It is the express policy of the Fund for the City of New York that all aspects of employment with the Fund shall be based strictly on merit and qualifications without regard to sex, race, religion, creed, color, national origin, alienage or citizenship status, gender (including gender identity), sexual orientation, marital or partnership status, age, disability, height, weight, handicap, Vietnam era or disabled veteran status or any other protected characteristic protected under federal, state or local law. It is the responsibility of all employees of the Fund to carry out this policy of equal employment opportunity. 

Issue Date: January 25, 2017 

The Fund does not tolerate job-related harassment and discrimination. All Fund employees are prohibited from subjecting other Fund employees to sexual advances, racial slurs, or any other form of harassment. Such violations of this policy will not be tolerated and anyone found to have engaged in such behavior will be appropriately disciplined up to and including termination of employment.

If an employee experiences any job-related harassment and believes he/she has been treated in an unlawful discriminatory manner, the employee should report the matter immediately to his or her supervisor and/or the Director of Fiscal & Administrative Services. Supervisors should immediately report all discrimination/harassment complaints to the Director of Fiscal & Administrative Services. On receipt of the complaint, the Director will investigate the incident and will ensure confidentiality to the maximum extent possible. If after investigating the matter, it is determined that an individual is guilty of harassing another employee, disciplinary action up to and including termination will be taken against the offending employee. The Fund prohibits any form of retaliatory action against any employee for filing a complaint. 

Issue Date: February 13, 1998

The manufacture, distribution, dispensation, possession, sale, consumption or use of alcohol, illegal drugs or controlled substances is prohibited on Fund premises or while on Fund business, except that alcohol may be served and consumed at Fund-sponsored events that are authorized and approved by the Fund in advance. The Fund also prohibits you from being under the influence of, or impaired by, the use of illegal drugs or alcohol at such times.

You are permitted to work while using prescription drugs only: 

•  when they are being used as prescribed by a licensed physician; 

•  if they do not prevent you from performing the essential functions of your job; and 

•  if they do not present a direct threat to your health or safety or the health and safety of your coworkers or others in the workplace.

If you use medication which might affect your job performance, you should notify your supervisor. Failure to comply with this policy will result in disciplinary action, up to and including termination of employment.

The Federal Drug Free Workplace Act requires that employees who are convicted of controlled substance related violations on Fund premises or while on Fund business (including guilty or no contest pleas) report such convictions or pleas to the Fund within five (5) days. The report must be made in writing to the Director of Fiscal & Administrative Services.

Any employee experiencing problems with drug abuse is encouraged to voluntarily seek counseling and assistance. Requests for assistance should be made to the Director of Fiscal & Administrative Services. Such requests for assistance are treated as confidential. Depending on the ability of the employee to perform the normal work of his or her position, the employee may be allowed to continue to work during the counseling-rehabilitation period, or may be required to take an unpaid leave of absence.

Issue Date: July 1, 1996 

The Fund for the City of New York is committed to maintaining a workplace free from sexual harassment. Sexual harassment is a form of workplace discrimination. All employees are required to work in a manner that prevents sexual harassment in the workplace. This Policy is one component of the Fund’s commitment to a discrimination-free work environment. Sexual harassment is against the law and all employees have a legal right to a workplace free from sexual harassment and employees are urged to report sexual harassment by filing a complaint internally with the Fund. Employees can also file a complaint with a government agency or in court under federal, state or local antidiscrimination laws.

Sexual Harassment Policy:

1.  The Fund’s policy applies to all employees, applicants for employment, interns, whether paid or unpaid, contractors and persons conducting business, regardless of immigration status, with the Fund. In the remainder of this document, the term “employees” refers to this collective group.

2.  Sexual harassment will not be tolerated. Any employee or individual covered by this policy who engages in sexual harassment or retaliation will be subject to remedial and/or disciplinary action (e.g., counseling, suspension, termination).

3.  Retaliation Prohibition: No person covered by this Policy shall be subject to adverse action because the employee reports an incident of sexual harassment, provides information, or otherwise assists in any investigation of a sexual harassment complaint. The Fund will not tolerate such retaliation against anyone who, in good faith, reports or provides information about suspected sexual harassment. Any employee of the Fund who retaliates against anyone involved in a sexual harassment investigation will be subjected to disciplinary action, up to and including termination. All employees, paid or unpaid interns, or non-employees working in the workplace who believe they have been subject to such retaliation should inform a supervisor, manager, or the Vice President of Finance and Operations. All employees, paid or unpaid interns or non- employees who believe they have been a target of such retaliation may also seek relief in other available forums, as explained below in the section on Legal Protections.

4.  Sexual harassment is offensive, is a violation of our policies, is unlawful, and may subject the Fund to liability for harm to targets of sexual harassment. Harassers may also be individually subject to liability. Employees of every level who engage in sexual harassment, including managers and supervisors who engage in sexual harassment or who allow such behavior to continue, will be penalized for such misconduct.

5.  The Fund will conduct a prompt and thorough investigation that ensures due process for all parties, whenever management receives a complaint about sexual harassment, or otherwise knows of possible sexual harassment occurring. The Fund will keep the investigation confidential to the extent possible. Effective corrective action will be taken whenever sexual harassment is found to have occurred. All employees, including managers and supervisors, are required to cooperate with any internal investigation of sexual harassment.

6.  All employees are encouraged to report any harassment or behaviors that violate this policy. The Fund will provide all employees a complaint form for employees to report harassment and file complaints.

7.  Managers and supervisors are required to report any complaint that they receive, or any harassment that they observe or become aware of, to the Vice President of Finance and Operations.

8.  This policy applies to all employees, paid or unpaid interns, and non-employees and all must follow and uphold this policy. This policy must be provided to all employees and should be posted prominently in all work locations to the extent practicable (for example, in a main office, not an offsite work location) and be provided to employees upon hiring.

What Is “Sexual Harassment”?

Sexual harassment is a form of sex discrimination and is unlawful under federal, state, and (where applicable) local law. Sexual harassment includes harassment on the basis of sex, sexual orientation, self- identified or perceived sex, gender expression, gender identity and the status of being transgender.

Sexual harassment includes unwelcome conduct which is either of a sexual nature, or which is directed at an individual because of that individual’s sex when:

●        Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile or offensive work environment, even if the reporting individual is not the intended target of the sexual harassment;

●        Such conduct is made either explicitly or implicitly a term or condition of employment; or

●        Submission to or rejection of such conduct is used as the basis for employment decisions affecting an individual’s employment.

A sexually harassing hostile work environment includes, but is not limited to, words, signs, jokes, pranks, intimidation or physical violence which are of a sexual nature, or which are directed at an individual because of that individual’s sex. Sexual harassment also consists of any unwanted verbal or physical advances, sexually explicit derogatory statements or sexually discriminatory remarks made by someone which are offensive or objectionable to the recipient, which cause the recipient discomfort or humiliation, which interfere with the recipient’s job performance.

Sexual harassment also occurs when a person in authority tries to trade job benefits for sexual favors. This can include hiring, promotion, continued employment or any other terms, conditions or privileges of employment. This is also called “quid pro quo” harassment.

Any employee who feels harassed should report so that any violation of this policy can be corrected promptly. Any harassing conduct, even a single incident, can be addressed under this policy.

Examples of sexual harassment

The following describes some of the types of acts that may be unlawful sexual harassment and that are strictly prohibited:

●        Physical acts of a sexual nature, such as: o Touching, pinching, patting, kissing, hugging, grabbing, brushing against another employee’s body or poking another employee’s body; Rape, sexual battery, molestation or attempts to commit these assaults.

●        Unwanted sexual advances or propositions, such as: o Requests for sexual favors accompanied by implied or overt threats concerning the target’s job performance evaluation, a promotion or other job benefits or detriments; Subtle or obvious pressure for unwelcome sexual activities.

●        Sexually oriented gestures, noises, remarks or jokes, or comments about a person’s sexuality or sexual experience, which create a hostile work environment.

●        Sex stereotyping occurs when conduct or personality traits are considered inappropriate simply because they may not conform to other people's ideas or perceptions about how individuals of a particular sex should act or look.

●        Sexual or discriminatory displays or publications anywhere in the workplace, such as: o Displaying pictures, posters, calendars, graffiti, objects, promotional material, reading materials or other materials that are sexually demeaning or pornographic. This includes such sexual displays on workplace computers or cell phones and sharing such displays while in the workplace.

●        Hostile actions taken against an individual because of that individual’s sex, sexual orientation, gender identity and the status of being transgender, such as: o Interfering with, destroying or damaging a person’s workstation, tools or equipment, or otherwise interfering with the individual’s ability to perform the job, Sabotaging an individual’s work, Bullying, yelling, name- calling.

Who can be a target of sexual harassment?

Sexual harassment can occur between any individuals, regardless of their sex or gender. New York Law protects employees, paid or unpaid interns, and non-employees, including independent contractors, and those employed by companies contracting to provide services in the workplace. Harassers can be a superior, a subordinate, a coworker or anyone in the workplace including an independent contractor, contract worker, vendor, client, customer or visitor.

Where can sexual harassment occur?

Unlawful sexual harassment is not limited to the physical workplace itself. It can occur while employees are traveling for business or at employer sponsored events or parties. Calls, texts, emails, and social media usage by employees can constitute unlawful workplace harassment, even if they occur away from the workplace premises, on personal devices or during non- work hours.

Retaliation

Unlawful retaliation can be any action that could discourage a worker from coming forward to make or support a sexual harassment claim. Adverse action need not be job-related or occur in the workplace to constitute unlawful retaliation (e.g., threats of physical violence outside of work hours).

Such retaliation is unlawful under federal, state, and (where applicable) local law. The New York State Human Rights Law protects any individual who has engaged in “protected activity.” Protected activity occurs when a person has:

●        made a complaint of sexual harassment, either internally or with any anti- discrimination agency;

●        testified or assisted in a proceeding involving sexual harassment under the Human Rights Law or other anti-discrimination law;

●        opposed sexual harassment by making a verbal or informal complaint to management, or by simply informing a supervisor or manager of harassment;

●        reported that another employee has been sexually harassed; or

●        encouraged a fellow employee to report harassment.

Even if the alleged harassment does not turn out to rise to the level of a violation of law, the individual is protected from retaliation if the person had a good faith belief that the practices were unlawful. However, the retaliation provision is not intended to protect persons making intentionally false charges of harassment.

Reporting Sexual Harassment

Preventing sexual harassment is everyone’s responsibility. The Fund cannot prevent or remedy sexual harassment unless it knows about it. Any employee, paid or unpaid intern or non-employee who has been subjected to behavior that may constitute sexual harassment is encouraged to report such behavior to a supervisor, manager or [p. Anyone who witnesses or becomes aware of potential instances of sexual harassment should report such behavior to a supervisor, manager or the Vice President of Finance and Operations.

Reports of sexual harassment may be made verbally or in writing. A form for submission of a written complaint is attached to this Policy, and all employees are encouraged to use this complaint form.

Employees who are reporting sexual harassment on behalf of other employees should use the complaint form and note that it is on another employee’s behalf.

Employees, paid or unpaid interns or non-employees who believe they have been a target of sexual harassment may also seek assistance in other available forums, as explained below in the section on Legal Protections.

Supervisory Responsibilities

All supervisors and managers who receive a complaint or information about suspected sexual harassment, observe what may be sexually harassing behavior or for any reason suspect that sexual harassment is occurring, are required to report such suspected sexual harassment to the Vice President of Finance and Operations.

In addition to being subject to discipline if they engaged in sexually harassing conduct themselves, supervisors and managers will be subject to discipline for failing to report suspected sexual harassment or otherwise knowingly allowing sexual harassment to continue.

Supervisors and managers will also be subject to discipline for engaging in any retaliation.

Complaint and Investigation of Sexual Harassment

All complaints or information about sexual harassment will be investigated, whether that information was reported in verbal or written form. Investigations will be conducted in a timely manner, and will be confidential to the extent possible.

An investigation of any complaint, information or knowledge of suspected sexual harassment will be prompt and thorough, commenced immediately and completed as soon as possible.

The investigation will be kept confidential to the extent possible. All persons involved, including complainants, witnesses and alleged harassers will be accorded due process, as outlined below, to protect their rights to a fair and impartial investigation.

Any employee may be required to cooperate as needed in an investigation of suspected sexual harassment. The Fund will not tolerate retaliation against employees who file complaints, support another’s complaint or participate in an investigation regarding a violation of this policy.

While the process may vary from case to case, investigations should be done in accordance with the following steps:

●        Upon receipt of complaint, the Vice President of Finance and Operations will conduct an immediate review of the allegations, and take any interim actions (e.g., instructing the respondent to refrain from communications with the complainant), as appropriate. If complaint is verbal, encourage the individual to complete the “Complaint Form” in writing. If he or she refuses, prepare a Complaint Form based on the verbal reporting.

●        If documents, emails or phone records are relevant to the investigation, take steps to obtain and preserve them.

●        Request and review all relevant documents, including all electronic communications.

●        Interview all parties involved, including any relevant witnesses;

●        Create a written documentation of the investigation (such as a letter, memo or email), which contains the following: o A list of all documents reviewed, along with a detailed summary of relevant documents;

○        A list of names of those interviewed, along with a detailed summary of their statements;

○        A timeline of events;

○        A summary of prior relevant incidents, reported or unreported; and

○        The basis for the decision and final resolution of the complaint, together with any corrective action(s). 

●        Keep the written documentation and associated documents in a secure and confidential location.

●        Promptly notify the individual who reported and the individual(s) about whom the complaint was made of the final determination and    implement any corrective actions identified in the written document.

●        Inform the individual who reported of the right to file a complaint or charge externally as outlined in the next section.

Legal Protections And External Remedies

Sexual harassment is not only prohibited by the Fund but is also prohibited by state, federal, and, where applicable, local law.

Aside from the internal process at the Fund, employees may also choose to pursue legal remedies with the following governmental entities. While a private attorney is not required to file a complaint with a governmental agency, you may seek the legal advice of an attorney.

In addition to those outlined below, employees in certain industries may have additional legal protections.

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 with DHR may be filed any time within one year of the harassment. If an individual did not file at DHR, they can sue directly in state court under the HRL, within three years of the alleged sexual harassment. An individual may not file with DHR if they have already filed a HRL complaint in state court.

Complaining internally to the Fund does not extend your time to file with DHR or in court. The one year or three years is counted from date of the most recent incident of harassment.

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

DHR will investigate your complaint 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 your employer to take action to stop the harassment, or redress the damage caused, including paying of monetary 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. You may 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.

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 from 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.

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. For example, employees who work in New York City may file complaints of sexual harassment with the New York City Commission on Human Rights. Contact their main office at Law Enforcement Bureau of the NYC Commission on Human Rights, 40 Rector Street, 10th Floor, New York, New York; call 311 or (212) 306-7450; or visit www.nyc.gov/html/cchr/html/home/home.shtml

Contact the Local Police Department

If the harassment involves unwanted physical touching, coerced physical confinement or coerced sex acts, the conduct may constitute a crime. Contact the local police department.

Due to the medically proven detrimental effects of second hand smoke, and in order to comply with applicable smoking laws in New York, smoking is prohibited anywhere inside the Fund’s offices. Smoking is also prohibited in all parts of the building aside from the Fund’s offices, including the elevators and the lobbies. 

Issue Date: July 1, 1996 

The Fund is in large part a project-oriented organization in which relatively high staff turnover is expected as projects begin and end. Generally, we attempt to anticipate changing staffing needs in advance, so employees can be notified well in advance of their termination of service, but that is not always possible. Termination may be with or without advance notice, and employees may be terminated for any legal reason. At the time of termination, employees will be notified of their rights to continued health insurance coverage at their own cost pursuant to federal law.

Except in the case of Partner Project Spinoffs (see below), upon termination of service, employees receive payment for accumulated annual leave and, in the case of non-exempt staff, accumulated compensatory time. No payment is made for accumulated sick leave.

Partner Project Spinoff: When a Partner Project spins off into its own entity or another fiscal sponsor, its employees’ employment with the Fund terminates. In these cases, the transferred employees’ accumulated annual leave, accumulated compensatory time and accumulated sick leave will be transferred to the spinoff entity, and no payout will be made.

1. Purpose
The purpose of the Acceptable Use of Electronic Devices and Network Policy is to outline the appropriate rules of using the devices belonging to the Fund for the City of New York, Inc. and the National Center for Civic Innovation, Inc. (the “Fund”) such as computers, mobile devices, and printers as well as the Fund’s network infrastructure and networking devices.

2. Scope
The Acceptable Use of Electronic Devices and Network Policy applies to the following:

Personnel

·       All Employees of the Fund

·       All Contractors of the Fund

·       All vendors, visitors, or third parties with temporary access to Fund equipment.

Equipment

·       All computers or laptops issued by the Fund

·       All mobile devices owned or leased by the Fund

·       All telephone equipment owned, leased, or operated by the Fund

·       Internet & Intranet Usage

·       Software procured or operated by the Fund

3. Background
This Policy outlines the rules for using electronics and computer equipment for business use. The rules in this policy are written to reduce the risk of intentional or accidental exposure of confidential and business information to third parties by improper use of company equipment and network. These rules prevent illegal, harmful, discriminatory or abusive behavior using company network or property.

Users of the Fund’s network and devices should have no expectation of privacy while using company-owned or company-leased equipment. Information passing through or stored on company equipment can and will be monitored. Users should also understand that [this organization] maintains the right to monitor and review Internet use and e-mail communications sent or received by users as necessary.

4. Policy
This policy requires that under no circumstances is an employee authorized to engage in any activity that is illegal under local, state, federal or international law while utilizing company owned resources. The use of all resources must be strictly for business purposes of the company.

4.1 Computer equipment usage such as laptops, desktops, and mobile devices (smart phones, tablets, etc.)

-       Only authorized personnel are permitted to use company provided equipment

-       Access to company equipment is restricted as per the access control policies, password policies, and multi-factor authentication procedures of the Fund.

-       All loss or thefts must be immediately reported to information technology or operations teams.

-       Sharing of devices with users who are not intended users of the system is prohibited.

-       Using a device issued by the Fund to actively engage in procuring or transmitting material that is in violation of sexual harassment or hostile workplace laws is prohibited.

4.2 Software Usage

-       Installation of pirated, unauthorized, or illegal software is strictly prohibited.

-       All software should only be used for business purposes and installation of any software other than for business is strictly prohibited.

-       Exporting software, technical information, encryption software or technology, in violation of international or regional export control laws, is illegal. The appropriate management should be consulted prior to export of any material that is in question. 

4.3 Network Usage

-       When working remotely, FCNY staff are required to connect to FCNY’s VPN before conducting any business-related tasks.

-       Watching, streaming, sharing or downloading of hostile, harmful, sexual or abusive content is prohibited as per this policy 

-       Malicious activities to exploit any known vulnerability of the network system are prohibited

-       Performing malicious activities by making use of access provided as part of your job duties is prohibited 

-       Internet and intranet provided by the Fund should not be used for illegal or harmful activities such as hacking or introduction of malicious programs into the network or server (e.g., viruses, worms, Trojan horses, e-mail bombs, etc.). 

4.4 Email Usage

-       All company provided email addresses will be reasonably used for business purposes

-       Sending unsolicited email messages, including the sending of "junk mail" or other advertising material to individuals using FCNY.ORG provided email address is prohibited. 

-       All forms of harassment via email whether through content, language, frequency, or size of messages is prohibited. 

-       Using the official email address for personal gains or schemes or to do business not related to the Fund is strictly prohibited

4.5 General User Responsibility
The Fund’s users are responsible for:

-       Honoring acceptable use policies of networks accessed through [this organization’s] Internet and e-mail services.

-       Honoring acceptable use policies of networks accessed through [this organization’s] Internet and e-mail services.

-       Following copyright laws regarding protected commercial software or intellectual property.

5. Policy Enforcement
This policy is enforced by the Fund’s information technology and operations teams. All exceptions to the policy should be brought to the attention of the information technology and operations teams along with the executive management of the company.

Violations will be reviewed on a case-by-case basis. If it is determined that a user has violated one or more of the above use regulations, that user will receive a reprimand from their supervisor and their future use will be closely monitored. If a gross violation has occurred, management will take immediate action. Such action may result in termination of employment at The Fund for the City of New York.

6. Review & Update Frequency
This policy will be reviewed annually

Issued June 2025

Outside Employment

Partner Project employees and employees of FCNY who work at the Central Office may not conduct any outside work with any organizations that FCNY and NCCI have a business relationship with, and outside work cannot be done if it involves the same or similar duties that employees perform at FCNY/NCCI.

All Partner Project employees are required to notify their Partner Project Director (or functional equivalent) whenever they intend to engage in Outside Employment.  Employees should submit such notification to the Project Director via email prior to commencing any such activities.  “Outside Employment” means any paid work or service performed, directly or indirectly, for any firm, person, or organization other than the Project, including paid speaking, teaching, consulting or trainings.  The Partner Project Director has the right to disapprove any Outside Employment that they deem to be a conflict of interest or appearance of a conflict of interest, or that will interfere with the employee’s ability to faithfully and diligently discharge his/her duties and responsibilities on behalf of the Partner Project.

Employees of FCNY who work at the Central Office are required to notify the Chief Operating Officer and President whenever they intend to engage in Outside Employment.  Employees should submit such notification via email prior to commencing any such activities.  FCNY’s COO or President have the right to disapprove any Outside Employment that they deem to be a conflict of interest or appearance of a conflict of interest, or that will interfere with the employee’s ability to faithfully and diligently discharge his/her duties and responsibilities on behalf of FCNY.

The approval or disapproval of outside work done by Partner Project employees and employees of FCNY who work at the Central Office will be made by email before any work commenced and will be included in the employee’s HR file. All outside work can only be done outside of business hours. For the majority of employees this means 9:00-5:00 EST.

This policy does not preclude an employee from performing volunteer work or service for any charitable organization, provided that it does not interfere with the employee’s duties for the Partner Project or FCNY, or create a conflict of interest as described below.

Conflict of Interest

The Fund for the City of New York is committed to the highest standards of ethical conduct.

Fund employees bear a responsibility to maintain personal integrity and avoid any interests

that may create a conflict or appearance of a conflict between their involvement with the Fund

and personal affairs.

Partner Project employees and each individual who serves as the Project Director, Founder or the functional equivalent may not have a Conflicted Relationship (defined below)  with (i) any other entity or individual that does business or seeks to do business with the Partner Project, or (ii) another Partner Project.  

Employees of FCNY who work at the Central Office also may not have a Conflicted Relationship with any (i) other entity or individual that does business or seeks to do business with FCNY, or (ii) a Partner Project.  

 A “Conflicted Relationship” may be (a) a financial relationship, such as employment or providing consulting services to a conflicted entity; paid speaking engagements with a conflicted entity; having an ownership interest in a conflicted entity; or a paid referral relationship with a conflicted entity; (b) a volunteer relationship such as serving on the conflicted entity’s board of directors; or (c) a Relative relationship, including when a Relative is an officer, director, trustee, member, owner, sole proprietor, partner or employee of the conflicted entity. For the purposes of this policy, a “Relative” is defined as a parent, child, spouse, domestic partner, brother, sister, grandparent, grandchild, aunt, uncle, first cousin, any step or half relationships within the preceding categories, and any member of the household.

Anyone seeking an exception to this policy should submit their request via email to their Partner Project’s Executive Director or to FCNY’s Chief Operating Officer and President, if an employee of the Central Office.  The decision regarding any such exception shall be in FCNY’s sole discretion.

In no event shall this policy prevent any employee from engaging in any activities that are protected under the National Labor Relations Act or any whistleblower statutes.

Issue Date: January1, 2025 

The Fund recognizes the following types of employees for purposes of eligibility for certain benefits and other policy considerations:

Regular Full-Time: employees who regularly work at least 21 hours a week. All regular full-time employees are eligible for all employee benefits including paid annual leave, paid holidays, paid sick leave, paid jury duty leave, paid death in the family leave, paid child care leave, group insurance and the pension and savings plan. Regular full-time employees who regularly work at least 21 hours per week but less than 35 hours per week will be eligible for pro-rated paid annual leave, holidays, sick leave, jury duty leave, death in the family leave, annual leave and child care leave, but full group insurance and pension.

Part-Time and Temporary: employees who are so designated at the time of hiring or re-assignment, who may work for either a definite or indefinite period of time or on a casual, as-needed, basis. Part-time and temporary employees are not eligible for any employee benefits except those required by law, e.g., worker’s compensation, short-term disability, state mandated sick leave, and unemployment insurance.

The Fund has sole discretion to determine every employee’s classification and job assignment.

This policy applies to all Fund for the City of New York employees, and is organized as follows:

I. Long Distance Travel

II. Local Travel

III. Meals

IV. Staff Celebrations & Gifts

V. Forms & Requests for Payment

VI. Exceptions

Project Directors may implement more restrictive policies, and employees must also follow additional restrictions imposed by grant or contract provisions.

I. Long Distance Travel

Long Distance Travel is travel to a work-related meeting, event, conference, seminar, etc., at locations not accessible by local commuter trains or buses, and all travel requiring lodging. Long distance travel must be pre-approved by the Fund President, a Vice-President or a Partner Project Director before it is commenced1 and must be necessary to the project. Expenses must be based upon approved budgets.

A.     Transportation

1)  Air travel must be booked in economy class. Employees must compare fares from competing airlines prior to purchasing tickets and must purchase the least expensive fare available unless to do so wou1ld not be cost-effective because of the number of stops, indirect route, etc. Boarding passes must be retained and attached to reimbursement request forms

2)  Car rentals, Taxis –Employees may rent cars only if other transportation is unavailable or not cost-effective. Where a car rental is necessary, a reasonably priced and sized model should be rented. The loss and damage waiver, which provides the Fund employee with collision and theft coverage, must be purchased with the rental agreement. Justification for use of a rental car must be noted on the expense reimbursement or request for payment of Fund corporate credit card reports. The Fund will reimburse employees for taxi or car service fare incurred in Long Distance travel, but employees should use public transportation when it is available and practical. The Center for Court Innovation’s Executive Director may allow CCI deputy directors and/or CCI’s Director of Administration & Finance to approve any expenses for which this policy requires approval of an Partner Project Director.

3)  Reimbursement for use of personal vehicles- An employee who uses his or her personal vehicle while on official FCNY business is expected to hold a valid driver’s license, and maintain personal automobile liability insurance with limits of at least $100,000 per person/$300,000 per occurrence on that vehicle. An employee’s personal liability insurance will be primary in the event of an accident using a personal vehicle while on FCNY business. FCNY’s insurance coverage is only applicable if the liability exceeds the employee’s personal liability insurance coverage. It is suggested that an employee who uses his or her personal vehicle while on official FCNY business should also carry collision insurance sufficient to cover the reasonable value of the vehicle, less a standard deductible. FCNY’s insurance does not cover loss or damage to the employee’s vehicle, nor does it cover the employee’s deductible.

Mileage reimbursement for long distance travel between the employee’s work location and a meeting will be based on the current IRS Standard Mileage Rate guidelines. The IRS periodically adjusts the rates, and employees will be reimbursed at the IRS rate in effect at the time of travel. The IRS rate takes into consideration gasoline prices; therefore, the Fund does not additionally reimburse gasoline expenses. See www.irs.gov (2018 rate = 54.5 cents for travel starting January 1, 2018; see IRS 2018 mileage rates. Tolls and parking fees are reimbursable upon the submission of original receipts. There is no reimbursement for parking or traffic fines or penalties. In order to be reimbursed for mileage, the employee expense reimbursement request must include the points of origin and destination, and total number of miles driven.

B.  Lodging

1)  Unless lodging rates are limited by the terms of a contract or grant, the Fund will allow lodging at rates moderate for the location, group rates obtained by the organizers of the event that Fund employees are attending for rooms at or close to the event venue, or as otherwise necessary for the business purpose of the travel.

2)  Where lodging rates are limited by the terms of a contract or grant, lodging costs must be in compliance with those terms. Government contracts and grants generally require that lodging rates be no more than those established by the United States General Services Administration. The GSA’s hotel allowance per diem rates vary depending on the travel location. The per diem rates are available on the GSA website: go to www.gsa.gov; Travel Resources; view Per Diem Rates (Max. Lodging).

C.  Other expenses

See III. Meals for meal expenses. Entertainment and similar expenses incurred during long distance travel and lodging, such as in-room movies and health club visits, are not reimbursable. Reasonable business-related telephone call and internet connection costs are reimbursable. Other necessary, reasonable charges are allowable on a case-by-case basis when approved by the President, a Vice-President or an Partner Project Director.

II. Local Travel

A. When an employee travels to a location accessible by subway, local commuter railroad or bus to a work-related meeting or event (“meeting”), out-of-pocket travel expenses to and from meetings are reimbursable, but the following rules apply:

1)  If an employee travels from home directly to a meeting or from a meeting directly home, the employee may be reimbursed only for travel expenses over his/her normal commutation expenses if those expenses are necessary for his/her attendance at the meeting.

2)  An original receipt is necessary for reimbursement for taxi or car service fares. Taxis or car service may be used instead of public transportation when public transportation is impractical, time is of the essence or the employee must carry valuable, heavy or bulky work-related items.

3)  If an employee has been issued an unlimited TransitChek Metrocard through the Fund, the employee will be expected to use it and not to charge the Fund for subway and/or bus fare. 

4)  If an employee uses a personal vehicle for travel between the employee’s work location and a meeting, the employee is entitled to mileage reimbursement as detailed in I.A.3.

B.  Travel expenses for travel between an employee’s workplace and home:

1)      Are only permitted in the following circumstances and where approved by an employee’s supervisor:

a.   A Fund employee has worked at least a ten hour day and must remain at his/her workplace until 8 p.m. or later; or

b.   A Fund employee has to carry valuable, heavy or bulky work-related items between her/his home and office.

2)  Reimbursable expenses may include only taxi or car service fare to/from home within the five boroughs and taxi fares to and from a commuter rail station if the employee lives outside of the five boroughs.

III. Meals

A.     The Fund will approve payment of employee meal expenses: 

1)  incurred during the course of authorized long distance travel;

2)  incurred out-of–office locally, during work on weekends or after normal working hours, but only if

a.   a sufficient business justification exists for the expense, and

b.   the expense was approved by the President, or the Vice- President or Incubator Project Director who oversees the employee.

B.  Meal expense reimbursement rates: The Fund will pay for employee meal expenses at the following rates (including beverages, tax & tip): breakfast – no more than $12 per person; lunch- no more than $22 per person; dinner- no more than $40 per person. If the meals are to be charged to a grant or contract that contains allowable meal rates, then no more than the allowable rate, if any, may be charged to the Fund.

C. Generally, government grants and contracts provide that meal expenses may be no more than the United States General Services Administration’s meal allowance per diem rates for the particular location. Per diem rates are available at: www.gsa.gov , Travel Resources section, view Per Diem Rates (M& IE Rate).

D. The Fund will not reimburse for meal expenses when an employee is attending a conference or similar event at which meals are provided at no additional cost.

E.  Where a legitimate business purpose exists, reasonable purchases of meals and/or snacks for in- office meetings may be permitted when authorized by the Fund President, a Vice-President or an incubator Project Director.

F.  Alcoholic beverage expenses are allowable only in the following circumstances:

1)  Alcoholic beverages may be purchased for official functions (i.e., annual holiday function, Sloan public service awards, annual incubator fundraiser, etc.), and their purchase must approved in advance by the Fund President, Vice-President or Incubator Project Director overseeing the function.

2)      In their discretion, exercised wisely, only the Fund President, Fund Vice- Presidents and incubator Project Directors may be reimbursed for or charge to the Fund alcoholic beverages at business meals they attend. These expenses may never be charged to government grants or contracts. Before and after meal consumption of alcoholic beverages is always at the employee’s own personal expense.

IV. Staff Celebrations & Gifts

A. Celebrations:

The Fund will pay reasonable expenses for the following celebrations:

1)  Official functions (such as an annual holiday party) approved by the President or an Incubator Project Director.

2)      Employee farewell parties approved by the Fund President, a Vice-President or Incubator Project Director. Expenditures for parties held out of the office are limited to no more than $25 a person for a maximum of 15 people (i.e., the Fund will pay no more than $375.) Any additional amounts must be paid for by staff donations.

3)      Other celebrations, including those commemorating events such as staff birthdays, commencements, weddings and childbirth, must be paid for by staff donations.

B.  Gifts:

1)  Employee farewell gifts: The Fund will only pay for farewell gifts in extraordinary circumstances (i.e., unusual employment longevity), and reimbursement must be pre-approved by the President, the Vice-President or Incubator Project Director who oversees the departing employee. In no event may the gift exceed $100 and it may not be paid for out of government funds or grants earmarked for programmatic purposes.

2)  Employee hospitalizations/death in an employee’s immediate family:   An appropriate gift (flowers, books, a fruit/food basket, etc.), may be purchased at a cost of no more than $100 when an employee is hospitalized or a death occurs in an employee’s immediate family. At 121 Avenue of the Americas, the employee’s supervisor must contact the Officer Manager, who will arrange for the purchase and delivery. This type of gift may not be paid for out of government funds or grants earmarked for programmatic purposes.

3)  Celebratory gifts: Gifts purchased to commemorate events such as staff birthdays, commencements, weddings and childbirth must be paid for by staff member donations.

4)  Business Ethics: Fund employees may not accept travel, meals or gratuities from any entity or individual who has received or is seeking a grant, contract or loan from the Fund. In addition, Fund employees traveling or dining with government employees must follow the relevant government conflict of interest and ethics rules. See for example, http://www.nyc.gov/html/conflicts/downloads/pdf/plg2002.pdf http://www.nylobby.state.ny.us/guidelines_3_16_06.html

VI.  Forms & Requests for Payment

A. Corporate credit cards and Fund vendor accounts (ex: TeleCar, Just Delicious, etc.) may be used only for Fund purchases and services. The use of a Fund corporate credit card or Fund corporate vendor account for personal use is not allowed under any circumstances. Employees who charge personal expenses to corporate cards and Fund vendors must reimburse the Fund immediately, and are subject to revocation of their corporate card and vendor account privileges.

Employee expense reimbursement forms and requests for payments of Fund corporate credit cards (American Express) must include and/or have attached:

1)  A description of the business purpose of the travel or meal;

2)      The parties in attendance;

3)  Where the reimbursement request or credit card expense form relates to a conference, seminar or similar event, a copy of the agenda;

4)  For meals and lodging, itemized receipts and signed customer receipts are both required to accompany requests. For travel expenses, evidence of the travel, such as airline boarding passes and train ticket stubs, must be submitted along with the credit card bill and/or signed customer receipt.

B.  Employees should submit expense reimbursement request forms no later than 10 days following the month in which the expenses were incurred. Project and program directors should disapprove reimbursement requests which, in their discretion, have not been timely submitted.

Note: In no event will the Fund reimburse employees when reimbursement request forms have been submitted more than ten days following the end of the fiscal year in which the expenses were incurred.

VII. Exceptions

No policy can cover every conceivable circumstance. In recognition that special circumstances may arise that may require deviations from this policy, expenses or documentation not in fully in compliance with this policy will be allowable where a satisfactory explanatory memorandum is provided by the President, a Vice-President or Incubator Project Director.

Note on Sales Tax Exemption:

As a New York not-for-profit corporation, the Fund and its employees should not pay New York state and local sales taxes when purchasing services for official business. That being said, it is sometimes not practical or efficient when traveling to claim the Fund’s not-for- profit status (i.e., taxi trips, restaurant meals). Wherever possible, however (e.g., lodging expenses), Fund employees should present a copy of the Fund’s sales tax exemption certificate and not unnecessarily pay New York State and local sales taxes.

The employment of relatives in the same organization may cause serious conflicts and problems with favoritism and employee morale.  In addition to claims of favoritism, personal conflicts from outside work can be carried into the workplace and disrupt day-to-day working relationships.  The purpose of this hiring of relatives policy is to address these issues and protect the interests of the Fund for the City of New York (the “Fund).

For the purposes of this policy, a “Relative” is defined as an employee’s parent, child, spouse, domestic partner, brother, sister, grandparent, grandchild, aunt, uncle, first cousin, any step or half relationships within the preceding categories, and any member of the employee’s household.

1. Pre-existing Relationships.  Relatives of persons currently employed by the Fund may not be hired by the Fund.

2. New Relationships.  If the Relative relationship is established after employment, the individuals concerned must disclose the relationship to the Fund’s President and Chief Operating Officer so that an appropriate plan can be made.  The plan must meet the terms of this policy, the needs of the Fund, and the skills and talents of the employees.  It may include transfer or termination of one of the parties.  

3. Grandfathered Relationship:  Employees with a Relative relationship where both individuals were employed by the Fund on or before the effective date of this policy (July 30, 2010) may both continue to be employed by the Fund, subject to the terms of this policy stated below.

4. The policy also prohibits the hiring of any Relatives of members of the Fund’s Board of Directors or of members of Boards of Directors or Advisory Boards of Incubator/Partner Projects (“Board member”).

5. Interns:  This policy does not prohibit the hiring of a short-term intern (i.e., 12 weeks or less) who has a Relative relationship with a Fund employee or Board member, as long as the requirements set forth below are met.

In the rare circumstance where two employees with a Relative relationship are employed by the Fund, an employee with a Relative relationship may not work directly for or supervise a Relative, and may not occupy a position in the same line of authority within the Fund.  This policy applies to any Relative, higher or lower in the organization, with the authority to review employment decisions.  Transfers or reassignments will not be made if they should result in such a reporting relationship.  In cases where a conflict or the potential for conflict arises, even if there is no supervisory relationship involved, the parties may be separated by reassignment or terminated from employment.

Any hiring manager who intends to hire an intern who has a Relative relationship with an employee of the Fund or a Board member must notify the Fund’s President and Chief Operating Officer prior to making any offer of employment.  In no case may an intern work directly for Relative or otherwise be supervised by a Relative.  The Fund reserves the right to terminate or reassign an intern in cases where a conflict or potential for conflict arises.

Issue Date: July 2010

Updated: June 2024

The Fund’s standard work schedule is 35 hours per week and 8 hours per day (which includes a one-hour unpaid lunch break). However, some positions require a 40 hour work week, while others require a shorter work week or different length work days. Though the designation of a non-standard work week is usually made at the time the employee is hired or assigned to a position, this designation can be made at any time.

The Fund’s office is normally open Mondays through Fridays from 8:30 a.m. until 5:30 p.m. An employee’s days and hours scheduled to work may vary according to job requirements and the needs of the Fund.

Issue Date: July 1, 1996

Updated: July 15, 2016

There is no overtime time for exempt personnel.

Any non-exempt employee required to work more than 35 hours and up to and including 40 hours in any one week will receive compensatory time in an amount equal to the additional time worked, with the exception of those employees whose positions were designated by the Fund at the time of hire or re- assignment to require a 40 hour work week. In order to receive compensatory time, the employee must be specifically requested by his/her supervisor to work the extra hours. All compensatory time must be taken within 30 days of the pay period in which it was earned or it will be forfeited. Compensatory time may not be taken in conjunction with annual leave or sick days. An employee must obtain his or her supervisor's approval in order to take compensatory time. Compensatory time may be carried over from one fiscal year to the next, but no more than 20 days of combined annual leave and compensatory time may be carried over from one fiscal year to the next. (The Fund’s fiscal year begins October 1st.)

A non-exempt employee may not receive compensatory time for any work week (Monday – Sunday) in which the employee works in excess of 40 hours. For work weeks in which the non-exempt employee works in excess of 40 hours, the employee will receive his or her regular hourly wage for 40 hours plus time-and-a-half for any hours worked in excess of 40 hours.

TRAVEL

●        Daily commuting to/from work is never considered “hours worked.”

●        Home to Work on a Special One Day Assignment in Another City: An employee who regularly works at a fixed location in one city is given a special one day assignment in another city and returns home the same day. The time spent in traveling to and returning from the other city is work time, except the time the employee would normally spend commuting is deducted from the total commuting time.

 ●        Travel that is all in a Day's Work: Time spent by an employee in travel as part of their principal activity, such as travel from job site to job site during the workday, is work time and must be counted as hours worked.

●        Travel Away from Home: Travel that keeps an employee away from home overnight is travel away from home. Travel away from home is work time when it cuts across the employee's workday and during corresponding hours on nonworking days. Time spent as a passenger on an airplane, train, boat, bus or automobile outside of regular hours is not counted. Regular meal period time is not counted.

TRAINING

Trainings are only considered work time if the employee is mandated to attend by their supervisor in writing prior to the training or seminar. If an employee on his/her own initiative attends a lecture, training program, independent school, college or independent trade school after hours, the time is not considered hours worked even if the courses are related to his/her job.

All overtime must be approved in advance by your supervisor in writing. Non-exempt employees who work overtime without receiving prior authorization may be subject to disciplinary action, up to and including termination.

Issue Date: January 1, 2017

All employees are required to report any arrest or indictment for a criminal charge, whether misdemeanor or felony, or the receipt of any criminal or violation (other than a traffic infraction) summons to the Vice President for Operations at the Fund for the City of New York, or in the case of Center for Court Innovation employees, to the CCI Director of Finance & Administration, within 72 hours of the arrest, indictment or issuance of the criminal or violation summons. Reporting includes the submission of a copy of a police report, indictment or summons, or other documentation concerning the criminal or violation charges. The Fund may question the employee about the pending arrest, criminal accusation or charge, the underlying circumstances, and the progress of the matter through the criminal justice system; employees are required to provide the Fund with all information requested, and may be required to consent to allow the Fund to communicate with outside parties, including but not limited to attorneys and probation/parole officers.  Employees are further required to report and provide proof of the disposition of the arrest, summons, indictment, or criminal charge, regardless of whether there was a conviction, including but not limited to any finding of guilt for any criminal charge and any sentence conferred, within 72 hours of the disposition. Noncompliance with the above-stated requirements may result in disciplinary action, up to and including termination.  Misrepresentation of the circumstances of the arrest may result in disciplinary action, up to and including termination. 

Only FCNY employees who are 21 years of age or older, and have at least 3 years of driving experience may drive FCNY vehicles. No FCNY employee shall use, or permit the use of, any FCNY vehicle other than in the conduct of FCNY business. All FCNY employees who drive FCNY vehicles must hold a valid driver’s license, and must provide authorization to FCNY to periodically obtain the employee’s Motor Vehicle Report from the relevant state motor vehicle department. Any major violation on a driving record (i.e., driving with a suspended or revoked license, driving while intoxicated, reckless driving , etc.) or accumulation of more than 6 points on a driver’s license, constitutes an unacceptable driving record and may exclude that employee from being permitted to drive the vehicle and may result in termination of the employee’s employment with FCNY, if driving is an essential responsibility of the position. All passengers in FCNY vehicles, including the driver, must wear seat belts. All drivers are expected to obey the traffic laws and parking regulations when operating an FCNY vehicle. Drivers are not permitted to operate any FCNY vehicle with an expired inspection or registration certification sticker. Drivers are expected to maintain FCNY vehicles; vehicles are to be kept clean and, with approval from an FCNY manager, regularly maintained by a New York State certified auto mechanic.

Issue Date: May 23, 2005 

The Fund for the City of New York (the “Fund”) requires its directors, officers, other volunteers and employees (each a “Protected Person”), to observe the highest standards of business and personal ethics in the conduct of their duties on the Fund’s behalf. As employees and representatives of the Fund, Protected Persons are expected to practice honesty and integrity in fulfilling their responsibilities and are required to comply with all applicable laws and regulations.

The objectives of this Whistleblower Policy are to encourage and enable Protected Persons, without fear of retaliation, to raise concerns regarding suspected unethical and/or illegal conduct or practices on a confidential and, if desired, anonymous basis so that the Fund can address and correct inappropriate conduct and actions. 

This policy is not a vehicle for reporting violations of the Fund’s applicable human resources policies, problems with co-workers or managers, or for reporting issues related to alleged employment discrimination or sexual or any other form of unlawful harassment, all of which should be dealt with in accordance with the “Personnel Policies and Procedures” of the Fund for the City of New York, as it is those Policies and Procedures that are applicable to such matters. 

Reporting Responsibility

Each Protected Person has an obligation to report in good faith in accordance with this Whistleblower Policy any concerns they may have regarding actual or suspected activities which may be illegal or in violation of the Fund’s policies with respect to, but not limited to, fraud, theft, embezzlement, accounting or auditing irregularities, bribery, kickbacks, and misuse of the Fund’s assets, as well as any violations or suspected violations of high business and personal ethical standards, as such standards relate to the Fund (each, a “Concern”) in accordance with this Whistleblower Policy. 

Whistleblower Protection 

This Whistleblower Policy is intended to encourage and enable Protected Persons to raise serious Concerns within the Fund for investigation and appropriate action, prior to seeking resolution outside the Fund.  With this goal in mind, no Protected Person who, in good faith, reports a Concern shall be subject to intimidation, harassment, retaliation, discrimination or adverse employment consequence because of such report. Moreover, a volunteer or employee who retaliates against someone who has reported a Concern in good faith will be subject to discipline up to and including dismissal from the volunteer position or termination of employment.

Reporting Concerns

Any Concerns should be reported as soon as practicable to the Chair of the Fund’s Audit Committee (the “Compliance Officer”).  Any questions with regard to the scope, interpretation or operation of this Whistleblower Policy should also be directed to the Compliance Officer.  Concerns may also be submitted anonymously in writing.  Anonymous complaints should be detailed to the greatest extent possible because follow up questions will not be possible, making the investigation and resolution of such complaints difficult. Contact information for the Compliance Officer may be found at the bottom of this document. 

Compliance Officer

The Compliance Officer is responsible for investigating and resolving all reported Concerns. S/he shall advise the Chair and the Audit Committee and, if the Chair deems it appropriate, the President, of all reported Concerns.  The Compliance Officer is required to report to the full Board of Directors at each regularly scheduled board meeting on compliance activity.

Accounting and Auditing Matters

The Audit Committee shall address all reported Concerns regarding corporate accounting practices, internal controls or auditing (“Accounting Concerns”) brought to its attention.  The Compliance Officer shall immediately notify the Audit Committee of any Accounting Concern and work with the committee until the matter is resolved. Promptly upon receipt, the Audit Committee shall evaluate whether a Concern constitutes an Accounting Concern and, if so, shall promptly determine what professional assistance, if any, it needs in order to conduct an investigation.  The Audit Committee has the authority, in its sole discretion, to retain outside auditors, counsel, private investigators or other experts to assist in the investigation and in the analysis of the results. 

Investigations

The Compliance Officer may delegate the responsibility to investigate a reported Concern, whether an Accounting Concern or otherwise, to one or more employees of the Fund or to any other individual, including persons not employed by the Fund, selected by the Compliance Officer; provided that the Compliance Officer may not delegate such responsibility to an employee or other individual who is the subject of the reported Concern or in a manner that would compromise either the identity of an employee who reported the Concern anonymously or the confidentiality of the complaint or resulting investigation. Notwithstanding anything herein to the contrary, the scope, manner and parameters of any investigation of a reported Concern shall be determined by the Audit Committee in its sole discretion and the Fund and its employees shall cooperate as necessary in connection with any such investigation. 

Acting in Good Faith 

Anyone reporting a Concern must act in good faith and have reasonable grounds for believing the information disclosed indicates an improper accounting or auditing practice, or a violation of high business and personal ethical standards and/or applicable legal requirements. The act of making allegations that prove to be unsubstantiated, and that prove to have been made maliciously, recklessly, or with the foreknowledge that the allegations are false, will be viewed as a serious disciplinary offense and may result in discipline, up to and including dismissal from the volunteer position or termination of employment. Such conduct may also give rise to other actions, including civil lawsuits.

Confidentiality 

The Fund takes seriously its responsibility to enforce this Whistleblower Policy and therefore encourages any person reporting a concern to identify him or herself so as to facilitate any resulting investigation. Notwithstanding the foregoing, in reporting a Concern, a Protected Person may request that such report be treated in a confidential manner (including that the Corporation take reasonable steps to ensure that the identity of the reporting person remains anonymous). Reports of Concerns, and investigations pertaining thereto, shall be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.  Disclosure of reports of Concerns to individuals not involved in the investigation will be viewed as a serious disciplinary offense and may result in discipline, up to and including termination or employment or dismissal from the volunteer position.  Such conduct may also give rise to other actions, including civil lawsuits. 

Handling of Reported Concerns

The Chair of the Audit Committee will acknowledge receipt of the reported Concern within five (5) business days, but only to the extent that the reporting person’s identity is disclosed or a return address is provided.  All reports will be promptly investigated; the scope of any such investigation being within the sole discretion of the Audit Committee, and appropriate corrective action will be taken if warranted by the investigation.

Records 

The Audit Committee will retain on a strictly confidential basis for a period of seven years (or otherwise as required under the Fund’s record retention policies in effect from time to time) all records relating to any reported Concern and to the investigation and resolution thereof.  All such records are confidential to the Fund and such records will be considered privileged and confidential.

Distribution

The Fund shall distribute a copy of this Whistleblower Policy to all Protected Persons.

Compliance Officer as of 1/1/2020: 

Maggie Beopple, Interim Chair, Board of Directors and Chair, Audit Committee

maggie.boepple@gmail.com

Issue Date: May, 2014

Annual leave is accumulated at the rate of 1.67 days per month of service, totaling 20 days annually for full-time regular employees working at least 35 hours per week. Full-time employees working fewer than 35 hours per week will be eligible for pro-rated annual leave. Accumulated annual leave (including compensatory time for non-exempt employees) in an amount not to exceed 20 days may be carried over into the next fiscal year. (The Fund's fiscal year begins October 1st.) However, any employees whose salaries are covered in whole or in part by government contracts need to use all annual leave accrued in a fiscal year within that fiscal year.

Prior to taking one or more vacation days, an employee shall obtain written approval from his or her supervisor. An employee may not go into a minus annual leave status. An employee who takes unapproved leave in excess of his or her accrued leave can be subject to disciplinary action.

There is no compensatory time for exempt personnel.  Any non-exempt employee required to work more than 35 hours and up to and including 40 hours in any one week will receive compensatory time in an amount equal to the additional time worked, with the exception of those employees whose positions were designated by the Fund at the time of hire or re-assignment to require a 40 hour work week.  In order to receive compensatory time, the employee must be specifically requested by his or her supervisor to work the extra hours. 

An employee may not receive compensatory time for any work week in which the employee works in excess of 40 hours.  For work weeks in which the non-exempt employee works in excess of 40 hours, the employee will receive his or her regular hourly wage for 40 hours plus time-and-a-half for any hours worked in excess of 40 hours.

All compensatory time must be taken within 30 days of the pay period in which it was earned or it will be forfeited.

Compensatory time may not be taken in conjunction with annual leave or sick days. 

An employee must obtain his or her supervisor's approval in order to take compensatory time. Compensatory time may be carried over from one fiscal year to the next, but no more than 20 days of combined annual leave and compensatory time may be carried over from one fiscal year to the next.  (The Fund’s fiscal year begins October 1st.) 

An employee may take up to 5 days of paid leave in case of a death in an employee's or an employee’s domestic partner’s immediate family. "Immediate family" for this purpose includes parents, grandparents, spouse, domestic partner, children, siblings, parents-in-law and domestic partner’s child or parent.

Absence due to death of other family members must be approved in advance and must be taken from the employee's annual leave, or taken as unpaid leave if no annual leave is available.

The Fund observes 12 legal paid holidays. The holiday schedule will be distributed at the start of each fiscal year (October 1st).

Regular employees working fewer than 35 hours per week receive holiday pay on a pro-rata basis. Temporary employees are not eligible for holiday pay.

The Fund reserves the right to require an employee to work on a holiday. If an employee is required to work on a holiday, he or she is entitled to take a substitute day off, which must be scheduled with the supervisor’s approval.

An employee may take a religious holiday off either as a vacation day or as a day without pay. Employees are to inform their supervisor in advance of their intent to take a day off for religious reasons.

Employees serving on Jury Duty will be granted fully paid leave. Where possible, and in keeping with the Fund’s mission of service to government, employees are requested to waive any jury payment by the state for their service. On any given day when jurors are released prior to 2:30 p.m., they are expected to return to work.

Leaves of absence for reasons other than birth or adoption of a child or serious health condition will be reviewed on a case-by-case basis and are subject to the approval of the President.

Effective January 1, 2018, FCNY provides paid family leave (“PFL”) in accordance with New York’s Paid Family Leave Benefits Law (“PFL Law”).

Eligibility for Paid Family Leave

Only Fund employees who work in New York State are eligible for PFL. Fund employees who work in other states are subject to the laws of the state where they work.

An employee whose regular work schedule is 20 or more hours per week will be eligible to take PFL when he/she has been employed by FCNY for 26 weeks.

An employee whose regular work schedule is less than 20 hours per week will be eligible to take PFL when he/she has worked for FCNY for 175 days (actual days worked, not calendar days).

An eligible employee can begin taking leave when he/she has reached the relevant threshold (26 weeks/175 days) or January 1, 2018, whichever comes later.

Permissible Purposes for Paid Family Leave

Eligible employees will be entitled to PFL (i) to care for a family member (child, parent, grandparent, grandchild, spouse, or domestic partner) with a serious health condition, (ii) to bond with a child during the first 12 months after birth or placement for adoption or foster care, or (iii) because of any qualifying exigency arising from the fact that an employee’s spouse, domestic partner, child or parent is on active duty (or has been notified of an impending call or order to active duty) in the armed forces of the United States.

An employee must provide FCNY at least 30 days advance notice before leave is to begin if the qualifying reason for leave is foreseeable. When not foreseeable, the employee must provide notice as soon as practicable. Failure to provide timely notice may result in leave being delayed or denied. PFL may only be taken in full day increments, unless otherwise provided by law.

Applying for Paid Family Leave

An eligible employee who wishes to take PFL must submit his/her application to FCNY’s disability insurance carrier, and comply with applicable certification requirements of the need for leave. Additional documentation (such as copies of military orders) may also be required, as permitted by law. FCNY will complete the employer portion of the application. Please contact Human Resources at hrfcny@fcny.org for more information about how to apply for PFL.

Paid Family Leave Benefits and Duration

As of 2021, the maximum length of PFL benefits is 12 weeks and the PFL benefit amount is 67% of an employees average weekly wage (up to the state average weekly wage).

Use of Other Leave

To the extent permitted by law, employees may elect to charge all or part of their PFL time to unused paid time off and receive full pay. In such cases, FCNY will seek reimbursement from the carrier for PFL benefits that would have been payable to you.

Disability leave and PFL may not be used at the same time. An employee who is eligible for both disability benefits and PFL benefits during the same period of 52 consecutive calendar weeks may not receive more than 26 total weeks of disability and PFL benefits during that period of time.

Paid family leave will run concurrently with leave taken pursuant to the Family and Medical Leave Act or the FCNY FML leave policy (with the exception of leave taken due to the employee’s own health condition), the FCNY Paid Child Care Leave Policy for any portion of the leave that the employee is not receiving disability insurance payments, or any other paid or unpaid family leave provided by FCNY. If such other leave is paid, FCNY will seek reimbursement from the carrier for PFL benefits that would have been payable to you.

Protected Rights

Leave taken pursuant to the PFL Law is job protected. FCNY will restore an employee who returns from PFL to the same or a comparable position.

An employee who receives health benefits through FCNY is entitled to continued health benefits coverage during PFL on the same terms as if the employee had continued to work during the PFL leave. Note, however, that you will still be required to continue to pay your share of the health insurance premiums, and you may lose coverage retroactively to the date an unpaid premium was due (upon proper notice from our carrier) if you fail to pay your portion of the premium in a timely fashion.

FCNY prohibits retaliation or discrimination against an employee who exercises his or her rights under the PFL Law.

Funding of Paid Family Leave Benefits

In accordance with the PFL Law, PFL benefits are funded through payroll deductions at a prescribed amount from each eligible employee. Employees who are ineligible for PFL will be given the option of filing a (revocable) waiver of benefits, exempting them from payroll deductions, as permitted by law.

Please contact Human Resources at hrfcny@fcny.org, if you have any questions about PFL benefits or how to apply for PFL. Additional information can be found in the plan document and summary plan description, and those documents are controlling.

The Fund does not offer a "personal leave" benefit. Accordingly, any days the employee must take for personal business or funerals other than those of immediate family (described previously) should be approved in advance by the employee’s supervisor and charged to annual leave. If a question arises as to the appropriate charge, please consult the Director of Fiscal & Administrative Services.

An employee earns 1¼ days sick leave per month of service, for a total of 15 days per year for full-time regular employees working at least 35 hours per week. Regular employees working fewer than 35 hours per week will be eligible for pro-rated sick leave. Absences due to illness or medical appointments may be charged to sick leave. Absences due to illness of, or medical appointments for, an employee’s spouse, domestic partner, child or dependent, or domestic partner’s dependent may also be charged to that employee’s sick leave. Any accumulated sick leave will be carried over into the next fiscal year. The maximum accumulation, however, is 40 days.

As of the eighth consecutive day of absence due to illness, an employee is eligible for short- term disability insurance payments. While an employee who is physician-certified as disabled is absent from work and receiving full pay from sick leave, he or she must assign the short- term disability insurance payments to the Fund. Once an employee's sick leave is exhausted, an employee may keep short-term disability payments to which he or she is entitled. (For further discussion of short-term disability insurance, see page 32.) Please contact the Personnel & Benefits Administrator for details about short- term disability insurance coverage and benefits.

The Fund may require a doctor's certificate of illness for any absence exceeding three consecutive days. For discussion of extended medical leave (unpaid), see Unpaid Family and Medical Leave.

After one year of service, Fund employees who have worked for at least 1250 hours during the 12 month period prior to the requested leave are entitled to a maximum of 26 weeks of unpaid “family or medical leave” (“FML leave”) within a 12 month period. For purposes of measuring entitlement to FML leave, the 12 month period is measured backwards on a rolling basis from the date an employee uses any FML leave.

For purposes of this Unpaid Family and Medical Leave policy, “family member” means an employee’s spouse or domestic partner, child, step-child, parent, parent-in-law, or domestic partner’s child or parent.

FML leave means unpaid leave in the event of any one, or a combination, of the following:

a)   the birth, adoption or placement for foster care of a child to an employee, or to an employee’s domestic partner;

b)  the serious health condition of an employee which makes him/her unable to perform the functions of his or her position;

c)  the serious health condition of an employee’s family member that involves inpatient care or continuing medical treatment by a health care provider;

d)  any “qualifying exigency” arising out of the fact that an employee’s family member is on active duty (or has been notified of an impending call or order to active duty) in the Armed Forces, including but not limited to, helping to arrange for or temporarily provide childcare, assisting with a family business or completing the sale of personal property;

e)  an employee’s need to care for a service member (employee’s family member, as defined above, or where the employee is next of kin (closest blood relative) to the service member), who has incurred an injury or illness in the line of duty while on active duty in the Armed Forces (including the National Guard or Reserves), provided that such injury or illness may render the service member medically unfit to perform the duties of the service member’s office, grade, rank or rating. The service member must be

i) undergoing medical treatment, recuperation or therapy,

ii) be in outpatient status, or

iii) otherwise be on the temporary disability retired list for a serious injury or illness.

Employees requesting unpaid FML leave must substitute any applicable accrued paid leave for unpaid leave, including, but not limited to, annual leave, child care leave, sick leave, short-term disability and/or workers’ compensation. Such paid leave will be counted against the employee’s entitlement to 26 weeks of FML leave.

An employee requesting FML leave must give 30 days’ notice to the Personnel & Benefits Administrator, except when emergency circumstances warrant shorter notice or where the need for leave was not foreseeable. Employees requesting leave under sections b), c) and e) above must provide certification by a health care provider indicating the medical basis and necessity for the leave requested and the probable duration of the condition, and provide such certification every 30 days during FML leave. Employees must also communicate with the Personnel & Benefits Administrator every 30 days during FML leave concerning the employee’s status and intent to return to work. Voice mail messages are not acceptable.

FML leave under sections b), c), d) and e) may be taken intermittently or on a reduced leave schedule. Requests for intermittent or reduced leave on account of birth and care of a child or adoption/foster care placement shall be granted if granting such leave will not result in an unduly negative impact on the organization’s substantive work or costs.

Health insurance coverage for an employee on FML leave will be continued on the same terms and conditions as if the employee were not on leave. An employee who fails to return to work after taking FML leave may be required to reimburse the Fund for premiums paid to maintain health coverage during the leave.

Most employees who return to work within 16 weeks (or 26 weeks if FML leave is taken under section e) above) will be reinstated to the same or an equivalent position as the one held by the employee prior to going on FML leave. The Fund will provide a position for an employee who returns to work after 16 weeks when FML leave is taken under sections a) through d) above, but neither the prior position, nor an exactly equivalent position, can be guaranteed. There will be no loss of benefits accrued prior to the leave. However, the employee will not be entitled to accrual of seniority or benefits (including paid holidays, annual leave, sick leave and other paid leave) during any period of unpaid leave. Failure to return to work from FML leave on the return date of the first workday following the expiration of FML leave will constitute voluntary termination of employment with the Fund unless alternative arrangements have been made with the Fund prior to the return date or expiration of such leave. Those employees who are among the highest paid ten percent of the employees of the Fund may be denied restoration to their original position if such denial is necessary to prevent substantial and grievous injury to the Fund’s operations and programs.

The Fund provides leave that goes beyond the minimum provisions of the Family and Medical Leave Act of 1993 (FMLA). The 12-week (or 26 –week for caregiver for injured or ill military service member) leave entitlement under the FMLA is in addition to the additional weeks of leave provided by the Fund’s FML leave policy as described above.

However, paid child care leave and paid family leave, as described below, will run concurrently with leave taken pursuant to the FMLA or the Fund’s FML leave (with the exception of leave taken due to the employee’s own health condition).

Spousal or Domestic Partner Military Active Duty Leave

Any Fund employee who regularly works at least 20 hours per week and whose spouse or domestic partner is on active duty in a combat theater or zone of operations is entitled to up to ten (10) days of unpaid leave while that spouse or domestic partner is on leave from active duty.

While an employee is receiving salary, his or her benefits accrue at regular rates. If an employee is on unpaid leave, or receiving unsupplemented disability pay or unsupplemented paid family leave benefits, insurance coverage remains effective, but paid holidays, annual leave, sick leave and other paid leave cease to accrue. If an employee is on an extended unpaid leave of more than three months other than a family or medical leave, the Fund may request reimbursement for the cost of the group life, medical, dental and long-term disability insurance.

An employee must return to work after taking leave on a regular non-holiday business day.

Dental insurance is provided for employees, their dependents and domestic partners (effective 10/1/04). The policy allows for 100% of coverage for diagnostic and preventative procedures, 80% for basic procedures and endodontics, and 50% for major and orthodontic procedures after the $50 individual/$100 employee and spouse/$150 family annual deductible (i.e., the maximum cash deductible for a family is $150 per calendar year) has been met. The specific benefits, restrictions and limitations of the dental plan are outlined in the dental insurance descriptive chart and policy booklet which can be obtained from the Personnel & Benefits Administrator.

There is a waiting period of 30 days before coverage becomes effective, and coverage continues for 30 days following termination of employment.

Note: Details of plan benefits are provided for descriptive purposes only.

The Dependent Care Assistance Program (or "DCAP") enables employees to pay dependent care expenses from pre-tax dollars for children under age 13 or a spouse or other dependent who is physically or mentally incapable of caring for him or herself. (Federal law does not currently allow DCAP to be used for reimbursement of the cost of caring for a domestic partner or anyone who does not qualify as a “dependent” under Federal tax law.) Prior to the beginning of each calendar year an employee estimates the qualifying expenses he or she expects to incur during the year up to a maximum of $5,000. The Fund deducts in equal installments from an employee's salary the amount of dependent care expenses projected for the year (the amount deducted by the Fund is not taxable to the employee). The eligible dependent care expenses can be charged to this account at the end of each month by completing a claim form. The full amount will be reimbursed, provided that receipts and/or bills are submitted with the claim. IRS regulations require that any money remaining at the end of the year in an employee's account be forfeited.

Specific materials describing the plan and application form are available from the Personnel & Benefits Administrator upon request.

The Fund recognizes the status of domestic partner, and under these policies employees are accorded certain rights and benefits with regard to his or her domestic partner. In order to take advantage of these rights and benefits, the employee and domestic partner must:

1.      Meet the following criteria:

A. Have a close, committed personal relationship, and intend to maintain it indefinitely;

B. Live together. (“Living together” means that two people share a place to live. Both parties do not need to be on the rental agreement or deed. One or both people may also have a separate place somewhere else, and like married couples, the domestic partners may experience periods of temporarily living separately due to family, work or other demands.);

C. Agree to be responsible for each other’s basic living expenses (food and shelter) during their domestic partnership and that anyone who is owed these expenses can collect from either of them;

D. Be at least the age of consent in the state in which they reside;

E.  Be unmarried;

F.  Not be related to the other by blood to a degree of closeness that would prohibit marriage if they are of the opposite sex, or were they of the opposite sex;

G. Not have a different domestic partner now;

2.  Execute an Affidavit of Marriage/Domestic Partnership (see Appendix A); and

3.  Agree to notify the Fund’s Personnel & Benefits Administrator if the domestic partnership is terminated.

Some documentation may be required to provide proof of cohabitation and financial interdependence.

The Fund is in large part a project-oriented organization in which relatively high staff turnover is expected as projects begin and end. Generally, we attempt to anticipate changing staffing needs in advance, so employees can be notified well in advance of their termination of service, but that is not always possible. Termination may be with or without advance notice, and employees may be terminated for any legal reason. At the time of termination, employees will be notified of their rights to continued health insurance coverage at their own cost pursuant to federal law.

Upon termination of service, employees receive payment for accumulated annual leave and, in the case of non-exempt staff, accumulated compensatory time. No payment is made for accumulated sick leave.

The Flexible Health Care Spending Account allows the employee to elect a pre-tax salary reduction to cover expenses not covered under the Fund’s health plan. Prior to the beginning of each calendar year an employee estimates the qualifying expenses he or she expects to incur during the year up to a maximum of $10,000. The Fund deducts in equal installments from an employee's salary the amount of flexible health care expenses projected for the year (the amount deducted by the Fund is not taxable to the employee). The eligible health care expenses that are deemed non-reimbursable by the Fund's health plan providers can be charged to this account at the end of each month by completing a claim form. The full amount will be reimbursed, provided that receipts and/or bills are submitted with the claim. IRS regulations require that any money remaining at the end of the year in an employee's account be forfeited.

Specific materials describing the plan, application form, and claim form are available from the Personnel & Benefits Administrator upon request.

The Fund provides all eligible employees a package of fringe benefits. The Fund fully intends to continue the benefits described or referred to in this handbook. However, no guarantee or promise is or can be made that it will do so. Therefore, the Fund reserves the right to terminate, suspend or modify any of the benefits described in this handbook and to withdraw, discontinue or reduce any or all benefits provided thereunder,(1) in whole or in part, (2) at any time, (3) prospectively or retroactively, (4) for any or all categories or classifications of employees and/or participants, and (5) in the Fund’s sole discretion.

Fringe benefits, with the exception of hospital and medical coverage and the pension plan, are currently provided at no cost to employees. Each benefit is described briefly in this handbook. For more information consult the policy booklet describing each benefit or ask the Personnel & Benefits Administrator for assistance. In case of a discrepancy between the actual plans, policies and/or contracts and this handbook, the actual plans, policies and/or contracts shall prevail and be controlling.

Employees become eligible for hospital, medical and dental benefits one month after employment begins with the Fund. An employee’s coverage continues for one month following termination of employment. Following termination, an employee may be eligible to continue coverage (often called COBRA) in the Fund's insurance program for a period of 18, 29, or 36 months depending on the circumstances. At the time coverage ends, an individual conversion option may be available. If the employee becomes eligible for Medicare or is covered by another plan, continued coverage ceases. Former employees will be responsible for reimbursing the Fund in monthly installments for the cost of their coverage (including dependents) at a rate comparable to the cost of coverage for Fund employees. This extension option applies to hospital, medical and dental coverage and life insurance.

Each employee of the Fund is covered by a term life insurance policy in an amount equal to three times his/her annual salary, up to $400,000, with an accidental death and dismemberment benefit applying to the full amount of the insurance. Coverage under this policy is automatically adjusted when an employee receives a salary increase. The specific benefits, restrictions and limitations of the life insurance and accidental death and dismemberment coverage are outlined in the life insurance certificate/plan document that is issued to each employee.

The cost of the premium for life insurance coverage over $50,000 per year is taxable (F.I.C.A. only) to the employee as wages in the tax year in which the premiums are paid.

There is a waiting period of one month before coverage becomes effective. Note: Details of plan benefits are provided for descriptive purposes only.

In the event of disability for a period in excess of three months, employees are covered by a group long- term disability policy. The plan pays a monthly benefit of 66.66% of monthly earnings up to a maximum benefit of $15,000 monthly. The specific benefits, restrictions and limitations of the long-term disability insurance are outlined in the long-term disability insurance policy booklet which can be obtained from the Personnel & Benefits Administrator.

There is a waiting period of one month before coverage becomes effective. Note: Details of plan benefits are provided for descriptive purposes only.

The Fund currently provides employee, dependent and domestic partner hospital and medical coverage through the Empire Health Direct POS program and Prism program. Hospital and medical coverage for domestic partners is provided at the discretion of the Fund’s health care provider, and thus is not guaranteed. Employees may select from one of three plans with different co-pay/deductible and employee contribution options. Employees who elect one of the Fund's hospital and medical coverage will be required to make a contribution per pay period towards the hospital and medical coverage premium. The contribution amount will vary based on the type of plan and coverage (individual or family) selected by the employee. This premium contribution will be deducted from an employee's paycheck on a pre-tax basis through the Fund's Premium Conversion Program, or on an after-tax basis. Employees who do not wish to be covered by the Fund's hospital and medical plan must decline the coverage in writing.

The specific benefits, restrictions and limitations of the coverage are outlined in the health coverage policy booklet that can be obtained from the Personnel & Benefits Administrator. Generally, coverage includes the following:

For most benefits, Empire hospital and medical coverage offers Fund employees, dependents and domestic partners the choice of using any network provider (including hospitals physicians and other ancillary providers) from the appropriate network, or any non-network provider. Individuals can stay in network for some services and go out of network for others.

For those who stay in network, any participating provider may be selected. There is no deductible, no co- insurance, a small co-payment (in most cases), and no claim forms to fill out for office visits, referrals, lab tests, x-rays and hospitalization. Some services are available only in-network. In-network mental health coverage is provided by Magellan Behavioral Services.

For those who go out of network, any physician or hospital can be used. There is an annual deductible. Once the deductible has been paid, Empire will provide a percentage co-insurance coverage of allowed medical expenses based on the plan selected. After out-of-pocket medical expenses have been reached, 100% of allowed medical expenses are covered. Claim forms must be filed to receive payment for covered services.

The Empire Medical Management Program requires a telephone call to obtain “pre- certification” for certain kinds of care including: planned hospital admission or surgery, emergency hospital admissions (call within 48 hours), ambulatory surgery, cardiac rehabilitation, and MRIs. Mental health and alcohol/substance abuse coverage requires pre- certification from Empire’s Behavioral Health Care Management.

Please refer to the descriptive chart and the policy booklet for specific plan details.

There is a waiting period of 30 days before coverage becomes effective, and coverage continues for 30 days following termination of employment.

Note: details of plan benefits are provided for descriptive purposes only.

The Fund administers both a 401(k) pension and savings plan and a 403(b) tax deferred annuity plan through TIAA-CREF.

401(K) Pension and Savings Plan

The 401(k) plan is open to all regular employees who work at least 1000 hours or more a year; regular employees are eligible to participate after they complete 6 months of service during which they have worked at least 500 hours. Contributions to employee retirement accounts come from both the Fund and participating employees. Employee contributions are made by deferring a percentage of annual salary which is deducted in equal amounts each pay period and deposited in an employee's retirement account. The percentage of deferred compensation can range from a minimum of 1% up to a maximum that cannot exceed limitations prescribed by Internal Revenue Service regulations. All employee contributions are vested immediately, but there are restrictions regarding when and how much of an employee's retirement contributions can be withdrawn prior to termination of employment or retirement.

After six months of service, eligible employees who elect to contribute 5% or more of salary to the retirement plan are eligible to receive a Fund contribution of 10% of their annual salary. For employees hired before January 1, 2007, this employer contribution to a participant's retirement account is 100% vested after completing 18 months of service. For employees hired on or after January 1, 2007, this employer contribution to a participant’s account is 100% vested after completing 2 years of service. There are restrictions regarding when and how much of the employer contributions can be withdrawn prior to termination of employment or retirement.

403(b) Tax Deferred Annuity Plan

The 403(b) tax deferred annuity plan allows employees to put aside supplemental tax-deferred savings in addition to the funds contributed by the employee and the Fund into the 401(k) plan.

All employees are eligible to participate as of the date of hire; the percentage of deferred compensation allowed cannot exceed limitations prescribed by Internal Revenue Service regulations. All employee contributions to the 403(b) plan are vested immediately; there are no employer contributions.

Loans

Employee loans are available from both the 403(b) plan and the 401(k) plan; there are restrictions regarding how much may be borrowed and the length of time for repayment.

This is a brief general summary of the Fund’s retirement benefits. The 401(k) and 403(b) plan documents govern the actual benefit arrangements and terms of the plans. Employees may obtain a copy of the actual plan documents from your project’s Inside Central site or directly from the Payroll & Benefits Manager.

The Fund reserves the right to modify these benefits at any time. The descriptions set forth in this handbook are intended to provide a summary only, and these descriptions do not supercede, modify or replace the terms contained in the plan documents.

Extended absence due to pregnancy-related disability is covered under the short-term disability policy described on page 32. Medical certification must be provided for the entire period of disability.

This means that after the eighth consecutive day of pregnancy-related inability to work, the employee must file for short-term disability insurance benefits. If she has accumulated sick leave, she may use these days to cover her absence at full pay, assigning disability payments to the Fund. Once sick leave is exhausted, an employee may retain any remaining disability payments. Also, following childbirth, an employee is eligible for paid child care benefits (see page 20).

Note: Details of plan benefits are provided for descriptive purposes only.

The Premium Conversion Program enables employees to pay hospital and medical coverage premium contributions with pre-tax dollars.  Prior to the beginning of each calendar year, an employee may elect to have the Fund deduct the required annual premium contribution from his/her salary in equal installments over the course of the year. Specific materials describing the program are available from the Personnel & Benefits Administrator.

Performance and salaries are reviewed annually in September for all employees, with increases, when awarded, effective the first pay period of October. There are no automatic cost-of-living increases.

Issue Date: July 1, 1996

Employees who are absent from work due to illness for eight or more consecutive days and are certified as disabled by a physician are covered by and expected to file for short-term disability insurance. While the employee is disabled (and physician-certified as such) this coverage can continue for a maximum period of 26 weeks. (Long-term disability begins after three months, see page 34.) Medical certification must be provided for the entire period of disability.

Short-term disability insurance pays the employee 50% of his or her salary up to a maximum of $170 per week. During the time an employee is disabled, he or she may use any accumulated sick leave to cover absences in order to receive full pay rather than partial disability pay. While the employee is receiving full pay from sick leave, he/she will be expected to assign the disability insurance payments to the Fund. When the employee's sick leave is exhausted, he or she may retain the short-term disability payments to which he/she is entitled, as long as he/she is disabled, and up to the 26-week maximum.

Note: Details of plan benefits are provided for descriptive purposes only.

All employees have the responsibility to be regularly and dependably available for work. Excessive absenteeism adversely affects productivity, disrupts normal operating effectiveness and overburdens other employees who must cover for the employee who is absent. Excessive tardiness or absenteeism will result in disciplinary action, up to and including termination.

Except in emergencies, employees are required to report absences or tardiness in advance to their supervisor and the front desk prior to the beginning of the work day. The employee should, wherever possible, provide their supervisor with an estimated time and/or date for return to work. In the event your supervisor is unavailable, please contact the Office Manager.

Issue Date: July 1, 1996