employee’s supervisor completes the Staff Performance Plan and Evaluation Form at the end of 90 day evaluation period.

6.0 Appendix A- Staff Performance Plan and Evaluation

1.0 Policy Statement 

The Fair Labor Standards Act, as amended, classifies employee positions as either "exempt" or "non-exempt." The classification of a position determines how an employee is paid, among other things, for hours worked in excess of forty (40) hours per week and whether or not they are subject to the minimum wage and overtime provisions of the Fair Labor Standards Act. 

The Office of Human Resources at Clark Atlanta University (CAU/the University) determines which positions are exempt or non-exempt. 

2.0 Procedure Narrative 

For purposes of salary administration and eligibility for overtime payments and employee benefits, the University staff is classified as follows: 

2.1 Full-time Regular Staff 

Full-time regular staff are hired to work the University’s normal, full-time, thirty five hour workweek on a regular basis. Such employees may be exempt or non-exempt. 

2.2 Part-time Regular Staff

 Part-time regular staff are hired to work fewer than twenty-five hours per week on a regular basis. Such employees may be exempt or non-exempt. 

2.3 Temporary Staff 

CAU temporary staff are engaged to work full-time or part-time with the understanding that their employment will end upon completion of a specific assignment. A CAU temporary employee may be offered and may accept a new temporary assignment upon completion of their initial assignment. Such employees may only be non-exempt and can only be employed for twelve (12) months or less. These employees do not receive benefits and are not entitled to paid leave. 

Temporary employees are not entitled to any compensation beyond the date of termination. Temporary employees have coverage for worker’s compensation and unemployment insurance. 

2.4 Non-exempt Employees 

Non-exempt employees are paid according to the number of hours worked per week and receive overtime pay at time and one-half for hours worked beyond a 40 hour work week in accordance with the Federal Labor Standards Act. 

2.5 Exempt Employees 

Exempt employees hold positions that are exempt from overtime law provisions. Exempt employees are paid an annual salary, rather than an hourly wage. These employees are expected to work the number of hours necessary to complete their responsibilities, assignments and objectives. This may mean that at times exempt employees work more hours than the standard 40 hour work week. Executives, professional staff, and certain employees in administrative positions are typically exempt. 

All staff members are informed of their employment classification and status as an exempt or nonexempt employee in their offer letter. Human Resources informs employees of changes to their classification and status that result from a promotion, transfer or other position change. 

Any questions regarding employment classification or exemption status should be directed to the Human Resources Department. 

3.0 Entities Affected By This Policy 

All staff of the University

1.0 Policy Statement 

Threatening behavior or violence on the campus of Clark Atlanta University (CAU), satellite locations, and sanctioned functions off campus are prohibited and will not be tolerated. 

2.0 Procedure Narrative 

Threatening behavior includes any behavior, physical or verbal, that is menacing, harassing, provoking, or unsafe which by its very nature could be interpreted by a reasonable person as an intent to cause physical harm or psychological/emotional harm to another individual. Threatening behavior may or may not include the actual act of physical force, with or without a weapon, toward another individual. Any behavior or comment that creates a threatening environment is a violation of this policy and will result in immediate disciplinary action. 

This policy is not meant in any way to curtail an individual's right to express him/her as long as that expression is not disruptive, inappropriate or unprofessional and does not cause fear or harm to individuals affected. 

CAU property includes grounds, parking lots, and buildings on campus, at satellite locations and sanctioned functions off-campus. This policy applies during, before or after regular class or work hours. Violation of this policy by employees or students will result in immediate termination of employment or expulsion from Clark Atlanta University. 

2.1 Purpose 

This procedure outlines an orderly process for handling violence and threatening behavior at CAU and its affiliate locations. The establishment of clear policies and procedures which prohibit threatening behaviors and situations are intended to create and maintain a safe educational and work environment for all students and employees. Ignoring such behavior reinforces the behavior and sends a message to the individual that such behavior is acceptable. 

2.2 Responsibilities 

A. Each member of the CAU community is accountable for his/her own behavior and is expected to interact responsibly with fellow employees, supervisors, students, and the general public. In addition, individuals are expected to report to those in authority any threatening behavior or situation, unauthorized individuals in the workplace or student areas and threats from non-members of the CAU community. 

B. The individual having supervisory authority over the threatening individual is responsible for contacting the Department of Public Safety 404-880-8911 when a situation is identified or violence has occurred. That individual is also responsible for arranging for the safety of subordinates or others for whom he/she is responsible, care of those affected, maintaining the departments mission, and communicating information regarding the incident or behavior to his/her immediate supervisor and upper management. As soon as possible the situation should be reported to the Director of Human Resources 404-880-8773 or the Vice President for Student Affairs 404-880-8358.  

C. Upper Management: Upper management will identify and address underlying workplace situations which may give rise to stress and support the supervisor dealing with the threatening behavior or violence. 

D. Director of Human Resources: For employees, the Director of Human Resources advises management throughout the process. Responsibilities include advising management on proper action, reviewing adverse personnel action documentation, and ensuring that evidence exists to support action pending or taken. 

E. Vice President for Student Affairs: For students, the Vice President for Student Affairs is responsible for student discipline throughout the process. Responsibilities include notifying the President of the incident and providing direction to the individual responsible for student discipline on proper action, reviewing documentation, and ensuring that evidence exists to support pending action. 

F. University Counseling Center: The University Counseling Center will assess the threatening individual and make appropriate referrals when necessary, provide support and consultation to supervisors and victims and participate in debriefing sessions regarding the incident within the legal and ethical bounds of confidentiality. The University Counseling Center will play a key role in the aftermath of an incident as a lead member the Campus Incident Response Management Team (CIRMT) in counseling affected employees and affecting the healing process. 

G. CIRMT consists of representatives of the Police Department, Student Health, University Counseling Center, Office of Human Resources, Legal Office, Student Affairs, Media Relations and a member of line management. Additional expertise will be solicited as necessary. The CIRMT will analyze risk factors and plan a course of action. The Team is responsible for balancing the rights of the individual over the threats and anyone who is the target of those threats. In the event of an incident, this team is the vehicle to implement a compassionate, professional response on the part of CAU. Following an incident, coworkers, students, and witnesses will be shielded from the press and all requests will be processed through the media relations representative. This team will bring together all those who witnessed the incident to discuss their reactions in a debriefing session to take place within two days of the incident. This team, in conjunction with the appropriate department, will address issues such as; contacting victims' families, insurance and death claims, cleanup and repairs of affected area, etc. 

2.3 Preventive Measures 

To minimize the risk of violent acts occurring in the workplace, or elsewhere on campus, attention must focus on collective initiatives that will include early warning signs, applicant screening, and supervisory training. 

2.4 Early Warning Signs 

Early warning signs for a potentially troubled individual include but are not limited to: 

• Attendance problems  

• Increased mental distraction 

• Inconsistent work practices 

• Poor interpersonal relationships 

• Increased health and safety problems 

• Poor health and hygiene habits 

• Persistently inappropriate demonstrations of anger 

• Escalated verbal aggression 

• Brandishing weapons at work 

It is important to note that almost without fail, violent individuals will fall within one or more of these categories: 

• History of violence 

• Psychosis-loss of contact with reality 

• Romantic obsessions 

• Chemical dependence 

• Depression 

• Pathological blaming 

• Fascination or interest in death, violence, weapons 

2.5 Supervisory Training

Supervisors should be trained in effective communications, conflict resolution, team building, performance counseling, coaching, and stress management. They should also be trained to handle layoffs, disciplinary actions, and terminations with professionalism, sensitivity, and respect for the individual. 

2.6 Applicant Screening 

There are several elements to the screening process. The first is the application. Applications are required to be completed by all applicants for employment at CAU. Applications should be complete with all items answered. Special attention should be given to number of positions held and the duration of each. In addition, there should be a complete accounting of time since enrolled as a full-time student. Or as far back as practical. All periods of unemployment should be explained fully. These same areas should be covered during the interview. Applicants shall be questioned about felony CONVICTIONS. If the applicant admits to a Felony conviction, please consult with the Office of Human Resources for appropriate action. Verification of employment and two (2) complete reference checks are required. 

2.7 Threatening or Violent Behavior 

2.7.1 Threatening Behavior-Non-emergency 

Reduce the possibility of threats or violence by treating all co-workers, students, employees and the general public with respect. Attempt to move the situation to a private place away from populated work areas. Listen carefully and thoroughly before speaking and acknowledge distress. Project an understanding, care, and commitment being constantly aware of the tone of your voice. If you become angry or upset, remove yourself from the situation and find a co-worker, supervisor, resident advisor or another person to . Immediately assist you. An individual experiencing threatening behavior from a co- worker, student, or the general public should report the behavior to his/her supervisor, resident advisor, or someone in authority immediately. If the threatening person is the supervisor or someone in authority, the individual will report the incident to the next person in authority up the chain of authority or to the Director of Human Resources, or the Vice President for Student Affairs. Reporting threatening behavior will not be the basis for adverse action. 

2.7.2 Emergency 

Any member of the CAU community observing violent or threatening behavior is expected to first secure his/her own safety and then call the Campus Police at 404-880- 8911 or 911 if the situation requires immediate assistance of medical personnel and/or law enforcement. If the incident occurs off campus or at satellite locations, the observer should call 911 or the emergency number of the facility at which he/she is located. A violent or threatening person is more likely to de-escalate if someone approaches him or her calmly and confidently, without anger or defensiveness. Do not touch the person. Never challenge or bargain with a threatening person. Do not make promises you cannot keep. Do not attempt to restrain or disarm the threatening individual. Attempt to move the situation away from common areas to a more private area. Be prepared to provide an accounting of what happened, e.g., injuries sustained by the victim if any, a description of the violent or threatening individual and the exact location of the incident. The individual reporting the incident should immediately thereafter notify his/her supervisor or person in authority. 

The person in authority who receives the report will notify his/her chain of authority, the individual having supervisory authority over the threatening individual, the Director of Human Resources, or the Vice President for Student Affairs. 

The Critical Incident Response and Management Team (CIRMT) Emergency Management Team may be convened by the CIRMT Leader when threatening behavior is reported. The purpose for the initial meeting is to ensure compliance with this policy and procedure by evaluating the incident and making recommendations to management regarding compliance. 

After the incident has been investigated and resolved, the Team will meet to review the incident to determine if preventive measures should be changed, added, or altered for responding to future incidents. The University Counseling Center counselors will be available to provide post-trauma/critical incident stress debriefings for individuals affected by the incident. 

In addition to this policy individuals on the CAU campus are governed by Georgia Code 16-11-127-11 Carrying a weapon within school safety zones, at school functions, or on school property 

3.0 Entities Affected By This Policy 

All University Employees

2.0 Procedure Narrative 

If an employee is absent for three (3) consecutive work days, a statement from a physician is required before he or she will be permitted to return to work. 

The University may require an employee to be examined by a physician designated by the University when abuse is suspected (for example, when an employee’s record indicates a pattern of short absences and/or frequent absences before or after holidays and weekends). 

Unapproved or unscheduled absences or tardiness that are not covered by the FMLA or Americans with Disabilities Act are grounds for disciplinary action, up to and including termination of employment. 

An unexcused absence is any absence that is not in the following list of excused absences. 

• Absence with a doctor's note explaining reasonable reason for absence 

• Absence for sickness of an immediate family member to include dependent child, spouse or parent under employee's direct care 

• Absence for death of a family member or other medical emergency 

• Absence that is approved by a manager or supervisor 

• Absence pursuant to the FML, ADA, or other legally mandated leave of absence • Employees must use time from their benefit time bank (Annual, Personal and Sick) for every absence unless otherwise allowed by the Department Manager/Cabinet Member.

• You are allowed a maximum of five (5) late occurrences and/or unexcused absences in a ninety-day period before employment termination. 

• There will be a Fifteen (15) minute "grace period" before you are considered late. This means that if you are more than fifteen (15) minutes late for your scheduled shift, you are considered late. 

• Employees that accrue more than three (3) unexcused absences in a six (6) month rolling calendar will be subject to disciplinary action up to and including immediate termination. 

Reporting Process 

2.1 Procedure for Disciplinary Documentation 

With the exception of verbal reprimands, supervisors will provide employees with written documentation of the following and forward a copy of the document to Human Resources: 

A. the nature and extent of the problem; 

B. the policy/procedure that has been violated for which the disciplinary action is being taken; 

C. for cases other than discharge, suggested courses of corrective action; 

D. if applicable, the past work record that includes relevant counseling or disciplinary actions taken; 

E. for cases other than discharge, a statement of consequences to the employee in the absence of improvement or the recurrence of the problem; and 

F. any follow-up action to be taken. 

This requirement establishes a record of the performance/conduct problem, helps ensure that the employee has been counseled and seeks to ensure that the employee, supervisor, and Human Resources clearly understand the key issues surrounding the situation. 

Generally, one or more steps in the disciplinary process are undertaken. The choices of disciplinary options depends upon the seriousness of the offense and surrounding circumstances. Some of the steps may be skipped if deemed appropriate by the employee's immediate supervisor. 

3.0 Entities Affected By This Policy 

All Administrators and Staff of the University 

4.0 Definitions 

Progressive Discipline 

Verbal Reprimand A verbal reprimand is administered by his/her immediate supervisor whenever an employee has engaged in relatively minor forms of misconduct. (See Subsection Violations.) Verbal reprimands are administered in individual conferences between the supervisor and the employee wherein the supervisor explains fully the nature of the violation and the means by which the employee can ensure that the violation will not be repeated. All verbal reprimands should be documented by the supervisor or unit head. 

Written Reprimand. Employees who persist in committing minor misconduct for which a verbal reprimand has been issued previously or who initiate more substantial forms of misconduct may be subject to receiving a written reprimand. A written reprimand is a statement initiated by the employee’s immediate supervisor but must bear the concurring signature of the supervisor’s unit head. When an employee receives a reprimand, he or she should sign it to acknowledge that it has been received. One copy of the reprimand must be given to the employee and another copy placed in the employee’s permanent personnel file in the Office of Human Resources. A staff member who receives multiple reprimands within a 12-month period may be subject to immediate probation, suspension or discharge. In addition, any employee that has more than 3 reprimands in a 12-month period is not eligible to transfer to another position within the University. 

Termination or Discharge. Depending on the seriousness of the offense and surrounding circumstances, the University reserves the right to immediately discharge or terminate an individual's employment with the University. The Department Manager has the option of issuing a FINAL performance warning based on circumstances that would prevent immediate discharge. A final warning is recommended to ensure that the employee is aware of consequences of additional policy violations.

5.0 Desktop Procedures 

Step Action 

1 Department Manager determines that an employee in the department has violated the University Attendance Policy. 

2 The Manager consults with the Office of Human Resources to determine if the attendance issues warrant a FML/ADA conversation with the employee (to be conducted between the employee and the Office of Human Resources.) 

3 If the situation is not protected by FML and ADA federal laws, the manager will begin the performance counseling process. 

4 The Manager documents the disciplinary steps and provides a copy to the employee and a copy for the employment file. 

5 Managers may obtain an electronic copy of the Counseling form on the Intranet or through a request to the Office Human Resources. 

6 If it is determined that the absenteeism and tardiness is excessive, disciplinary action up to and including discharge will be taken.

Clark Atlanta Employee Disciplinary Notice

1.0 Policy Statement 

The University recognizes the growing popularity of casual business dress as a means to promote a more comfortable work environment. It is believed that a more relaxed environment can have a positive effect on employee morale, promote more open, collaborative communication and increase overall productivity. This policy is intended to define appropriate "business attire" and "casual business attire" on those days and within those business units where it is permitted. It is the intent of University leadership that work attire will continue to be reflective of an environment that is professional, efficient, orderly and congruent with our code of conduct standards of respect for self and others. 

Enforcement of this guideline is the responsibility of department management and supervisory personnel. 

2.0 Examples of Acceptable Workplace Attire 

Business attire is to be worn Monday and through Friday. Appropriate business attire for employee includes the following: 

Men: 

• Sport coats or blazers 

• Slacks, chinos or Dockers 

• Polo shirts with collars 

• Oxford button-down shirts 

• Sweaters and cardigans 

• Sweaters 

• Clean and pressed denim (if approved by department manager) 

• All business professional attire 

• Business attire that is customary for specific cultures/ethnic groups 

Women

• Work wear (daywear) dresses 

• Slacks 

• Leggings (with a full coverage top) 

• Polo shirts 

• Culottes, split skirts 

• Sweaters 

• Clean and pressed denim (if approved by department manager) 

• All business professional attire 

• Business attire that is customary for specific cultures/ethnic groups 

Examples of Unacceptable Attire 

• Midriff length tops 

• Denim with holes or tears 

• Cutoffs 

• Shorts 

• Spandex or Lycra such as biker shorts

 • Tube tops, halter tops 

• Underwear as outerwear 

• Flip Flops 

• Provocative attire (e.g., cat suit, sheer blouses, etc.) 

• Strapless or spaghetti strap dresses 

• Mini-skirts 

• See through revealing apparel 

3.0 Enforcement 

Department managers and supervisors are responsible for monitoring and enforcing this policy. The policy will be administered according to the following action steps: 

l. If questionable attire is worn in the office, the respective department supervisor/manager will hold a personal, private discussion with the employee to advise and counsel the employee regarding the inappropriateness of the attire per this policy. 

2. If an obvious policy violation occurs, the department supervisor/manager will hold a private discussion with the employee and ask the employee to go home and change his/her attire immediately. The time spent correcting the dress code violation (time it takes for the employee to go home, change and return to work) will be unpaid. 

3. Repeated policy violations will result in disciplinary action, up to and including termination, depending upon the nature and severity of the offenses. 

4.0Entities Affected By This Policy 

All employees of the University

5.0 Progressive Disciplinary Procedures 

Clark Atlanta University's progressive discipline policy and procedures are designed to provide a structured corrective action process to improve and prevent a reoccurance of undesirable employee behavior and performance issues. Disciplinary stepsshould be viewed as part of a communication process to help ensure that staff members clearly understand their supervisor's expectations regarding job performance and conduct. These procedures have been created to be consistent with Clark Atlanta University organizational values, the Office of Human Resource (HR) and State/Federal employment laws. 

Step 1: Counseling and verbal warning 

Step 1creates an opportunity for the immediate supervisor to schedule a meeting with an employee to bring attention to the existing performance, conduct or attendance issue. The supervisor should discuss with the employee the nature of the problem or the violation of company policies and procedures. The supervisor is expected to clearly describe expectations and steps the employee must take to improve performance or resolve the problem. It is the responsibility of the supervisor to keep a record of the date and subject matter discussed in reference to the verbal counseling/warning. 

Step 2: Written warning/reprimand: If the verbal counseling/warning meeting failed to correct any performance, conduct or attendance issues, it will become necessary to move to the next step in the progressive discipline process. The Step 2 written warning involves more formal documentation of the performance, conduct or attendance issues and consequences. During Step 2, the immediate supervisor (and, if requested, a unit leader or representative from the Office of Human Resources) will meet with the employee to review any additional incidents or information about the performance, conduct or attendance issues as well as any prior relevant corrective action plans. Management will outline the consequences for the employee of his or her continued failure to meet performance or conduct expectations. A warning outlining that the employee may be subject to additional discipline up to and including te1mination if immediate and sustained corrective action is not taken may also be included in the written warning. 

Step 3: Suspension and final written warning There may be performance, conduct or safety incidents so problematic and harmful that the most effective action may be the temporary removal of the employee from the workplace. When immediate action is necessary to ensure the safety of the employee or others, the immediate supervisor may suspend the employee pending the results of an investigation. Suspensions that are recommended as part of the normal progression of this progressive discipline policy and procedure are subject to approval from a next-level manager and HR. 

Depending on the seriousness of the infraction, the employee may be suspended without pay in full-day increments consistent with Federal, state and local wage-and-hour employment laws. Nonexempt/hourly employees may not substitute or use accrued paid vacation or sick day in lieu of the unpaid suspension. Due to Fair Labor Standards Act (FLSA) compliance issues, unpaid suspension of salaried/exempt employees is reserved for serious workplace safety or conduct issues. HR will provide guidance so that the discipline is administered without jeopardizing the FLSA exemption status. Pay may be restored to the employee if an investigation of the incident or in fraction absolves the employee. 

Step 4: Recommendation for termination of employment The last and most serious step in the progressive discipline procedure is a recommendation to terminate employment. Generally, Clark Atlanta University will try to exercise the progressive nature of this policy by first providing warnings, a final written warning or suspension from the workplace before proceeding to a recommendation to terminate employment. However, Clark Atlanta University reserves the right to combine and skip steps depending on the circumstances of each situation and the nature of the offense. Furthermore, employees may be terminated without prior notice or disciplinary action. Management's recommendation to terminate employment must be approved by HR and/or the division director or designate. Final approval may be required from the University President or the Office of the Provost. 

Appeal Process 

Employees will have the opportunity to present information that may challenge information management has used to issue disciplinary action. The purpose of this process is to provide insight into extenuating circumstances that may have contributed to the employee's performance or conduct issues while allowing for an equitable solution. If the employee does not present this information during any of the step meetings, he or she will have five business days after that meeting to present such information.

Appendix A CAU Employee Disciplinary Notice

1.0 Policy Statement 

Clark Atlanta University (University) recognizes that there could be extraordinary circumstances, such as public health emergencies or other extreme conditions, that are severe enough to threaten the welfare and safety of our community and disrupt access to normal campus operations. In these cases, the University reserves the right to invoke a temporary telework arrangement for the purpose of business continuity. This is a short-term, discretionary program that can only be activated by recommendation of the Emergency Management Task Force and approval by the President of the University. Temporary teleworking is not an entitlement, it is not a University-wide benefit, and it in no way changes the terms and conditions of employment with the University. 

The application of this policy might differ across business units and certain groups of employees depending upon their role in an emergency situation (e.g., Public Safety and/or Student Health Services). 

2.0 Procedures Narrative 

These procedures provide clarification and guidelines around implementing this policy to minimize public health and safety risks while maximizing productive work time. This policy applies to working away from the office for a temporary period of time on a set schedule as designated by the University and managed by the division head. Any temporary teleworking arrangement established under this policy may be discontinued at any time solely by the President of the University. 

2.1 General Provisions 

A. Communication. While teleworking, the employee shall be reachable by telephone or CAU e-mail during agreed-upon work hours. The employee and supervisor shall agree on expected turnaround time and the medium for responses in the same way mutual agreements would be established for deliverables if working on-site. All email communication must be conducted through CAU email, not personal email accounts. 

B. Conditions of Employment. The teleworker's conditions of employment shall remain the same as for non-teleworking employees; wages, benefits and leave accrual will remain unchanged. 

C. Equipment. Home worksite furniture and equipment shall generally be provided by the teleworker. Computers must use University-approved virus protection (https://home.sophos.com/en-us/download-antivirus-pc.aspx). In the event that equipment and software is provided by the University at the telework-site, such equipment and software shall be used exclusively by the teleworker and for the purposes of conducting University business. Software shall not be duplicated. The parties shall consult with the support manager regarding the availability of equipment to loan. If the University provides furniture and/or equipment, the teleworker is responsible for safe transportation and set-up of such equipment.

D. Equipment Liability. 

1. The University will repair and maintain at the primary worksite any equipment loaned by the University. Surge protectors must be used with any University computer made available to the teleworker. The employee will be responsible for any intentional damage to the equipment; damage resulting from gross negligence by the employee or any member or guest of the employee's household; damage resulting from a power surge if no surge protector is used; and/or maintaining the current virus protection software on the workstation. 

2. The University may pursue recovery from the teleworker for University property that is deliberately, or through negligence, damaged, destroyed, or lost while in the teleworker's care, custody or control. 

3. Damage or theft of University equipment that occurs outside the employee's control will be covered by the University. 

4. The University does not assume liability for loss, damage, or wear of employee owned equipment used in connection with a temporary teleworking arrangement. 

E. Dependent Care. Teleworking is not a substitute for childcare or other dependent care. Although a telecommuting employee’s schedule may be modified to accommodate child care needs, the focus of the arrangement must remain on job performance and meeting business demands. 

F. Home Work Site. 

1. The teleworker is prohibited from holding business visits or in-person meetings with professional colleagues, customers, or the public at the home worksite. 

2. In-person meetings with other University staff will not be permitted unless approved in advance by the employee's supervisor. 

G. Hours of Work. All telecommuting employees should be available between the hours of 9 a.m. and 5 p.m., the University’s official work hours, and are expected to work a thirty-five (35) hour work week. All teleworking faculty are expected to hold classes at their regularly scheduled times, unless otherwise advised by the Provost or President. If you are an hourly employee eligible for overtime, any overtime must be approved in advance by the immediate manager. 

H. Incidental Costs. The University will not be responsible for costs associated with the setup of the employee's home office, such as remodeling, furniture or lighting, nor for repairs or modifications to the home office space. All incidental costs, such as residential utility costs or cleaning services, are the responsibility of the teleworker.

I. Safety. An eligible teleworker under this policy who chooses his or her home as workspace is expected to maintain the home workspace in a safe manner, free from safety hazards. In the case of injury occurring while carrying out an assigned work related task or duty during the defined work period, the employee shall immediately report the injury to the supervisor. However, non-job-related injuries while teleworking will not be considered under this policy. The University does not assume responsibility for injury to visitors or any persons other than the teleworker at the telework site, regardless of the location. 

J. Intellectual Property. Products, documents, and records created or developed while teleworking are property of the University. 

K. Data Security & Confidentiality Data security and confidentiality shall be maintained by the teleworker at the same level as expected at all worksites. Confidential and sensitive data should not be saved on one’s personal computer. Restricted access or confidential material shall not be taken out of the primary worksite or accessed through a computer unless approved in advance by the supervisor. The teleworker is responsible to ensure that non-employees do not access University data, including in print or electronic form. 

L. Leave. The telework employee must obtain supervisory approval before taking leave in accordance with University policy. 

M. Network Access. The University is committed to supporting telework by increasing network access to remote locations. However, network access is not guaranteed. 

N. Office Supplies. The University shall provide the teleworker any office supplies necessary for the temporary teleworking arrangement. However, any out-of-pocket expenses incurred by the teleworker for office supplies normally available in the office will not be reimbursed. 

O. Performance & Evaluations. The supervisor and teleworker will formulate objectives, expected results, and evaluation procedures for work completed while the employee is teleworking. 

1. The supervisor will monitor and evaluate performance by relying more heavily on work results rather than direct observation. 

2. The supervisor and telework employee will meet at regular intervals to review the employee's work performance. 

P. Personal Business. Telework employees shall not engage in personal business affairs during hours agreed upon as work hours. 

Q. Policies. University policies, rules and practices shall apply at the telework site, including those governing communicating internally and with the public, employee rights and responsibilities, facilities and equipment management, financial management, information resource management, purchasing of property and services, and safety. Failure to follow policy, rules and procedures may result in termination of the telework arrangement and/or disciplinary action. 

R. Quality of Work. All work performed away from the office shall be performed according to the same high standards as would normally be expected for work performed at the primary worksite. 

S. Record Retention. Products, documents and records that are used, developed, or revised while teleworking shall be copied or restored to University's computerized record system. Whenever possible, all telework-related information shall be stored in a directory designated for telework and this information shall be backed up on a disk or on the LAN server. 

T. Security. Security and confidentiality shall be maintained by the teleworker at the same level as expected at all worksites. 

1. Restricted access or confidential material shall not be taken out of the primary worksite or accessed through a computer unless approved in advance by the supervisor. 

2. The teleworker is responsible to ensure that non-employees do not access to University related office data, either in print or electronic form. 

U. Telephone/Internet Expenses. The teleworker and supervisor will use the most efficient and effective way to engage in business-related long distance calls, whether that is the use of a calling card or reimbursement of long distance business calls. 

1. If reimbursement is approved, the teleworker will submit an expense request along with a log of long distance business calls and an itemized copy of the telephone bill. 

2. Such expenses may include increased charges for Internet access and/or facsimile transmissions. 

V. Travel. The teleworker will not be paid for time or mileage involved in travel between the telework-site and the primary worksite. 

W. Worksite. Telework-sites shall be in Georgia or in the same state as the primary worksite. 

3.0 Entities Affected by this Policy 

All employees are affected by this policy.

4.0. Application to Extend Emergency Temporary Telework Arrangement 

Under certain extraordinary circumstances, it might become necessary for an employee to request an extension of their individual teleworking arrangement. This can be done by completing an application (annexed to this policy as Exhibit A) and submitting it to the Chief People Officer, Office of Human Resources at least ten business (10) days in advance of the effective date of the extension. For example, an employee with an official return-to-work date of February 1 but who desires to continue teleworking beyond the return-to-work date must submit his or her completed Application for Extension of Temporary Teleworking Arrangement no later January 18. 

The application will be reviewed and decisioned by the respective business unit leader in conjunction with the Office of Human Resources as it relates to the equitable application of the policy. If the application is approved, it is the expectation that the employee will continue to work remotely under all the other conditions as outlined in this policy.

Exhibit A: Telework Application

1.0 Policy Statement 

Clark Atlanta University is aligned with Georgia state law in its commitment to providing for the protection and safety of children, elder persons and disabled adults by requiring and facilitating mechanisms for the prompt reporting of suspected abuse or neglect of such persons. This policy is intended to designate those individuals who are required to report suspected child abuse and abuse of elder persons and disabled adults, as described in state law, and outline reporting procedures. 

2.0 Policy 

The University requires employees, students and volunteers (when applicable) it has designated as Mandated Reporters to report suspected child abuse or abuse of an elder person or disabled adult. The University also requires all other employees (as well as volunteers, when applicable) to immediately notify Mandated Reporters of suspected child abuse or abuse of an elder person or disabled adult. All University employees and volunteers, regardless of whether they are designated Mandated Reporters, must understand what they are required to report, when it must be reported, and to whom it should be reported. A failure to report suspected child abuse or abuse of an elder person or disabled adult is a violation of state law and University policy and may subject the individual to criminal penalties. 

3.0 Procedure Narrative 

Mandated Reporters: 

All Mandated Reporters who have reasonable cause to believe that suspected child abuse or abuse of an elder person or disabled adult has occurred must report such abuse to ALL of the following entities immediately (but in no case later than 24 hours): 

If concerning a child: 

• University Office of Human Resources. 

• University Department of Public Safety; and 

• Georgia Division of Family and Children Services’ Child Protective Services (CPS)/1-855- GACHILD (1-855-422-4453) 

If concerning an elder person or a disabled adult: 

• University Office of Human Resources; 

• University Department of Public Safety; and 

• Georgia Division of Aging Services’ Adult Protective Services (APS)/1-866-55AGING (1-866-552-4464) 

Any person who attends to a child as part of his or her duties as an employee or volunteer at the University must notify his or supervisor or a Mandated Reporter if he or she has reasonable cause to believe that suspected child abuse has occurred.

3.2 Non-Mandated Reporters: 

Any other University employee who has reasonable cause to believe that suspected child abuse or abuse of an elder person or disabled adult has occurred but who is not a Mandated Reporter as defined in this policy may report such abuse to a Mandated Reporter and is strongly encouraged to do so. 

3.3 Manner of Reporting: 

All reports may be made by oral communication (via phone or in person) or a written report by electronic submission (or facsimile), and must be made, no matter the method of communication, no later than 24 hours from the time there is reasonable cause to believe that suspected child abuse has occurred. All oral reports received by a Mandated Reporter should be documented in writing by the Mandated Reporter no later than 48 hours after receiving the oral report. A Mandated Reporter who receives an oral or written report is prohibited from exercising any control, restraint or modification to the information received in the report other than to submit it to the proper authorities as required in this policy. 

3.4 Contents of Report: 

All reports should contain as much information as possible, and at a minimum include the following information or items: 

• The name, age and address of the child, elder person or disabled adult; 

• The name(s) of the parents or caretakers of the child, elder person or disabled adult, if known; 

• The nature and extent of the child’s, elder person’s or disabled adult’s injuries (including any evidence of prior injuries); 

• Photographs of a child’s injuries to be used as documentation in support of allegations. (NOTE: State law permits these photographs to be taken without the permission of the child’s parent or guardian in these circumstances); and 

• Any other information that the reporting person believes might be helpful in establishing the cause of the injuries and the identity of the perpetrator. 

3.5 Reporting Requirements for Licensed Professionals: 

Professional licensing associations may require additional reporting requirements for certain professions (e.g., teachers, social workers, childcare providers). This policy is not intended to replace or supersede those requirements. University employees, volunteers, and students holding such designations are encouraged to consult their professional licensing associations for more information. 

4.0 Entities Affected By This Policy 

All University employees, students and volunteers (when applicable).

5.0 Definitions 

“Child” – A person under the age of 18. 

“Child Abuse” - For the purpose of this policy, child abuse is defined as: 

a. Physical injury or death inflicted upon a child by a parent or caretaker that is not classified as accidental; 

b. Neglect or exploitation of a child by a parent or caretaker; 

c. Endangering a child; 

d. Sexual abuse of a child; or 

e. Sexual exploitation of a child 

“Elder Person” – A person 65 years of age or older who is not receiving treatment or care in a long term facility. 

“Disabled Adult” – A person 18 years of age or older who is not receiving treatment or care in a long-term facility but who is mentally or physically incapacitated, has Alzheimer’s disease (as defined in O.C.G.A. § 31-8-180) or has dementia (as defined in O.C.G.A. 16-5-100). 

“Mandated Reporter” - Any person who falls in one or more of the following categories: 

• Licensed psychologists and persons participating in internships to obtain licensing pursuant to Chapter 39 of Title 43; 

• Registered professional nurses or licensed practical nurses licensed pursuant to Chapter 26 of Title 43 or nurse's aides; 

• Professional counselors, social workers, or marriage and family therapists licensed pursuant to Chapter 10A of Title 43; 

• University faculty and instructors (regardless of rank or tenure status); 

• University administrators; 

• University counselors, visiting teachers, University social workers, or University psychologists certified pursuant to Chapter 2 of Title 20; 

• Law enforcement personnel; 

• Clergy; or 

• Physical and occupational therapists. 

Other categories of Mandated Reporters who may not be associated with the University include daycare personnel; employees of a public or private agency engaged in professional health related services to elder persons or disabled adults; coroners and medical examiners; emergency medical services personnel; any person who has been certified as an emergency medical technician, cardiac technician, paramedic, or first responder; physicians licensed to practice medicine, physician assistants, interns, or residents; hospital or medical personnel; dentists; podiatrists; child welfare agency personnel; child counseling personnel; child service organization personnel; and reproductive health care facility or pregnancy resource center personnel and volunteers.

Mandated Reporter Form

1.0 Policy Statement 

Clark Atlanta University (University) will conduct background checks on all candidates offered positions of employment with the University. The University will conduct a background check that includes a review of the national sex offender registry list for all University employees and volunteers. The University may conduct a background check on any current employee who is offered a promotion or transfer which, at the University’s discretion, warrants such a check. The University has the authority to conduct periodic background checks on employees or volunteers who may have unsupervised access to children or whose job responsibilities involve any aspect or routine exposure to the University’s financial information, assets or data, as well as sensitive or personally identifiable information of the University’s employees and students. Background checks are the University’s principal means of securing information about potential hires from sources other than the applicants themselves. Background checks are also an important part of ensuring campus safety and security. The University also will conduct any such additional background checks as are required by law. 

2.0 Narrative Procedures 

The procedures below support this policy and provide clarity on background checks. Background Checks are conducted by authorized University employees (HR Business Partner and Chief of Public Safety) via a reputable third-party consumer reporting agency. All background checks are conducted in compliance with federal and state law. Information obtained through a background check will be kept separate from the regular personnel file and will be maintained in strict confidence, consistent with this policy. Employees violating this strict confidence will be discipline, up to and including termination of employment. 

2.1 Background Check Parameters 

The background check generally will include a review of information from an individual’s previous employer(s), educational institutions, and law enforcement agencies at the federal, state and county levels and in some cases credit reporting agencies. 

Background checks may include but are not limited to: 

A. Review of Criminal Records Provides criminal history for the applicant. Especially important for positions of trust/security. This is to ensure that information provided by a potential employee is accurate. Once a background check is conducted, the University has access to any pending or past criminal convictions of a potential applicant. These records (NCIC) are located in databases maintained by the (FBI) Federal Bureau of Investigation, the Georgia Code 35-3-34 – Georgia Crime Information Center Records, or any other agency that deals with such information. If an employer discovers that an applicant lied about their criminal history, the employer may refuse to hire the applicant or terminate employment if the person has already been hired. 

Please Note: Criminal background checks have become so commonplace that anyone who wants to find out private information about another person can do so quite easily. A simple internet search provides an almost endless list of online companies that offer criminal background check services for a fee.

B. Verification of Social Security Number 

Ensures the candidate's social security number is legitimate and finds all names, including aliases and variations, dates of birth and address history associated with the social security number. This shows employers if the candidate has lived in undisclosed locations or under other aliases, which may reveal criminal records that would not have been found otherwise. 

C. Address History Check. Traces previous addresses for the candidate. Finding out where a candidate has lived will make it easier to verify other research and may reveal jurisdictions where criminal background checks should be performed. 

D. U.S. Terror Watch List Check. The background checks will look to see if the candidate is on the U.S. terror watch list. Such checks are especially important for campus public safety jobs. 

E. Verification of Educational Records 

Education verification will be requested for all faculty, adjuncts and regular staff positions. The position classification requires a degree and the candidate provided degree information during the search. Education verifications can only be completed on degrees that have been awarded. This check will be added by Human Resources Office if it is for a position that meets the criteria above. Education verification is not necessary for student and temporary assignments. 

1. When the position classification does not require a degree, but the candidate provides degree information during the search, the University will use it to assess the candidate’s knowledge skills and abilities. 

2. Note: education verification will not be necessary if a candidate is using years of experience to offset educational requirements. 

3. Faculty credential verification ensures that all faculty are qualified and have the highest standards of academic preparation and experience to teach and work at the University in a higher education academic setting. 

F. Verification of Employment Records Verification of Employment is a process used to review the employment history of a candidate’s work experiences, qualifications, and work stability. 

G. Sexual Offender Registry Search Extremely important for positions of trust, this check must be included in background checks. 

H. Credit History (for positions with financial responsibilities)

The Fair Credit Reporting Act (FCRA) is clear on what you can and cannot do as part of a background check with regards to credit information. Nearly all background checks are governed by the FCRA, but you should know that there is an array of other laws that affect them, depending on state and region. For example, in some states, it's fine to use credit and criminal background checks for any employee, in others you can only perform these checks for specific types of employees.

2.2 Release Waiver 

For new hires, background checks ordinarily will be processed at the time a conditional offer of employment is made. For transfers and promotions, the background check ordinarily will be processed at the time a conditional offer of transfer or promotion is made. 

In each case in which a background check will be performed, the individual will be asked to complete and sign a release authorizing the University and/or third-party vendor to conduct the background check. If the individual fails to sign the release, any offer for employment, promotion or transfer will be rescinded, and any current employment with the University may be terminated. 

Background check reports will be obtained and reviewed by Human Resources Office, who may review the information with the appropriate member of senior staff, the University’s legal counsel, or others with a need to know. 

2.3 Denied Employment, Promotion or Transfer 

If an individual is to be denied employment, promotion or transfer wholly or partly because of information obtained in a background check, the individual will be so informed in advance of any adverse action. In addition, where required by law and to the extent applicable, the individual will be given: 

a) a copy of the relevant background check report, 

b) a summary of the individual’s legal rights concerning the background check report, and 

c) the name, address and phone number of the third-party vendor if the individual has questions about the results of the report or wants to dispute the accuracy of the report. (Please note, however, that the vendor does not make employment decisions and will be unable to provide any individual with specific reasons as to why the adverse action was taken.) 

3.0 Entities Affected by the Policy 

All faculty, staff and University volunteers are affected by this policy.

1.0 POLICY STATEMENT 

Clark Atlanta University (“CAU”) is committed to maintaining a safe and accessible learning, living and working environment for all individuals, including individuals with disabilities. The University complies with Section 504 of the Rehabilitation Act, the Americans with Disability Act (ADA), and the Fair Housing Act (FHA). Clark Atlanta University permits Animal Assistance on Campus in two ways, Emotional Support Animals (ESA) or Service Animals (SA). Both options are considered reasonable accommodations and qualify for campus residential housing as long as the student has met the guidelines as a qualified student. The procedure for requesting housing accommodations has been completed and approved. 

Please note that if you are found responsible for having an animal on campus without approval, you are no longer eligible to have an animal on campus. 

2.0 ENTITIES AFFECTED BY THIS POLICY 

This policy applies to all employees, students, faculty, staff, all divisions, departments, visitors, and units of Clark Atlanta University. 

3.0 ANIMALS ASSISTANCE ON CAMPUS 

Emotional Support Animals (ESA) 

Emotional Support Animals are not considered service animals under the Americans with Disabilities Act. The support animals provide companionship, relieve loneliness, and sometimes help with psychiatric disabilities and mental impairments, such as depression, anxiety, and certain phobias; however, unlike service animals, ESAs do not have special training to perform specific tasks to assist people with disabilities. 

Emotional Support Animals (ESA) are only allowed in a student’s assigned university housing room and may not be taken to class. Only one ESA is permitted for each student. ESAs are restricted to the registered student’s room and are only allowed outside the unit to care for the animal or to leave the building with the animal. ESAs are not otherwise permitted inside other University facilities. ESAs of visitors or students not residing in the university housing facility are not permitted in any university facility. 

Service Animals (SA) 

Service Animals are allowed to accompany the owner in all areas of Clark Atlanta University. Only limited inquiries are allowed when it is not obvious what service an animal provides. Employees may ask only two questions: 

• Is the Service Animal required because of a disability? 

• What work or task has the Service Animal been trained to perform? 

Students with service animals may be eligible for academic accommodations. Students are strongly encouraged to connect to the Office of Counseling and Disability Services by the established important dates to discuss various housing and academic accommodations that need to be made.

4.0 DEFINITIONS 

a. “Emotional Support Animals” is an animal that provides assistance or emotional support to alleviate one or more identified symptoms. For an animal to be designated as an ESA, the student is required to demonstrate that their animal is a reasonable accommodation for their disability. An Emotional Support Animal (“ESA” or “ESAs”) is any animal specifically designated by a Licensed Medical Practitioner to provide companionship, therapeutic and emotional support, or passive comfort to an individual with a disability in order to alleviate or mitigate one or more identified symptoms or effects of that disability, but does not qualify as a Service Animal under Section 504 and the ADA. An ESA may provide an individual with a disability an equal opportunity to use and enjoy a dwelling, workplace, or other areas, provided there is a nexus between the individual’s disability and the assistance or support the animal provides. Some ESAs are professionally trained, but in other cases, ESAs provide the necessary support to individuals with disabilities without formal training or certification. Dogs are commonly used as ESAs, but any animal may serve a person with a disability as an ESA. ESAs are not Service Animals. 

b. “Service Animal” is defined by the ADA, as amended in 2008 and 2010, as “any dog that is individually trained to do work or perform tasks for the benefit of an individual with a disability,” including physical, sensory, psychiatric, intellectual, or other mental disability. Other species of animals, whether wild or domestic, trained or untrained, do not service animals for the purposes of this definition. The work or task performed by a service animal must be directly related to the individual’s disability. Examples of such work or tasks include guiding people who are blind or have low vision with navigation, alerting people who are deaf or hard of hearing to the presence of people or sounds, pulling a wheelchair, alerting and protecting a person who is having a seizure, reminding a person with mental illness to take prescribed medications, alerting individuals to the presence of allergens, retrieving items such as medicine or the telephone, providing physical support and assistance with balance and stability to individuals with mobility disabilities, and helping persons with psychiatric and neurological disabilities by preventing or interrupting impulsive or destructive behaviors, calming a person with Post Traumatic Stress Disorder (PTSD) during an anxiety attack, or performing other duties. Animals whose sole function is to provide comfort or emotional support do not qualify as service animals. 

c. Owner: the student who has requested the accommodation under this policy and as defined under federal and state law and uses a service animal to perform a work or task directly related to the individual’s disability. 

d. Emergency Contact: An individual who will take responsibility for an approved animal in the event that the owner cannot be reached during an emergency. The owner will include the identity and contact information of the Emergency Contact on the Approved Animal Registration Form. 5.0. NARRATIVE PROCEDURES 

5.1 REQUEST PROCESS - Animals Assistance (AA) 

Animals Assistance procedures for requesting university housing are as follows:

1. A student requesting permission for AA in university housing must first register with the Office of Counseling and Disability Services by filling out an application and indicating that they are seeking reasonable accommodation. 

2. Each student’s request must be approved by the AA Committee composed of Housing and the Office of Counseling and Disability Services (HOCDS). After the student’s request is received, the committee will send the student an application for housing accommodations filled out by the student. 

a. Documents can be returned to the Office of Counseling and Disability Services Office either by delivery to Trevor Arnett Hall, Third Floor, mailed or emailed. For more information, call (404) 880.8042. 

b. The HOCDS Committee meets at least once per semester to review requests for housing accommodations. Please note that requests for AA are not guaranteed. 

3. The University may require additional documentation demonstrating the need for an AA. 

4. ESA and SA Request guidelines are listed below: 

a. ESA requires that all submitted documentation is in the form of a letter or report from a therapist, psychologist, psychiatrist, or another medical professional qualified to give a diagnosis and/or is currently treating the student for the disability for which they are requesting an AA. 

b. ESA documentation must be on official letterhead and be signed and dated within the last two years. 

c. ESA documentation should include a specific diagnosis, a statement of the student’s current condition, summarize a recent evaluation, and the expected duration of the condition. 

d. ESA documentation should provide evidence that the provider is treating the student for the condition for which the accommodation is requested. 

e. ESA documentation should state the current impact or functional limitations imposed by the disability on the student’s living situation and explain how the disability relates to your request for an AA. There must be a direct link established between the diagnosis and the requested AAOC. 

f. ESA documentation must clearly state a recommendation for an AA as a part of the student’s treatment plan and include possible alternatives if the requested accommodation is not available. 

5. The Housing and Office of Counseling and Disability Services (HOCDS) will review requests and contact the student after a decision has been determined and arrange a formal meeting to review this policy with the student. 

The Housing and Office of Counseling and Disability Services (HOCDS) may consider the following factors, among others, in determining whether the presence of an animal on campus is an approved reasonable accommodation or while making housing assignments for students with AA: 

A. The animal’s presence otherwise violates students’ right to peace and quiet. 

B. The animal is not housebroken or is unable to live with others in a reasonable manner. 

C. The animals’ vaccinations are not up-to-date. 

D. The animal poses a direct threat to the individual or others, such as aggressive behavior towards or injuring the Owner or other individuals on campus. 

E. The animal causes or has caused excessive damage to housing beyond reasonable wear and tear.

F. The size of the animal.

Clark Atlanta University will not limit room assignments for individuals with AA to any particular building or building because the individual needs an AA. Upon approval of the HOCDS, Residence Life Staff will: 

A. Notify appropriate residential building staff 

B. Notify the Owner’s roommate(s) or suitemates(s) to solicit their acknowledgment of the approval and notify them that the approved animal will be residing in the shared assigned living space(s). 

5.2 REGISTRATION & RENEWAL OF ANIMALS ASSISTANCE ON CAMPUS 

Upon approval, the owner of the AA will have to review this policy, fill out and sign the agreement form, and provide proper documentation related to the AA to keep on file. Should there be concern over the AA health or registration status, the University reserves the right to ask for records pertaining to these items at any time. Owners must produce them within 48 hours. 

Registration documents include: 

1. Proof of vaccination: The AA must be immunized against diseases common to that type of animal. The State of Georgia requires that all dogs and cats three months of age or older be vaccinated against rabies by a licensed veterinarian. Animals should wear vaccination tags at all times. 

2. Routine treatment: In order to minimize potential disturbances to the community, when appropriate to the AA, owners should administer preventative flea and tick medication on a regular basis. 

3. Registration: Animal Ordinance requires all dog, cat, and ferret owners in Dekalb County to register their animals. Proof of registration is required for the AA to live on campus. 

4. General health: In order for the AA to be housed in campus housing, documentation from a licensed veterinarian or vaccination certificate regarding the animal’s clean bill of health is required. 

Any approval for a specifically identified AA is only for the designated academic year and will need to be renewed annually. 

The renewal process will involve: 

1. A renewal of the roommate/suitemate agreement contained within this policy. 

2. Updated documentation for vaccination records and registration. 

3. If the nature of the student’s disability has fundamentally changed, they will need to submit updated documentation from their medical provider to the Office of Counseling and Disability Services. Otherwise, updated documentation related to the student’s disability does NOT need to be submitted annually. 

Renewal Deadlines 

• Incoming first-year students: June 15 for the Fall semester 

• Returning students seeking a new AA 

• April 1 for the Fall semester; November 1 for the Spring semester of the following year 

• Returning students seeking AA renewal: June 1 for next academic year

5.3 OWNER RESPONSIBILITIES IN UNIVERSITY HOUSING 

A. The owner is responsible for assuring that the AA does not interfere with the routine activities of the residence hall or cause difficulties for students who live there. 

B. The owner is financially responsible for the actions of the AA, including both bodily injury and/or property damage. The owner is expected to cover the costs at the time of repair and/or move-out. 

C. The owner is responsible for any expenses incurred for cleaning above and beyond a standard cleaning or for repairs to the University premises that are assessed after the student and animal vacate the residence. The University shall have the right to bill the student’s account of the owner for unmet obligations. 

D. The owner must notify Housing or the Counseling and Office of Disability Services in writing if the AA is no longer needed as an approved animal or is no longer in the residence. 

E. If fleas, ticks, or other pests are detected through routine housing inspections, the residence will be treated using approved fumigation methods by a University-approved pest control service. If it is determined that the pests are attributed to the owner’s AA, the owner will be billed for the expense of any pest treatment above and beyond standard pest management in residence halls. 

F. All roommates or suitemates of the owner must sign an agreement allowing the AA to be in residence with them. In the event that one or more roommates or suitemates do not approve, either the owner and animal or the non-approving roommate/suitemate may be moved to a different location. 

G. AA must be contained within the privately assigned residential area in an animal carrier or controlled by leash or harness. 

H. AA may NOT be left overnight in campus housing or be cared for by another student. Animals must be taken with the student if the student leaves campus for a prolonged period or boarded locally if the student is off campus. Examples include athletic trips, Journeys travel, school breaks, etc. 

I. Housing has the ability to relocate the owner and the AA as necessary. 

J. Any violations of the above rules may result in the immediate removal of the animal from the University and may be appealed through HOCDS Committee. 

K. Should the AA be removed from the premises for any reason, the owner is expected to fulfill their housing obligations for the remainder of the housing contract. 

L. The owner will comply with the animal health and well-being requirements outlined below. 

5.4 MAINTAINING AN APPROVED ANIMAL AT CAU 

The following guidelines apply to all Approved Animals Assistance unless the nature of the documented disability of the owner presents a variance from the guidelines and has been modified to meet those needs. 

A. Care & Supervision. Care and supervision of the animal are the responsibility of the Owner. The Owner is required to maintain control of the animal at all times and is responsible for ensuring the cleanup of the animal’s waste. 

a. Indoor animal waste, such as cat litter, must be placed in a sturdy plastic bag and securely tied up before being disposed of in OUTSIDE trash dumpsters. Litter boxes should be placed on mats so that waste is not tracked onto carpeted surfaces. 

B. Containment. The owner is responsible for ensuring that the animal is contained, as appropriate when the owner is not present during the day while attending classes or other activities. An AA must stay in a locked crate, aquarium, or cage when the owner is not present. If the owner is assigned to live in an on-campus apartment, the AA crate, aquarium, or cage must be located in the owner’s bedroom. In the case of an emergency in which the AA must be cared for unexpectedly, the owner will name someone as the emergency contact to make decisions about the care of the animal.

C. Cleaning. The owner shall not bathe and/or groom the animal or clean its cage/crate/bedding using residence hall facilities shared by other residents (bathrooms, showers, laundry rooms, dorm rooms, or apartment facilities). An outdoor space will be designated for the Owner to wash their animal. 

D. Vaccinations. In accordance with local ordinances and regulations, the animal must be immunized against diseases common to that type of animal. Dogs and cats must have current vaccination against rabies and wear a rabies vaccination tag. 

E. General Health. Animals to be housed in campus housing must have an annual clean bill of health from a licensed veterinarian. The University has the authority to direct that the animal receives veterinarian attention. 

F. Leash. If appropriate, the animal must be on a leash, and the owner must have control at all times. 

G. In Case of Emergency. The owner will name someone as the emergency contact to make decisions about the care of their animal. If the owner is unable to take care of the animal for more than 24 hours, the animal may be boarded at the expense of the owner at a designated facility. 

H. Please note that daily activities such as work shifts, class schedules, social obligations, etc., do not qualify as emergencies. 

I. Emergency Evacuation. Animal owners are solely responsible for evacuating their animals in an emergency. Evacuating the animal should not put the owner at risk of significant danger. 

5.5 REMOVAL OF AAOC & CONDUCT 

The University may exclude/remove an AA when/if: 

1. The AA poses a direct threat to the health or safety of others. 

2. The AA presence results in a fundamental alteration of the University’s program 

3. The owner does not comply with owner responsibilities in campus housing. 

4. The AA or its presence created an unmanageable disturbance and interferes with the CAU community. 

5. The AA causes substantial physical damage of the property of others. 

6. The AA interferes with the reasonable enjoyment of housing by others. 

7. The AA is out of control, and the owner does not take effective action to control it 

8. The AA is not housebroken. 

9. The AA poses a direct threat to the health or safety of others that cannot be eliminated by a modification of policies, practices, or procedures or by the provision of auxiliary aids or services. 

10. The AA is being abused and/or not cared for by the owner. 

Please note: Owners of Approved Animals Assistance are solely responsible for any damage to persons or University property caused by their Approved Animals. 

Areas off-limits to Service Animals 

• A Service Animal is permitted to accompany the student anywhere the student goes on campus. Still, the University may prohibit the use of Service Animals in certain locations because of health or safety restrictions (e.g., where the animal may be in danger or where their use may compromise the integrity of research). 

• Restricted areas may include, but are not limited to, custodial closets, facility equipment rooms, research laboratories, areas where protective clothing and hairnets are necessary, and rooms with heavy machinery. 

• When students with Service Animals must access a restricted area for a course requirement, reasonable accommodations will be provided to ensure the student has equal access to the academic program or activity.

Sanctions Process 

Once an Animals Assistance violation has been alleged, the review committee, Residence Life, Housing, Director of Student Conduct, and Counseling and Disability Services will contact the accused student (owner) of all decisions. 

NOTE: Each incident is different, and the outcome of the case will depend on the severity of the alleged infraction. Repeat offenses will be considered and taken into account when assigning sanctions. 

Sanctions could include the following: 

• 1st Offense: Formal warning issued from the review committee. 

• 2nd Offense: The animal is removed from campus depending on the allegation/violation, or additional sanctions are added to the owner’s case. 

In cases where the owner is found responsible, the owner will be given 48 hours to have their animal removed from the residence hall. The review committee may remove the animal during the first offense depending on the severity of the case. 

5.6 REQUIREMENT FOR ALL MEMBERS OF THE CAU 

Members of the CAU community are NOT to: 

A. Touch a Service or Emotional Support Animal unless invited to do so 

B. Feed a Service Animal or Emotional Support Animal 

C. Deliberately startle a Service or Emotional Support Animal 

D. Separate or attempt to separate an owner from their Service or Emotional Support Animal 

E. Inquire for details about the owner’s disabilities. The nature of a student’s disability is a private matter and is protected by law. 

5.7 NON-RETALIATION PROVISION Clark Atlanta University will not retaliate against any person because that individual requested or received a reasonable accommodation in College housing, including a request for an AA. 

5.8 EMPLOYEES: Service Animals or Emotional Service Animal request for employees must contact the Office of Human Resources. 

QUESTIONS OR CONCERNS: Please contact the Office of Counseling and Disability Services.

1.0 Policy Statement 

All personnel actions relating to employment, including but not limited to promotions, transfers, demotions, layoffs, position reclassifications, and salary adjustments must follow Clark Atlanta University's (CAU/the University) established procedures. Personnel actions are not disciplinary actions and do not take the place of disciplinary actions. 

Personnel actions are initiated through the University's Staff Personnel Requisition Form and the Personnel Action Form (PAF). All personnel actions are subject to the University's Equal Employment Opportunity and Affirmative Action policies. 

It is understood that the Board of Trustees and the administration of Clark Atlanta University do not relinquish any of their legal rights to appoint and remove employees or to fix compensation and terms and conditions of employment. 

2.0 Procedure Narrative 

Personnel actions affecting staff employees at CAU include the following: 

2.1 Promotions 

Promotions are based on individual merit and generally result from the reclassification of an existing position or from an employee applying for and becoming the successful candidate for an open position. In determining an employee's eligibility for promotion, the following factors are considered: performance, skills and abilities, relevant experience, professional development, and education. 

A request for promotion to a higher position does not constitute sufficient grounds for dismissal or any other form of reprisal. The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion. 

Employees who wish to be considered for a promotion to another position at the University are encouraged, but are not required, to discuss the matter with their immediate supervisor prior to seeking information about the new position. 

Employees should review job postings to determine if there are any open positions for which they are qualified and in which they are interested. 

When an employee is promoted to a new position, his or her accumulated leave, retirement benefits and service record are transferred. However, the use or scheduling of accumulated annual leave is subject to the approval of the new supervisor. At the point that the employee is determined to be a top candidate, Human Resources must and the employee should notify the employee's current supervisor. 

2.2 Transfers 

A transfer is the shift of an employee from one position to another within the same classification or to one with comparable skills at the same salary. Transfers occur to better utilize an employee's skill and ability, to meet specific needs of the University or to assist the employee in meeting his/her career goals. Staff interested in applying for a transfer are not required to secure the approval of their immediate supervisor. 

Transfers between departments are made with the agreement of the two supervisors, the employee and the Office of Human Resources. 

Employees who wish to be considered for a transfer to another position at the University are encouraged, but are not required, to discuss the matter with their immediate supervisor prior to seeking information about the new position. 

When an employee transfers from one position to another, his or her accumulated leave, retirement benefits and service record are transferred. However, the use or scheduling of accumulated annual leave is subject to the approval of the new supervisor. 

The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion. 

All transfers are subject to policy 9.1.5 Probationary Period. 

Transfers resulting from reorganizations to avoid layoffs take precedence over this policy. 

2.3 Demotions 

A demotion is the change in an employee's status from one level of a position to a position having lesser responsibility and/or a lower starting salary. A supervisor may recommend that an employee be demoted if he or she renders unsatisfactory service or if the employee voluntarily requests a demotion. 

The employee must receive in writing the reasons for the demotion and, prior to the effective date of the action, must be granted a reasonable opportunity (not less than five working days) to appeal to the next highest level of authority. 

Demotions occur only if there is a position available for which the employee is qualified.

2.4 Layoffs 

Because of lack of funds, program adjustments, reorganization, or other situations, the University may find it necessary to effect a general reduction in work force or reduction in a particular area(s). Human Resources assists staff members who have been laid off with possible transfers into other areas of the University based on qualifications, job performance and availability of funds. 

2.5 Position Reclassifications 

A position may be reclassified to another classification and title as a result of a position audit, program reorganization, or the establishment of a new classification. A reclassification occurs when a determination has been made about the actual duties and responsibilities of the position. Position reclassifications may be upward (higher grade), or downward (lower grade). The Office of Human Resources has the responsibility to routinely review the classification of all positions. An employee's request for reclassification may be submitted in writing by his or her supervisor to the Office of Human Resources. 

2.6 Salary Adjustments 

Salary adjustments are usually completed to keep an individual's salary within the salary range that is assigned to their position and grade and to ensure pay equity. 

2.6.1 Promotions When a staff member is promoted to a position having a higher salary grade, the staff member receives either a minimum salary adjustment to the entry level of the new classification or a 10% salary increase, whichever is higher. 

2.6.2 Transfer A staff member is not given a salary adjustment when they are transferred laterally to another position having the same title, or to a different title having the same salary grade assignment. 

2.6.3 Demotion When a classified staff member is demoted to a position of decreased responsibility or complexity of duties requiring a change of title and having a lower salary grade, the staff member's salary may remain unchanged, if it is within the salary range of the new position, or it may be adjusted to an appropriate level within the new salary range as agreed upon by the new supervisor and Office of Human Resources. The new rate is determined by considering the circumstances related to the demotion, the staff member's employment record and their job performance. 

2.6.4 Job Reclassification Salary adjustments may be made when a position is reclassified to a higher or lower pay grade. Employees who disagree with the result of a personnel action should discuss their concerns with either their supervisor or the Office of Human Resources. 

3.0 Entities Affected By This Policy 

All Staff of the University 

4.0 Definitions 

Demotion: The permanent movement of a staff member from one position in one job class to a position in another job class of decreased responsibility or complexity of duties and in a lower salary range. 

Position Reclassification: A position reclassification is the assignment of a new job title and/or grade to an existing position. The evaluation may result in an upward or downward move or no change in the salary grade of the position. 

Promotion: The permanent movement of a staff member from a position in one job class to a position in another job class of increased responsibility or complexity of duties and in a higher salary range. 

Salary Adjustment: Salary adjustments are usually completed to keep an individual's salary within the salary range that is assigned to their position and grade. 

Transfer: The permanent lateral movement of a staff member from one position to another position in the same or another job class assigned to the same salary range.

5.0 Desktop Procedures 

Promotions and Transfer 

Step Action

1 Employee reviews job openings and finds a position for which he/she believes they are qualified 

2 Employee applies for job through CAU website

3 Human Resources and hiring supervisor reviews job applications

4 Candidates to be interviewed are identified and designated people conduct interviews with all job candidates

5 The supervisor notifies the supervisor Human Resources of the top candidates

6 The effective starting date for the new position is agreed to by both the current department and the hiring department but should not exceed 30 days from the announcement of the promotion.

Demotions 

Step Action 

1 Supervisor provides written justification to Human Resources that an employee should be demoted 

2 Human Resources with input from Senior Management either approves or denies the demotion 

3 If the demotion is approved the employee has the option to appeal the decision to the next highest level of authority. 

4 If the employee's appeal is unsuccessful the employee is demoted. If the demotion is denied the employee remains in their current position.