Employee Handbook - Employment Policies

Equal Employment Opportunity Policy 

The RAC is strongly committed to providing equal employment opportunity for all employees and all applicants for employment.  The RAC believes in the value of diversity in the workplace and recognizes that a diverse workforce will promote positive and effective results within the organization.

The RAC is an Equal Opportunity Employer and is committed to complying with all federal, state and local equal employment opportunity laws.  The RAC prohibits discrimination against employees and applicants for employment because of the individual’s actual or perceived age, race, alienage, citizenship, ethnicity or ancestry, religion or creed, color, national origin, sexual orientation, gender identity or expression, military or veteran status, sex (including pregnancy), disability, status as a victim of domestic violence and other related protected classes, marital status, familial status, genetic information or predisposing genetic characteristics, height, weight, or any other characteristic protected by local, state or federal law.  This policy applies to all RAC activities, including, but not limited to, recruitment, hiring, compensation, assignment, training, promotion, performance evaluation, discipline, and discharge.

Anti-Harassment Policy 

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

This policy applies to all applicants, employees, and persons at the RAC and prohibits harassment, discrimination, and retaliation whether engaged in by fellow employees, a supervisor, or by someone not directly connected to the RAC (e.g., an outside vendor or consultant). Conduct prohibited by these policies is unacceptable in the workplace and in any work-related setting outside the workplace, such as during business trips, professional meetings, and work-related social events.   

This policy may not be used as a basis for excluding or separating individuals of a particular gender, or any other protected characteristic, from participating in business or work-related social activities or discussions in order to avoid allegations of harassment.  In other words, no one should make the mistake of engaging in discrimination or exclusion in order to avoid allegations of harassment.  The law and policy of the RAC prohibit disparate treatment on the basis of sex or any other protected characteristic, with regard to terms, conditions, privileges, and perquisites of employment. The prohibitions against harassment, discrimination, and retaliation are intended to complement and further these policies, not to form the basis of an exception to them.  Individuals who have questions or concerns about this policy should speak with Human Resources or the President.  

Anti-Discriminatory Harassment 

The RAC prohibits conduct that constitutes or could lead or contribute to harassment based on actual or perceived age, race, alienage, citizenship, ethnicity or ancestry, religion or creed, color, national origin, sexual orientation, gender identity or expression, military or veteran status, sex (including pregnancy), disability, status as a victim of domestic violence and related protected classes, marital status, familial status, genetic information or predisposing genetic characteristics, height, weight, or any other characteristic protected by local, state or federal law, and that:  

• Is intended to or has the effect of creating an intimidating, hostile, or offensive work environment;  
• Has the purpose or effect of unreasonably interfering with an individual’s work performance; or 
• Otherwise adversely affects an individual’s employment opportunities.  

Examples of such conduct include, but are not limited to:  

• Ethnic slurs;  
• Use of RAC computers (including via Internet) or RAC’s email system to view or distribute offensive communications inconsistent with the terms of this policy; and/or  
• Threatening, intimidating, or hostile acts directed at an individual based upon a protected characteristic.  Harassment does not require intent to offend.  Thus, inappropriate conduct or language meant as a joke, a prank, or even a compliment can lead or contribute to harassment.    

Reasonable Accommodations Policy

The RAC is strongly committed to assuring that reasonable accommodations are provided to qualified employees and applicants based on their: (i) physical or mental disability; (ii) sincerely held religious beliefs and practices; (iii) needs as a victim of domestic violence, sex offenses or stalking; (iv) needs related to pregnancy, childbirth, or related medical conditions; and/or (v) any other reason required by applicable law.  The overall intent of this policy is to maintain equal employment opportunity for all applicants and employees, and to ensure that the RAC provides a process by which qualified employees and applicants may request reasonable accommodations.  Accommodations are considered reasonable if they don’t impose an undue hardship or direct threat to the RAC.     

All requests for accommodations consistent with this policy should be directed to an employee’s supervisor or to Human Resources.  After receiving a request for an accommodation, the RAC will engage in an interactive process to discuss the need for an accommodation, as well as to identify effective accommodation solutions.  As part of this process, the RAC will communicate openly and in good faith to determine whether and how the RAC may be able to provide an accommodation.  Under certain circumstances, the RAC may need to request medical documentation as part of this process.   

Inquiries about and information regarding requests for an accommodation will, whenever possible, be kept confidential.  Supervisors will be informed as appropriate regarding accommodations for their direct reports.  The RAC prohibits any form of retaliation against employees or applicants who have requested an accommodation or who the RAC has notice may require such an accommodation.   

Questions regarding this policy should be directed to Human Resources. 

Sexual Harassment Prevention Policy

The RAC does not tolerate and prohibits sexual harassment of or against our employees, job applicants, interns, contractors, vendors, consultants, or anyone providing service in our workplace by another employee, supervisor, vendor, or any third party.  The RAC also prohibits retaliation as defined below.    

The RAC is committed to a workplace free of sexual harassment and retaliation.  These behaviors are unacceptable in the workplace and in any work-related settings, such as RAC business trips or RAC sponsored social events, regardless of whether the conduct is engaged in by a supervisor, co-worker, vendor or other third party.  In addition to being a violation of this policy, sexual harassment and retaliation are also unlawful.  For example, sexual harassment and retaliation against an individual because the individual filed a complaint of sexual harassment or because an individual aided, assisted or testified in an investigation or proceeding involving a complaint of sexual harassment is unlawful.    

Sexual Harassment Defined 

Sexual harassment includes harassment on the basis of sex or gender (including pregnancy, childbirth, and related medical conditions), gender identity or gender expression (including transgender status), and/or sexual orientation. Sexual harassment includes unwelcome conduct which is either of a sexual nature or which is directed at an individual because of that individuals’ sex or gender, gender identity or gender expression, and/or sexual orientation when: 

• Submission to that conduct or those advances, or requests is made either explicitly or implicitly a term or condition of an individual’s employment; or   

• Submission to or rejection of the conduct or advances or requests by an individual is used as the basis for employment decisions affecting the individual; or   

• The conduct or advances or requests have the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment.   

Sexual harassment can be verbal (including slurs, jokes, insults, epithets, gestures or teasing), visual (including offensive posters, symbols, cartoons, drawings, computer displays, text messages, social media posts or e-mails) or physical conduct (including physically threatening another) that denigrates or shows hostility or aversion towards an individual on the basis of sex or gender (including pregnancy, childbirth and related medical conditions), gender identity or gender expression (including transgender status), and/or sexual orientation.  Such conduct violates this Policy, even if it is not unlawful.  Because it is difficult to define unlawful sexual harassment, employees are expected to always behave in a manner consistent with the intended purpose of this Policy.  In New York, harassment does not need to be “severe or pervasive” to be illegal.   Examples of conduct that violates this Policy include:  

• unwelcome sexual advances, flirtations, advances, leering, whistling, touching, pinching, assault, blocking normal movement;  
• repeated requests for dates or romantic gestures, including gift-giving;
• requests for sexual favors or demands for sexual favors in exchange for favorable treatment; 
• obscene or vulgar gestures, comments, or posters (this also extends to the virtual or remote workspace and can include having such materials visible in the background during a virtual meeting); 
• sexual jokes or comments about a person’s body, sexual prowess, romantic history, or sexual deficiencies;  
• propositions, or suggestive or insulting comments of a sexual nature  
• derogatory cartoons, posters, and drawings; 
• sexually-explicit e-mails or voicemails;  
• uninvited touching of a sexual nature;  
• unwelcome sexually-related comments; 
• conversation about one’s own or someone else’s sex life;  
• conduct or comments consistently targeted at only one gender, even if the content is not sexual; or  
• teasing or other conduct directed toward a person because of the person’s gender, gender identity, gender expression, or sexual orientation (including the intentional misuse of an individual’s pronouns and creating different expectations for individuals based on their identities); or
• sex stereotyping, which occurs when someone’s conduct or personality traits are judged based on other people’s ideas or perceptions about how individuals of a particular sex should act or look.

This list is just a sample of behaviors and should not be considered exhaustive. Any employee who believes they have experienced sexual harassment, even if it does not appear on this list, should feel encouraged to report it.

Sexual harassment is not limited to sexual contact, touching, or expressions of a sexually suggestive nature. Sexual harassment includes all forms of gender discrimination including gender role stereotyping and treating employees differently because of their gender. The intent of the behavior, for example, making a joke, does not neutralize the conduct. Not intending to harass is not a defense. The impact of the behavior on a person is what counts. In addition, sexual harassment is not limited to interactions in person. Sexual harassment can occur when employees are working remotely from home as well. Harassment can happen on virtual meeting platforms, in messaging apps, and during non-working hours, and regardless of whether the communication occurs on the RAC owned or personal devices.

Supervisory Responsibilities

Supervisors have a special responsibility to make sure employees feel safe at work and that workplaces are free from harassment and discrimination. Every supervisor who learns of any employee’s concern about conduct in violation of this Policy, whether in a formal complaint or informally, or who otherwise is aware of conduct in violation of this policy, must immediately report the issues raised or conduct to the Director of HR & Operations or to the President.  Supervisors should not be passive and wait for an employee to make a complaint. If they observe or are otherwise aware of conduct in violation of this policy, they must act.   

Reporting Procedures 

If an employee believes someone has violated this Policy, the employee should promptly bring the matter to the immediate attention of the Director of HR & Operations or, alternatively, may report the matter to their immediate supervisor, the President, the Director of Archives, or the Director of Research and Engagement. Written complaints can be submitted internally using the Complaint Form provided with this Policy.  Use of this form is not necessary. Verbal or other written complaints (such as an email) on behalf of oneself or another employee will be treated with equal priority. If an employee makes a complaint under this policy and has not received a satisfactory response within five (5) business days, the employee should contact the President immediately.  

Investigation Procedures 

Upon receiving a complaint, the RAC will promptly conduct a fair and thorough investigation into the facts and circumstances of any claim in order to ensure a fair and impartial investigation.  To the extent possible, the RAC will endeavor to keep the reporting employees’ concerns confidential.  However, complete confidentiality may not be possible in all circumstances. Employees are required to cooperate in all investigations conducted pursuant to this Policy.

During the investigation, the RAC generally will seek to interview all parties involved, conduct further interviews as necessary, and review any relevant documents or other information.  Upon completion of the investigation, the RAC will determine whether this policy has been violated based upon its reasonable evaluation of the information gathered during the investigation.  The RAC will inform the complainant and the accused of the results of the investigation and will take such action as necessary to ensure that employees are provided with a safe working environment.

The RAC will take corrective measures against any person whom it finds to have engaged in conduct in violation of this Policy, if the RAC determines such measures are necessary.  These measures may include, but are not limited to, counseling, suspension, or immediate termination.  Anyone, regardless of position or title, whom the RAC determines has engaged in conduct that violates this policy will be subject to discipline, up to and including termination.  This includes individuals engaging in sexual harassment or retaliation, as well as supervisors who fail to report violations of this policy, or knowingly allow prohibited conduct to continue.  Individuals who engage in conduct that rises to the level of a violation of law can be held personally liable for such conduct. In addition, employers or supervisors who fail to report or act on harassment may be liable for aiding and abetting such behavior.

Retaliation Defined 

Retaliation means adverse conduct taken because an individual reported an actual or perceived violation of this policy, opposed practices prohibited by this policy, or participated in the reporting and investigation process described below.  “Adverse conduct” includes but is not limited to:  any action that would discourage an employee from reporting sexual harassment or retaliation; shunning and avoiding an individual who reports sexual harassment or retaliation; express or implied threats or intimidation intended to prevent an individual from reporting sexual harassment or retaliation; and denying employment benefits because an applicant or employee reported or encouraged another employee to report  sexual harassment or retaliation or participated in the reporting and investigation process described above. No one should fear reporting sexual harassment if they believe it has occurred.

Bystander Intervention

Any employee witnessing harassment as a bystander is encouraged to report it. There are five standard methods of bystander intervention that can be used when anyone witnesses harassment or discrimination and wants to help.

1. A bystander can interrupt the harassment by engaging with the individual being harassed and distracting them from the harassing behavior;
2. A bystander who feels unsafe interrupting on their own can ask a third party to help intervene in the harassment;
3. A bystander can record or take notes on the harassment incident to benefit a future investigation;
4. A bystander might check in with the person who has been harassed after the incident, see how they are feeling and let them know the behavior was not ok; and
5. If a bystander feels safe, they can confront the harassers and name the behavior as inappropriate. When confronting harassment, physically assaulting an individual is never an appropriate response.
6. As noted above, a supervisor that is a bystander to harassment is required to report it.

Legal Protections and External Remedies 

Aside from the internal complaint process at the RAC, employees may choose to pursue external legal remedies with the following governmental entities. 

Civil Rights Act of 1964  

The United States Equal Employment Opportunity Commission (EEOC) enforces federal anti-discrimination laws, including Title VII of the 1964 federal Civil Rights Act (codified as 42 U.S.C. § 2000e et seq.). An individual can file a complaint with the EEOC anytime within 300 days of the harassment. There is no cost to file a complaint with the EEOC. The EEOC will investigate the complaint and determine whether there is reasonable cause to believe that discrimination has occurred, at which point the EEOC will issue a Right to Sue letter permitting the individual to file a complaint in federal court.   

The EEOC does not hold hearings or award relief but may take other action including pursuing cases in federal court on behalf of complaining parties. Federal courts may award remedies if discrimination is found to have occurred. In general, private employers must have at least 15 employees to come within the jurisdiction of the EEOC.

An employee alleging discrimination at work can file a “Charge of Discrimination.” The EEOC has district, area, and field offices where complaints can be filed. Contact the EEOC by calling 1-800-669-4000 (TTY: 1-800-669-6820), visiting their website at www.eeoc.gov or via email at info@eeoc.gov.

If an individual filed an administrative complaint with DHR, DHR will file the complaint with the EEOC to preserve the right to proceed in federal court.

State Human Rights Law (HRL)  

The Human Rights Law (HRL), codified as N.Y. Executive Law, art. 15, § 290 et seq., applies to all employers in New York State with regard to sexual harassment, and protects employees, paid or unpaid interns and non-employees, regardless of immigration status. A complaint alleging violation of the Human Rights Law may be filed either with the Division of Human Rights (DHR) or in New York State Supreme Court.

Complaints of sexual harassment may be filed with DHR any time within three (3) years of the harassment. If an individual did not file at DHR, the individual can sue directly in state court under the HRL, within three (3) years of the alleged sexual harassment. Individuals may not file with DHR if they have already filed a HRL complaint in state court.     Complaining internally to the RAC does not extend an individual’s time to file with DHR or in court. The three (3) years are counted from the date of the most recent incident of harassment.  

Individuals do not need an attorney to file a complaint with DHR, and there is no cost to file with DHR.  

DHR will investigate complaints and determine whether there is probable cause to believe that sexual harassment has occurred. Probable cause cases are forwarded to a public hearing before an administrative law judge. If sexual harassment is found after a hearing, DHR has the power to award relief, which varies but may include requiring an employer to take action to stop the harassment, or redress the damage caused, including paying of monetary damages, punitive damages, attorney’s fees and civil fines.  

DHR’s main office contact information is: NYS Division of Human Rights, One Fordham Plaza, Fourth Floor, Bronx, New York 10458. Individuals may also call (718) 741-8400 or visit: www.dhr.ny.gov.  

Contact DHR at (888) 392-3644 or visit dhr.ny.gov/complaint for more information about filing a complaint. The website has a complaint form that can be downloaded, filled out, notarized and mailed to DHR. The website also contains contact information for DHR’s regional offices across New York State.  You can also call DHR’s toll-free sexual harassment hotline at 1800-HARASS-3 Monday through Friday, 9:00AM to 5:00PM.  

Local Protections  

Many localities enforce laws protecting individuals from sexual harassment and discrimination. An individual should contact the county, city, or town in which they live to find out if such a law exists.  If the harassment involves unwanted physical touching, coerced physical confinement or coerced sex acts, the conduct may constitute a crime. Those wishing to pursue criminal charges are encouraged to contact the local police department.

Preventing sexual harassment is everyone’s responsibility.  The RAC cannot remedy claimed sexual harassment or retaliation unless these claims are brought to the attention of leadership.  Employees should report any conduct which they believe violates this Policy. 

Code of Conduct Policy

Purpose 

The Code of Conduct is designed to guide the trustees, officers, and employees of the RAC in the performance of their duties in support of the mission of the RAC.  The RAC strives to provide broad and equitable access to its collections and contributes to knowledge and diverse communities throughout the world.   The RAC takes this obligation seriously and strives to meet or exceed ethical and professional standards.  Each trustee, officer, and employee must conduct the affairs of the RAC with a commitment to the highest standards of integrity, transparency and accountability.  All should act with due recognition of our position of trust and loyalty with respect to the RAC’s research community. All must, at all times, act in an honest and ethical manner, in compliance with all laws and regulations, and avoid improprieties resulting from actual, potential, or apparent conflicts of interest.   

No policy can address every perceived ethical situation.  New questions may arise, new issues may be confronted.  Any trustee, officer or employee of the RAC who has doubts about whether conduct complies with the intent of this Policy, are urged to consult with the President.

Professional Conduct 

The RAC is committed to the highest standards of professional conduct and integrity.  It is the obligation of all RAC trustees, officers, and employees to act in a professional and civil manner with colleagues, donors, researchers, and the general public.  Appropriate disciplinary action will be taken against individuals who violate this policy.  Although it is impossible to give an exhaustive list of everything that professional conduct means, it does include, but is not limited to:  

• following all of the rules in this handbook;  
• following management directives;
• complying with policies against discrimination, harassment, and retaliation;
• working in a cooperative manner with supervisors, coworkers, and researcher community 
• refraining from being discourteous or disrespectful to a researcher or any member of the public while in the course of RAC business;  
• abiding by RAC policies and cooperating fully in any investigation that the RAC may undertake;  
• refraining from unauthorized disclosure of confidential business information (as defined in this handbook).  

Employees are expected to be thoughtful in communications and dealings with others, including email and social media.  Never harass (as defined by our anti-harassment policy) threaten, libel or defame fellow professionals, employees, researchers or others.  What is said in social media can often been seen by anyone.  Therefore, harassing comments, obscenities or similar conduct that would violate RAC’s policies is discouraged in general and is never allowed while using RAC resources or during work time.  Nothing in this policy is intended to prevent employees from engaging in concerted activity protected by law.

Breaches of professional conduct, including those mentioned above may result in disciplinary action, up to and including dismissal.  Questions regarding this policy should be directed to Human Resources or to the President.

Nepotism and Personal Relationships

Each employee has an obligation to respect and be fair to other employees and to ensure that personal relationships within the organization do not result in conflicts of interest or situations that might impair objective judgment.   

Personal relationships within the organization between a supervisor and their direct reports are discouraged because of the risk of real or perceived partiality and potential harm to the individuals as well as to employees.  “Personal relationship” shall mean marital or other committed relationship, significant familial relationship, or consensual sexual or romantic relationship.  The RAC has adopted these guidelines to dissuade employees from participating in or directly influencing the hire, promotion, supervision, assignment of duties, job evaluation, and/or salary determination of an employee with whom they have a personal relationship.      Depending upon the situation, the RAC may reassign one or both parties to a new position or may otherwise alter the working relationship of the individuals.  Concerns, including those of a third party, that a personal relationship is impairing an employee’s ability to be effective at work should be discussed with the President, the Director of HR & Operations, the Director of Archives, or the Director for Research and Engagement.

• Accuracy of Financial Accounting and Reporting 
• The RAC takes seriously its obligation to comply with the highest standards of financial accounting and reporting.  In addition to complying with all applicable laws, rules and regulations, employees will:  
• Ensure full, fair, timely, accurate and understandable disclosure of RAC’s filings; 
• Record entries in the RAC’s financial records that are accurate to the best of their knowledge;  
• Comply with RAC’s disclosure regulations and procedures, internal controls, and financial reporting; and  
• Provide information that is accurate, complete, objective, relevant, timely, and understandable.   

Confidentiality and Disclosure of Information 

It is important to the RAC that all individuals protect confidential information in our archival collections as well as our institutional records.  This includes, but is not limited to, the following examples:

• Archival records subject to an embargo;
• computer processes and programs;
• corporate financial information;
• pending projects or proposals;
• technological data;
• project plans and designs; and
• vendor lists.

Any employee who improperly uses or discloses confidential business information will be subject to disciplinary action, up to and including termination of employment and legal action. This applies even if the employee did not receive any benefit from releasing the information.

Reporting Violations of the Code of Conduct Policy  

Employees should report suspected violations of the Code of Conduct policy, to their immediate supervisor, the Director of HR & Operations, the President, the Director of Archives, or the Director of Research and Engagement.

Concerns may be submitted on a confidential basis and will be investigated to the extent possible.  The RAC will use its best efforts to protect the identity of the complainant, where possible.  Complainants should be aware, though, that their identities may become known during an investigation or for reasons beyond the control of the RAC. Complainants should be prepared to be interviewed by RAC investigators, and by law enforcement, if possible criminal conduct is involved.

The RAC prohibits retaliatory action, including retaliatory employment action, against a complainant or a participant in an investigation under this policy.  In order for a complainant to be protected against retaliatory employment action, their identity must be known.

Malicious, false or bad-faith allegations may result in disciplinary action.  A complainant who wishes to report an incident of retaliation should file a written complaint with their immediate supervisor, the Director of HR & Operations, the President, the Director of Archives, or Director of Research and Engagement.    

Persons who are accused of improper conduct will have the opportunity to be heard.  The subject’s immediate supervisor will be informed before the subject is given notice of the reported improper conduct.  The subject of a report may be placed on leave if the RAC, in its discretion, determines that leave would be appropriate.

Conflict of Interest Policy

Policy Statement 

RAC trustees, officers, and employees are expected to carry out their responsibilities in a trustworthy manner and should be careful to avoid situations that could present a conflict of interest or the appearance of a conflict.  

RAC trustees, officers, and employees should be sensitive to situations which could raise conflicts or the perception of conflicts between their personal interests and the RAC’s interests.  RAC trustees, officers, and employees are in a position of trust with respect to the RAC and should conduct themselves accordingly.  In all dealings, RAC trustees, officers, and employees must act with fairness and the appearance of fairness and must be particularly aware of situations where there exists an actual conflict or perception of conflict between their private interests and RAC responsibilities.  Such conflicts can arise in many areas.  Trustees, officers, and employees have a duty to report their own conflicts of interest as outlined below and accept the obligations inherent in the RAC’s policy for managing conflicts.  In many situations, the key to dealing with a conflict of interest is to disclose it.  Once disclosed, many conflicts of interest can be managed so that the interests of the RAC and the individual are not compromised.  To protect the integrity of the RAC, we have established this policy governing conflicts of interest.

Definitions  

Associated entity    

An associated entity is any entity, firm, association, or corporation in which a person, alone or together with family member(s), holds any interest in income or assets or holds a fiduciary position (such as officer or trustee).   

Conflict of interest  

An individual may have a conflict of interest if the individual, their family member, or an associated entity: 

• has an actual or potential interest (including a substantial financial interest or is an officer or director of an entity with which the RAC is engaging in a transaction or matter), that could reasonably cause an independent observer to question whether the individual’s professional judgment and/or actions or decisions are influenced by consideration of personal gain, financial or otherwise; or 

• received or will receive a substantial, financial or other benefit from knowledge of confidential or proprietary RAC information.   

A conflict of interest depends on the situation, and not on the character or actions of the individual.  A conflict of interest may exist even if the actions or decisions would not harm the RAC.    

A conflict of interest may occur where there is a divergence or perceived divergence between an individual’s private interests and their professional, fiduciary, and/or other RAC-related obligations that could cause an independent observer reasonably to question whether the individual’s fiduciary, and/or other RAC-related actions or decisions are influenced by considerations of material personal gain, financial or otherwise (e.g., being provided with gifts of value to use services/goods in connection with your position at RAC).

Individuals who authorize or influence purchases or the choice of vendors/consultants or have knowledge of or access to confidential proprietary information (as defined in the RAC’s Code of Conduct) should be particularly mindful of potential conflicts of interest.   

Procedures  

If a RAC trustee, officer, or employee is or becomes involved in a matter or is engaged in an activity as to which a conflict of interest may exist, the individual shall immediately disclose such conflict of interest upon recognition of the conflict to the President or the Board of Trustees and abstain from recommending, influencing or voting on any proposed action that may be in conflict until the matter is reviewed by the President or Board of Trustees.  Further, in the absence of any contrary direction by the President or Board, the individual shall not participate on behalf of either side in any negotiation with the entity with respect to which the conflict of interest exists.

In matters or activities involving an officer or trustee, a conflict shall be disclosed to the Board, immediately upon recognition of the conflict and absolutely no later than forty-eight (48) hours following recognition of the potential conflict, prior to the Board’s taking any action to approve such matter or activity.  The minutes of the meeting at which the Board considered such matter or activity will note the disclosure of the conflict.  

Stewardship of RAC Property and Funds  

RAC trustees, officers, and employees must recognize that they are stewards of RAC’s property and funds, and as such have a responsibility to RAC’s contributors, including donors and federal, state, and local governments, and, accordingly, should treat RAC property with care.  

Gifts, Payments, and Relationships with Vendors  

RAC trustees, officers, and employees should not accept any material gift, gratuity, or other payment, in cash or in kind, from any vendor seeking to do business or currently doing business with the RAC.     

Annual Acknowledgement 

This policy requires disclosure of actual or apparent conflicts of interest.  RAC employees should make these disclosures and confirm that they will comply with this policy by annually signing a Conflict-of-Interest Acknowlegment and submitting it to Human Resources.

Whistleblower Policy

Purpose 

As stewards of the public trust, all RAC trustees, officers and employees are expected to ensure that the RAC complies with the highest standards of financial accounting and reporting and engages in lawful and ethical business practices and behavior.  This policy is intended to remind trustees, officers, and employees of this expectation, to encourage prompt reporting of concerns about possible violations, to lay out procedures for reporting and investigating complaints, and the protections afforded under this policy.  

The Director of HR & Operations will oversee this policy.

Scope and Distribution of Policy 

This policy covers complaints made regarding the RAC’s resources/financial operations and ethical business practices and behavior. A copy of this policy will be distributed via email to all directors, officers, key persons, employees, who provide substantial services to the RAC. 

Complaints 

If any trustee, officer, or employee knows or has reasonable belief that persons associated with the RAC, including but not limited to other employees, officers, trustees, consultants, and/or business affiliates have engaged or plan to engage in illegal or unethical conduct in connection with the RAC’s resources or financial operations, that person is expected to file a complaint immediately.  

Procedures for Filing Complaints 

Complaints regarding illegal or unethical conduct in connection with RAC’s resources or financial operations may be reported orally or in writing, giving as much detail as possible, to the Director of HR & Operations or the President.  If any of these named individuals is the subject of the complaint, the complaint may be reported to the other named individual or may instead be reported to the chair of the Board of Trustees.  If any member of the Board of Trustees or its committees is the subject of the complaint, the complaint may be reported to any of the named officers or to the Chair of the Board of Trustees.  In all cases, the officer or trustee who receives a complaint will promptly prepare a written summary of the complaint, including as much detail as possible.  

Handling of Complaints Received 

Any person receiving the complaint will report it to the President; unless the complaint concerns the President (see alternate procedures).  If appropriate, the complaint will be reviewed with counsel and, if necessary, investigative action will be undertaken as promptly as possible.  The President will report all complaints made pursuant to the policy to the Chair of the Board of Trustees.  This report will generally include a copy of the complaint and the date and nature of the complaint.  It will also describe the alleged conduct and status of any investigation and any recommendations to address the complaint.    

The President and the Chair of the Board of Trustees will agree on further actions to be taken, including additional investigation and/or legal or disciplinary action.  The Chair of the Board of Trustees will report to the full Board of Trustees, if appropriate, any complaint that has been determined to be credible and material, without the participation of any trustee who may be the subject of a complaint.  The Board of Trustees will ensure that the records related to all complaints are maintained in accordance with the RAC’s document retention policy.

Alternate Procedures of Handling Complaints in Certain Circumstances 

Where a complaint involves the President or the Chair of the Board of Trustees, the following alternate procedures should be followed. 

If the President is the subject of the complaint  

Initial complaints should be submitted to the Director of HR & Operations.  The complaint will not be presented to the President but will be presented directly to the Chair of the Board of Trustees by the Director of HR & Operations.  The Chair of the Board of Trustees will proceed, with the advice of counsel if appropriate, to investigate the complaint in accordance with this policy but without the participation of the President.

If the Chair of the Board of Trustees is the subject of the complaint  

Initial complaints should be submitted to the President.  The President will present the complaint to the Board of Trustees (excluding the Chair), who will be responsible for assigning a Board member to investigate the complaint, with the advice of counsel if appropriate, and presenting it to the full Audit Committee of the full Board of Trustees, without the participation of the Chair.  

Action on Complaints  

The RAC will take appropriate action in response to any complaints and/or any confirmed violations of the policy.  Appropriate action may include implementing disciplinary action, up to and including dismissal against any person who, in the RAC’s assessment, has engaged in unethical conduct or misconduct and, where appropriate, reporting such misconduct to the relevant civil or criminal authorities. 

Protections Under Policy 

The RAC will not retaliate and/or implement any adverse employment action against any trustee, officer, employee, or other individual for:   

• reporting a complaint in good faith pursuant to this policy or to any law enforcement officers, governmental agencies or bodies, or persons with supervisory authority over the complainant; 
• providing in good faith information regarding a complaint under the policy to law enforcement officers, governmental agencies or bodies, or persons with supervisory authority over the complainant, or otherwise assisting in any investigation of any alleged policy violation conducted by the RAC; or  
• otherwise participating or assisting in a proceeding filed or about to be filed regarding an alleged violation of the policy.  

An individual who engages in retaliation in violation of this policy will be subject to disciplinary action, up to and including dismissal.  Any individual who believes they have been retaliated against in violation of the policy should immediately contact a member of leadership.  Any individual who deliberately or maliciously provides information they know to be false in connection with a complaint or the investigation of a complaint may be subject to disciplinary action, up to and including dismissal.  

Confidentiality 

In conducting its investigations and in reporting complaints, the RAC will strive to maintain the confidentiality of complaints received, the identity of any complainant and/or the identity of any individual who provides information in connection with an investigation, to the extent practicable. 

Documents regarding the investigations and complaints will be maintained in a confidential manner, and only those with a need to know such information under this policy or as otherwise required by law will be given access. However, complete confidentiality cannot be guaranteed and will not be permitted to impede the RAC’s ability to investigate and respond to complaints.

Flexible Work Policy

Policy Statement 

The purpose of this policy is to allow flexible work arrangements that are appropriate for all employees and consistent with the operational needs of the RAC.  

It is important to note that the availability and type of flexible work arrangement will vary by department and position based on operational needs.  Under this policy, flexible work arrangements may include remote work, hybrid work, flexible work hours, compressed workweeks, or a combination of these.  

Guidelines & Responsibilities 

There are no general RAC requirements regarding the time an individual employee must spend onsite since this will necessarily vary among different positions on the staff. All flexible work arrangements must be determined and approved in advance by the employee’s supervisor.  Supervisors are responsible for managing the work of their employees and must provide appropriate onsite coverage when considering a flexible work arrangement request.  Supervisors are responsible for regularly reviewing their employees’ flexible work arrangements to ensure that the arrangements continue to meet the needs of the RAC.   

Employees are not entitled to or guaranteed the opportunity to use a flexible work arrangement.  Employees must meet the following criteria to be eligible to begin, and to maintain, a flexible work arrangement: 

• The employee must be in good standing and must meet all performance standards; 
• The employee must exhibit excellent time management skills and be self-motivated, self-reliant, and disciplined as demonstrated in both past and current work performance; 
• The employee must adhere to all other requirements set forth in this Policy.   

Expectations for All Flexible Work Arrangements 

When working remotely, employees must remain accessible via phone, email/teams, and video during the working hours that they have confirmed with their supervisors. Employees should also establish effective communication and workflows with their supervisors.  Employees must make themselves available on-site as necessary to attend meetings, trainings or other required events, or to support reading room operations, even if that day is typically a remote or flex workday.  Where possible, supervisors will provide reasonable advance notice to employees of their need to be onsite.  

Consistent with the RAC’s expectations of information security for employees working onsite, employees working remotely are required to ensure the protection of proprietary information accessible from their remote work location.  

Flexible work arrangements are not intended to permit employees to have time to work at other jobs or run their own businesses during regular RAC work hours.  Failure to fulfill normal work requirements due to other employment may be cause for disciplinary action up to and including termination. 

An employee’s participation in a flexible work arrangement is not guaranteed.  It is a management option and not an employee right.   The RAC’s policies and procedures, including those set forth in the Handbook, apply to all employees regardless of work location.  The RAC reserves the right to approve or deny any flexible work arrangement and to review, modify or revoke such arrangement once approved.  If a flexible work arrangement is not working or business needs change, the flexible work arrangement may be ended at any time at the RAC’s sole discretion. 

Open Door Policy

Employees are encouraged to bring any work-related questions, suggestions, or concerns to their supervisor or to other leadership staff.  If no satisfactory response is received, employees should feel free to bring the matter to a higher level of supervision, including Human Resources or the President.