UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF NEW YORK

THE PEOPLE OF THE STATE OF NEW YORK

by LETITIA JAMES, Attorney General of the State
of New York,

Plaintiff,
No. 1:21-cv-00189-RA
v.

DIOCESE OF BUFFALO, RICHARD J.

MALONE, EDWARD M. GROSZ, and MICHAEL
WILLIAM FISHER, in his capacity as Bishop for
the Diocese of Buffalo,

Defendants.

STIPULATED FINAL ORDER

This stipulation of settlement is entered into by and between Plaintiff, the People of the

State of New York, by Letitia James, Attorney General of the State of New York, and

Defendants Diocese of Buffalo; Michael W. Fisher, in his capacity as the Bishop of the Diocese

of Buffalo (the “Diocese”); Bishop Richard J. Malone; and Bishop Edward M. Grosz (Bishop

Malone and Bishop Grosz, collectively, the “Individual Defendants”).

WHEREAS, pursuant to the provisions of New York’s Not-for-Profit Corporation Law

(“N-PCL”); Estates, Powers and Trusts Law (“EPTL”); and Religious Corporations Law

(“RCL”), the Attorney General conducted an investigation concerning the Diocese’s response to

allegations of clergy sexual abuse of minors and vulnerable adults that focused on the Diocese’s

compliance with standards to address and prevent the sexual abuse of minors by clergy that were

established by the U.S. Conference of Catholic Bishops (“USCCB”) and the Diocese and

embodied in the Charter, the Essential Norms, and the Policy & Procedures (as those terms are

defined below);
 WHEREAS, such investigation of the Diocese included the sworn testimony of Bishop

Malone and Bishop Grosz as well as the Attorney General’s review of Diocesan records

produced in response to the Attorney General’s subpoena, including priest assignment histories,

personnel files, letters of good standing, documents in the archivum secretum, public

announcements, communications to and from the Congregation for the Doctrine of the Faith,

internal memoranda personally prepared and/or reviewed by Bishop Malone and Bishop Grosz,

and investigative records;

WHEREAS, based on findings from the investigation, the Attorney General commenced,

through the filing of a complaint on November 23, 2020, the above-captioned lawsuit in the

Supreme Court of the State of New York, New York County (the “Action”), asserting claims

against the Diocese pursuant to section 112(a)(1) of the N-PCL and section 8-1.4 of the EPTL

and against Bishop Malone and Bishop Grosz pursuant to section 8-1.4 of the EPTL and

sections 717 and 720 of the N-PCL;

WHEREAS, the Individual Defendants have been retired since before the time that the

Attorney General’s complaint was filed;

WHEREAS, the Attorney General’s complaint sought, among other remedies, injunctive

relief relating to allegations in the complaint concerning the Charter, the Essential Norms, the

Policy & Procedures (as those terms are defined below), and the N-PCL, EPTL, and RCL;

WHEREAS, the Attorney General’s complaint also sought the appointment of an

independent compliance auditor, which would be selected by the Diocese with the approval of

the Attorney General, to monitor and audit the Diocese’s compliance with the injunctive relief

sought by the Attorney General in the complaint;

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 WHEREAS, on January 9, 2021, the Diocese and the Individual Defendants removed the

Action to the U.S. District Court for the Southern District of New York;

WHEREAS, on February 22, 2021, the Attorney General filed a motion to remand the

Action to the Supreme Court of the State of New York, New York County; the Diocese has

opposed that motion and, in its opposition, objected to and contested the Attorney General’s

jurisdiction and authority to assert the claims and seek the relief it has sought in this action

pursuant to the provisions of the N-PCL, EPTL, and RCL; and the Attorney General’s motion to

remand remains pending before the U.S. District Court for the Southern District of New York;

WHEREAS, after the Office of the Attorney General commenced its investigation, the

Diocese developed a Priest Supervision Program (as defined below) that addresses monitoring

of individual priests identified as having substantiated claims of abuse against them;

WHEREAS, the Diocese’s Policy & Procedures, Code of Conduct, and Priest

Supervision Program (as those terms are defined below) incorporate and apply key terms and

obligations of the Charter and the Essential Norms regarding the response to allegations of

clergy sexual abuse;

WHEREAS, Bishop Fisher was installed as the Bishop of the Diocese on January 15,

2021, and has prioritized and continued to strengthen the Diocese’s institutional governance to

protect children and vulnerable adults;

WHEREAS, the Diocese’s College of Consultors has reviewed and approved the

Diocese’s operative Policy & Procedures and Code of Conduct, and the adoption of the Priest

Supervision Program and this Stipulated Final Order;

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 WHEREAS, the Parties have determined that avoiding protracted litigation and resolving

this dispute through execution and entry of this Stipulated Final Order is in their respective best

interests; and

WHEREAS, in consideration of the covenants and understandings set forth herein and

intending to be legally bound thereby, the Parties have agreed to the terms of this Stipulated

Final Order as so-ordered by the Court;

NOW THEREFORE, it is hereby ORDERED, ADJUDGED, AND DECREED as

follows:

I. DEFINITIONS

Unless otherwise specified, the below terms are defined as follows for purposes of this

Stipulated Final Order:

1. Audit Cycle. The time period beginning with commencement of the Audit Period

(as that term is defined herein) and concluding with the Auditor’s issuance of the final

Compliance Audit Report (as that term is defined in this Stipulated Final Order) for the particular

Audit Period.

2. Auditor. The person or entity selected by the Diocese and agreed to by the OAG

to perform the Compliance Audits. The Auditor shall have personnel, including a certified

public accountant, engaged on the Compliance Audit who have knowledge and experience in

conducting performance audits in accordance with the U.S. Government Accountability Office’s

Government Auditing Standards (the “GAO’s Yellow Book”), GAO-21-368G.

3. Audit Period. The twelve-month period covered by each Compliance Audit

conducted by the Auditor, as set forth in Part II(B) of this Stipulated Final Order. The twelve-

month period begins on the Effective Date for the initial Compliance Audit, and on the

anniversary of the Effective Date for each subsequent Compliance Audit.

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 4. Bishop. The Bishop of the Diocese of Buffalo, Bishop Michael W. Fisher, and

his successors as the ordinary of the Diocese.

5. DDF. The Dicastery for the Doctrine of the Faith, previously known as the

Congregation for the Doctrine of the Faith.

6. Charter. The Charter for the Protection of Children and Young People, adopted

by the USCCB, as revised June 2018 and any subsequent versions.

7. Cleric. A person ordained for service in the Roman Catholic Church.

8. Code of Conduct. The Diocese’s Code of Conduct for Priests, Deacons, Pastoral

Ministers, Administrators, Staff, and Volunteers, as revised January 19, 2017 (attached as Exhibit

A hereto), and any subsequent versions.

9. Commitments. The commitments by the Diocese as set forth in Part II of this

Stipulated Final Order.

10. Complaint. An allegation of sexual abuse of a child or vulnerable adult by

Personnel that is received by the Diocese and contains sufficient detail to identify the alleged

abuse and the alleged abuser(s). A Complaint may include allegations of a violation of the Code

of Conduct’s prohibition on behavior by Personnel that constitutes grooming.

11. Defendants. The Diocese; Michael W. Fisher, in his capacity as the Bishop of the

Diocese; and the Individual Defendants in the Action, Bishop Richard J. Malone and Bishop

Edward M. Grosz.

12. Diocese. The Diocese of Buffalo.

13. Effective Date. The date that the U.S. Bankruptcy Court in In re Diocese of

Buffalo, N.Y., No. 20-10322 (Bankr. W.D.N.Y.), approves the Diocese’s retention of the Auditor.

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 14. Essential Norms. The Essential Norms for Diocesan / Eparchial Policies Dealing

with Allegations of Sexual Abuse of Minors by Priests or Deacons, prepared by the Ad Hoc

Committee on Bishops’ Life and Ministry of the USCCB, promulgated as revised June 17, 2005,

and in all subsequent versions.

15. Former Cleric. A Cleric who is deceased or an individual who is included in the

list of Priests With Substantiated Claims of Abuse published on the Diocese’s website.

16. Governing Policies. The Charter, the Essential Norms, the Policy & Procedures,

Code of Conduct, and Priest Supervision Program, as those documents and/or terms apply to

alleged clergy sexual abuse or grooming and the Diocese’s response thereto.

17. IRB. The Independent Diocesan Review Board, as described in Part V of the

Policy & Procedures.

18. OAG. The Office of the Attorney General of the State of New York.

19. Parties. The Plaintiff, the People of the State of New York, by Letitia James,

Attorney General of the State of New York and Defendants.

20. Personnel. Individuals who, at the time a Complaint is made, are (a) employees

of the Diocese at any of its parishes or parish schools; (b) volunteers for the Diocese at any of its

parishes or parish schools but not including a one-time or occasional worker; (c) Clerics;

(d) living women and men who belong to religious orders and work for the Diocese at any of its

parishes or parish schools; or (e) Former Clerics.

21. Priest Supervision Program. The Plan to Supervise Priests Who Are Deemed

Credibly Accused of Sexual Misconduct Toward a Minor or Vulnerable Adult by the Independent

Review Board and Bishop, dated March 22, 2021 (attached as Exhibit B hereto) and any

subsequent versions of the same.

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 22. Policy & Procedures. The Diocese’s Policy & Procedures for the Protection of

Children, Young People & Vulnerable Adults, revised October 2022 (attached as Exhibit C

hereto) and any subsequent versions of the same.

23. Religious Order Allegation. An allegation of sexual abuse of a child or

vulnerable adult by a member of a religious order who, at the time of the alleged abuse or at the

time the allegation is made, works, teaches, ministers, or resides within the Diocese. The

allegation may assert a violation of the Code of Conduct’s prohibition on behavior by a member

of a religious order that constitutes grooming.

II. COMMITMENTS BY THE DIOCESE

The Diocese agrees to the following Commitments in settlement of the claims asserted by

the OAG in its complaint and to avoid the time, expense, and distraction of further litigation.

The OAG finds the Commitments in this Stipulated Final Order appropriate and in the public

interest.

A. Commitments Regarding Policies, Procedures, and Practices

1. The Diocese confirms that each of the Commitments in this Stipulated Final

Order has been incorporated into the Policy & Procedures, Code of Conduct, or Priest

Supervision Program.

2. The Diocese agrees that, during the term of this Stipulated Final Order, it will not

modify any of the Commitments that have been incorporated into the Policy & Procedures, Code

of Conduct, and/or Priest Supervision Program without a corresponding modification to the

terms of this Stipulated Final Order.

3. To aid the Diocese in exercising reasonable oversight of the implementation of

the Governing Policies, Bishop Fisher shall appoint a senior Diocesan official, the “Child

Protection Policy Coordinator,” who shall report directly to the Bishop. This appointed senior
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Diocesan official may be the Vicar for Clergy and, in addition to any other roles assigned to him

or her by the Diocese, shall be responsible for:

(a) ensuring that the Governing Policies are followed;

(b) notifying the Bishop when the Governing Policies are not followed;

(c) providing advice to the Bishop concerning the Diocese’s compliance with

the Governing Policies;

(d) providing advice to the Bishop on updates or modifications to improve the

effectiveness of the Governing Policies; and

(e) overseeing the Priest Supervision Program.

Process for Reporting Complaints

4. As outlined on the Diocese’s website, the Diocese agrees that it will continue to

offer the following ways in which to receive Complaints: (a) the Victim Assistance

Coordinator’s telephone and e-mail; (b) the Diocese’s confidential, online portal available

through [email protected] (or equivalent confidential service); and (c) for

alleged abuse by a bishop or alleged mishandling of allegations of sexual abuse by a bishop, the

Catholic Bishop Abuse Reporting Service, www.ReportBishopAbuse.org (or equivalent

confidential service by an alternate provider).

5. Where the Diocese receives an allegation of abuse that does not contain sufficient

detail to permit a review or investigation of the alleged event(s), the Diocese shall make

reasonable efforts to contact the complainant or his or her counsel to request additional

information about the allegation so that it may be assessed and investigated pursuant to the

Governing Policies. The Diocese shall document its efforts to contact the complainant and file

such documentation in the accused’s personnel file.

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 6. The Diocese agrees to continue to (a) report Complaints to law enforcement

except if the report would violate the priest-penitent relationship of the Sacrament of

Reconciliation; (b) cooperate with law enforcement, including the OAG, regarding Complaints,

even when the alleged victim is no longer a minor; and (c) advise alleged victims of their rights

to make a report to law enforcement.

7. Upon receipt of a Complaint, if a written report has not been previously prepared,

the Victim Assistance Coordinator shall interview the complainant, if the Complaint identifies

the complainant, within ten days of the Complaint’s receipt, subject to complainant cooperation

and availability. The Victim Assistance Coordinator shall then prepare a written report of the

Complaint and will provide this written report to the Bishop and Vicar for Clergy within ten days

of completing the complainant interview.

Process for Handling Initial Inquiries

8. The Diocese has appointed a Vicar for Clergy who will conduct, or appoint a

specific individual to conduct, an initial inquiry of any Complaint other than (a) a Religious

Order Allegation or (b) a Complaint made against a Former Cleric. The initial inquiry will

determine whether a Complaint has a semblance of truth, that is, it is not “manifestly false or

frivolous.” When an initial inquiry results in a determination that the Complaint is manifestly

false or frivolous, the Vicar for Clergy or his designee will generate a written memorandum to

document the basis for that conclusion. That memorandum will be provided to the Bishop and

the IRB for review and will be added to the personnel record for all Personnel identified in the

Complaint. See OAG Complaint, Prayer for Relief ¶ 1(i). The initial inquiry shall be completed

within no more than ten business days from when the Vicar for Clergy or his designee receives a

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written report of the Complaint, unless there are extenuating circumstances, which will be

documented.

Process for Investigating Referred Complaints

9. If a Complaint, other than (a) a Religious Order Allegation or (b) a Complaint

made against a Former Cleric, proceeds past the initial inquiry, the Complaint shall be referred

expeditiously to the IRB, which will then appoint an independent investigator to investigate the

Complaint. The appointment of an independent investigator will be made in no more than ten

business days after the Complaint is referred to the IRB. The investigator will be directed to

complete the investigation within forty-five days of his or her appointment, unless circumstances

dictate the need for more time to complete the investigation; these circumstances shall be

documented in the investigator’s report. The independent investigator shall (a) be a person with

experience conducting investigations and (b) certify, before each investigation, that, other than

his or her investigative role, he or she lacks any material familial, personal, financial, or

employment relationship with the Diocese, the accused Cleric, or the complainant. At the

conclusion of the investigation, the investigator shall prepare a written report of the findings of

the independent investigation—including the process and sources of information for the

investigation—and submit the written report to the IRB. See OAG Complaint, Prayer for Relief

¶ 1(ii).

10. A Complaint against a Former Cleric shall be referred expeditiously to the IRB,

which shall then determine whether to appoint an independent investigator to investigate the

Complaint. In making that determination, the IRB shall consider whether (a) the allegations in

the Complaint implicate Personnel in addition to the Former Cleric, including by alleging that

such Personnel failed to monitor the Former Cleric or failed to adequately respond to allegations

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of abuse by that Former Cleric or (b) the investigation is likely to provide material information

that would improve the Governing Policies. The IRB may also, in its discretion, consider other

factors in making this determination. In the event that the IRB determines that an investigator

should be appointed, the provisions set forth in Part II(A), Paragraph 9 of this Stipulated Final

Order concerning the conduct of the investigation shall apply, but the provisions in that

Paragraph for the timing of the appointment of an investigator shall not apply. In such an

instance, the investigator need not be appointed within ten business days of when a Complaint is

referred to the IRB but shall instead be appointed by the IRB within a reasonable time after the

IRB determines that an investigator should be appointed.

11. For a Complaint against a Cleric, who is not a Former Cleric or a member of a

religious order, that is deemed by the Bishop or the Vicar for Clergy to be serious in accordance

with Part III, “Initial Inquiry,” of the Policy & Procedures, attached hereto as Exhibit C, the

accused will be relieved of responsibilities and placed on administrative leave, pending the

outcome of the investigation. The relief from administrative responsibilities shall be recorded in

a decree issued by the Bishop, which shall include restrictions that, during the pendency of the

investigation, the accused Cleric cannot present himself as a priest or deacon or, in the case of a

priest, reside in the parish he serves at the time the Complaint is made or where the alleged abuse

is alleged to have occurred. The Vicar for Clergy shall supervise the Cleric’s compliance with

this decree. See OAG Complaint, Prayer for Relief ¶ 1(iii). In accordance with the Diocese’s

current practice, the Diocese shall report on its website the determination to place the Cleric on

administrative leave pending the investigation, without any implication as to the truth or falsity

of the Complaint. Notwithstanding this Paragraph 11, the Bishop shall have the discretion not to

place a Cleric on administrative leave if the Complaint is submitted anonymously and does not

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reference at least one person (whether it be the alleged victim, a non-victim complainant, or

someone else) who can corroborate the alleged abuse; in such cases, the Bishop shall document

his decision not to place the accused on administrative leave pending investigation of the

Complaint and his reason(s) for that decision. A copy of that record shall be placed in the

personnel file for all Personnel identified in the Complaint.

The IRB Process

12. The IRB shall consist of at least five members appointed by the Bishop, a

majority of whom must be lay persons who are not employed by the Diocese, and at least one

member of the IRB must be a person with expertise in the treatment of sexual abuse of a child.

Each IRB member is appointed by the Bishop for a five-year term.

13. All Complaints shall be reported to the IRB. When a Complaint is investigated,

in accordance with the process set out in Paragraphs 9 and 10, above, the IRB shall make an

independent assessment of the Complaint, including the results of the independent investigations

presented to the IRB. The IRB shall submit a written recommendation to the Bishop, which shall

set out the basis for the IRB’s recommendation as to whether a Complaint brought before it

should be found substantiated or unsubstantiated; that written recommendation may refer to or

rely upon the independent investigator’s written report. The IRB shall recommend that the

Bishop find a Complaint substantiated when the IRB determines, on the basis of the totality of

facts, circumstances, documents, and any testimony or in-person statements presented to the

IRB, that it is more likely than not that the alleged abuse occurred. The IRB’s written

recommendation to the Bishop shall indicate whether the IRB members are unanimous in

support of the IRB’s recommendation. See OAG Complaint, Prayer for Relief ¶ 1(iv).

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 14. As required by the Policy & Procedures, any recommendation by the IRB that a

Complaint should be found substantiated shall be publicized on the Diocese’s website. When the

Bishop accepts that recommendation, the accused’s name will be added to the list of Priests With

Substantiated Claims of Abuse and, when the accused is a Cleric in ministry within the Diocese,

announced in the parish where the Cleric is assigned and any other institution where the Cleric

was assigned. The Diocese shall similarly publicize on its website all disciplinary actions taken

as a result of an investigation, a subsequent canonical trial, or a DDF referral and, where

applicable, announce such disciplinary action in the parish and any other institution where the

accused Cleric was assigned. See OAG Complaint, Prayer for Relief ¶ 1(v), (vii).

The Process for Referral to the DDF

15. Within four weeks after reviewing a recommendation from the IRB, the Bishop

shall determine whether to refer a Complaint to the DDF and, when the Bishop has determined

that such a referral is warranted, the DDF shall be notified within ten weeks of the Bishop’s

determination to refer a Complaint to the DDF, unless circumstances dictate the need for more

time to complete the referral; these circumstances shall be documented. See OAG Complaint,

Prayer for Relief ¶ 1(vi).

16. In the event that the Bishop disagrees with the IRB’s recommendations, the

Bishop shall issue a written response to the IRB that states the basis for his determination. In

such cases, (a) the Bishop shall also consider whether to request that additional investigation

should be conducted and, if so, whether any decree of administrative leave imposed on the

accused should remain in place pending the completion of any such additional investigation and

(b) copies of the Bishop’s written response to the IRB shall be provided to (i) the Vicar for

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Clergy and (ii) the Auditor, during the Auditor’s term as set out in The Audit of the Diocese’s

Compliance with the Commitments below.

Monitoring

17. If the Bishop determines that a referral to the DDF is warranted because an

individual Complaint has been substantiated, the Bishop shall apply precautionary measures to

ensure that the public will be protected from abuse pending review by the DDF or the outcome

of any subsequent canonical trial. These measures are recorded in the Priest Supervision

Program, attached hereto as Exhibit B. Pursuant to the Priest Supervision Program, the Diocese

shall appoint an independent individual with experience in the field of law enforcement (the

“Monitor”) to develop the individual monitoring plans for Clerics against whom a Complaint has

been deemed substantiated. The Monitor shall certify, before monitoring a Cleric, that, other

than his or her monitoring role, he or she lacks any material familial, personal, financial, or

employment relationship with the Diocese or accused Cleric. For those Clerics who fail to

cooperate or comply with the monitoring program after receiving a written warning, the Bishop

shall consider withholding applicable pension payments pursuant to the terms of the Diocese’s

pension plan. The Diocese has amended the terms of its pension plan to give the Bishop the

discretion to take such action. See OAG Complaint, Prayer for Relief ¶ 1(viii).

18. According to the Priest Supervision Program, in all cases where the Bishop has

determined that a Complaint against a Cleric has been substantiated, that Cleric shall agree to the

following mandatory prohibitions as part of his individual monitoring plan, pending review by

the DDF or the outcome of any subsequent canonical trial:

(a) the Cleric shall be prohibited from exercising priestly ministry in all

forms, including public celebration of the mass and hearing confession;

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 (b) the Cleric shall be prohibited from publicly holding himself out as a Cleric

by, for example, wearing the Roman collar or clerical garb or being referred to as

“Father,” “Reverend,” “Monsignor,” “Deacon,” or other ecclesiastical title;

(c) the Cleric shall be prohibited from providing spiritual direction, pastoral

care, counseling, and all other forms of ministry that may be provided by lay

persons;

(d) the Cleric shall be prohibited from viewing, downloading, or otherwise

possessing pornography or sexually explicit materials of any kind;

(e) the Cleric shall be prohibited from attending any place that features sexual

performance such as a strip club or “adult bookstore”; and

(f) the Cleric shall be prohibited from maintaining a personal post office box.1

19. In all cases where the Bishop has determined that a Complaint against a Cleric has

been substantiated, the Diocese agrees to continue to offer the Cleric therapeutic professional

assistance.

Transfers or New Assignments of Accused Clerics

20. In accordance with section IV of the Policy & Procedures concerning “Transfers

and New Assignments,” the Diocese agrees that it will continue to abide by (a) the prohibition

against the transfer of Clerics as to whom a Complaint has been substantiated to another diocese,

eparchy, or religious province for a ministerial assignment or to a new assignment within the

Diocese and (b) the requirement that, for Clerics visiting the Diocese, it obtain all relevant

information regarding the background of the Cleric, including any past acts of sexual abuse by

1
See Priest Supervision Program, Exhibit B, at 1.

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the visiting Cleric. In addition, when changing the residence of a Cleric as to whom a Complaint

has been substantiated to another diocese, the Diocese shall send to the bishop of the proposed

place of residence any and all information concerning the Complaint and its resolution and any

other information indicating that the Cleric has been or may be a danger to minors.

21. When a Cleric is proposed for a (a) new assignment or transfer; (b) residence in

another diocese or residence in a country other than the United States; or (c) residence in a

community of a religious institute, the Bishop shall forward to the bishop or religious superior of

the proposed new assignment or residence: an accurate and complete report of information about

any act of sexual abuse concerning the Cleric, including information about any Complaint and its

status or any other information indicating that the Cleric has been or may be a danger to minors.

22. In letters of suitability or of good standing for a Cleric incardinated in the

Diocese, the Diocese will continue to state whether the Cleric is in compliance with the

Diocese’s Safe Environment Program and whether there is anything in the Cleric’s background

that makes him unsuitable to work with minors or vulnerable adults.

Religious Orders

23. All members of a religious order who work, teach, minister, or reside within the

Diocese shall be required to agree to the Code of Conduct. The Victim Assistance Coordinator

of the Diocese and other means available to victims to report a Complaint against Personnel shall

be available to report Religious Order Allegations. The Diocese shall proceed as follows with

respect to such Religious Order Allegations:

(a) The Diocese shall report the Religious Order Allegation to the appropriate

district attorney and to the applicable religious order when the religious order is

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not otherwise on notice of the allegation (through the filing of a civil lawsuit or

otherwise).

(b) The Vicar for Clergy will conduct or appoint a specific individual to

conduct an initial inquiry into any Religious Order Allegation against a person

who works, ministers, teaches, or resides within the Diocese at the time the

allegation is made, in accordance with the procedure set out in Part II(A),

Paragraph 8 of this Stipulated Final Order.

(c) If an initial inquiry by the Vicar for Clergy or his designee of a Religious

Order Allegation finds that the allegation is not manifestly false or frivolous, the

Bishop shall, pending any investigation of the Religious Order Allegation by the

pertinent religious order or district attorney, (i) suspend the priestly faculties of

the accused within the Diocese; (ii) revoke all permission for the accused to

provide or participate in any form of ministry within the Diocese, including

teaching; (iii) not allow the accused to live in a Diocesan parish; and (iv) report

on the Diocese’s website that the accused’s faculties have been suspended within

the Diocese pending investigation by the pertinent religious order or district

attorney without any implication as to the truth or falsity of the allegation.

Notwithstanding this Paragraph 23(c), the Bishop shall have the discretion not to

take the steps recited in (i) through (iv), above, if the Complaint is submitted

anonymously and does not reference at least one person (whether it be the alleged

victim, a non-victim complainant, or someone else) who can corroborate the

alleged abuse; in such cases, the Bishop shall document his decision not to place

the accused on administrative leave pending investigation of the Complaint and

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 his reason(s) for that decision. A copy of that record shall be placed in the

personnel file for all Personnel identified in the Complaint

Recordkeeping and Other Commitments

24. The Diocese will maintain written records of the following steps taken in

connection with the assessment and investigation of Complaints: any initial inquiry into whether

the Complaint is manifestly false or frivolous, any determination by the Bishop regarding

whether to place a Cleric on administrative leave pending an investigation of the Complaint, any

ensuing investigation of the Complaint, any recommendation from the IRB as to whether the

Complaint is substantiated or unsubstantiated, any determination by the Bishop or his designee

concerning the IRB’s recommendation, any referral to the DDF by the Bishop and the DDF’s

response, and the monitoring of Clerics in accordance with the Priest Supervision Program.

Complete copies of these records shall be provided for the Bishop’s and the IRB’s consideration

in the event any new Complaint is later made regarding the same individual.2 See OAG

Complaint, Prayer for Relief ¶ 1(ix).

25. The Diocese has adopted and will adhere to a whistleblower policy, in compliance

with N-PCL section 715-b, which prohibits any intimidation, harassment, discrimination,

retaliation, or adverse employment consequence against Personnel that, in good faith, reports any

action or suspected action that is illegal or violates the Governing Policies. This policy, attached

hereto as Exhibit D, shall remain on the Diocese’s website. See OAG Complaint, Prayer for

Relief ¶ 1(x).

2
See Policy and Procedures for the Protection of Children, Young People and Vulnerable Adults, as
revised October 2022 (Exhibit C), at 28.

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 26. The Diocese shall continue to institute all training programs provided for in the

Charter, the Essential Norms, and the Policy & Procedures and shall maintain records of such

programs. See OAG Complaint, Prayer for Relief ¶ 1(xi).

27. All Personnel shall continue to be made aware of the Code of Conduct, attached

hereto as Exhibit A, and be required to agree to it. The Diocese shall continue to publish the

Code of Conduct on its website.

28. The Diocese shall continue to fund the Victim Assistance Coordinator. Victims

shall be able to continue to make a Complaint or a Religious Order Allegation to the Victim

Assistance Coordinator or through the Diocese’s website as discussed in Part II(A), Paragraph 4,

above. The Diocese agrees that the Victim Assistance Coordinator will continue to offer

outreach to every person who has been the victim of sexual abuse by any Cleric. The outreach

may include counseling, support groups, and other social services agreed upon by the victim and

the Diocese. The Diocese agrees that settlement agreements entered into between the Diocese

and alleged victims shall not bind the parties to confidentiality unless the alleged victims request

confidentiality and those requests are expressly stated in the settlement agreements.

Process for Investigating Pending Complaints

29. If not already undertaken in substance, the following process applies to the

investigation of all Complaints pending as of the Effective Date that have proceeded past the

“Initial Inquiry” set out in Part III of the Policy & Procedures, other than (a) a Religious Order

Allegation or (b) a Complaint made against a Former Cleric: (i) the IRB will, within a reasonable

time after the Effective Date, appoint an independent (“independent” as described in Part II(A),

Paragraph 9) investigator to investigate; (ii) the investigator will be directed to complete the

investigation within forty-five days of the Effective Date, unless the investigator documents the

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need for a reasonable extension of time to complete the investigation; and (iii) at the conclusion

of the investigation, the investigator shall prepare a written report of the findings of the

independent investigation—including the process and sources of information for the

investigation—and submit the written report to the IRB; and (iv) the Diocese shall adhere to Part

II(A), Paragraphs 13 through 18.

B. The Audit of the Diocese’s Compliance with the Commitments

1. The Diocese shall submit to an annual, independent audit of its compliance with

the Commitments in this Stipulated Final Order (the “Compliance Audit”). See supra Part II(A).

2. The Compliance Audit shall be conducted by the Auditor. The Auditor agrees to

conduct the Compliance Audits in accordance with (a) this Stipulated Final Order; (b) as

applicable to the Compliance Audit, Chapter 8: Fieldwork Standards for Performance Audits of

the GAO’s Yellow Book; and (c) the Auditor’s engagement or retention letter with the Diocese,

which the OAG will review.

3. For each Audit Period for which the Auditor is engaged, the Auditor shall obtain

sufficient, appropriate evidence to provide a reasonable basis for addressing the objectives of the

Compliance Audit and supporting the Auditor’s findings and conclusions as to whether the

Diocese complied in all material respects with the Commitments as set forth in this Stipulated

Final Order. The Auditor shall describe in the Compliance Audit Report (see infra Part II(B),

Paragraphs 9-12) any significant limitations or uncertainties with the Auditor’s findings and

conclusions based on the Auditor’s overall assessment of the sufficiency and appropriateness of

the evidence in the aggregate, in accordance with Chapter 9 of the GAO’s Yellow Book.

4. The Auditor shall comply with and certify that it has complied with the

independence requirements set forth in the GAO’s Yellow Book. In addition, the Auditor shall

20
have no material familial, personal, financial, or prior business relationship with the Diocese or

with any accused Cleric associated with the Diocese. The Auditor is not an agent of the Diocese,

its counsel, or other representatives of the Diocese. The Auditor will be provided with a copy of

this Stipulated Final Order and shall acknowledge receipt of it in writing.

5. The Auditor shall have access to all documents, communications, information and

to all persons that the Auditor deems necessary to fulfill the Auditor’s role under this Stipulated

Final Order and to conduct the Compliance Audit in accordance with Chapter 8: Fieldwork

Standards for Performance Audits and Chapter 9: Reporting Standards for Performance Audits of

the GAO’s Yellow Book, and the Diocese shall ensure that the Auditor has access to such

documents, communications, information, and persons. This includes, among other things, all

written records created or required to be maintained in connection with the Commitments and the

Governing Policies. The Auditor shall have the right to request any additional evidence from the

Diocese, and to speak with the Diocese and any of its personnel, as the Auditor, in its

professional judgment, deems necessary to fulfill the Auditor’s role under this Stipulated Final

Order. The Auditor may request that the Bishop or other senior Diocesan official provide written

representations as to the accuracy and completeness of any information provided to the Auditor,

in accordance with the guidance set forth in Paragraph 8.97 of the GAO’s Yellow Book.

6. The Auditor shall retain its work papers for eight years after the Effective Date

and shall retain all materials and information provided to it by the Diocese for the entire time that

this Stipulated Final Order remains in effect, as determined in accordance with Part IV,

“Duration,” below.

7. The scope of the Auditor’s review shall be recorded in an audit plan, consistent

with Chapter 8 and Chapter 9 of the GAO’s Yellow Book, that includes specific steps to obtain

21
sufficient, appropriate evidence that provides a reasonable basis for findings and conclusions as

to whether the Diocese has complied with the Commitments in this Stipulated Final Order and

includes consideration of the matters discussed in Yellow Book Paragraph 8.39 to 8.65. The

Auditor shall provide the proposed audit plan to the OAG and the Diocese for their agreement in

advance of each Compliance Audit, but by no later than sixty days after the Effective Date, for

the first Audit Period, or sixty days after the anniversary of the Effective Date, for successive

Audit Periods. If the OAG and the Diocese are unable to agree on the audit plan or any aspect of

it, the Auditor shall resolve the dispute and finalize the audit plan by no later than thirty days

after the Auditor has provided the proposed audit plan to the OAG and the Diocese.

8. In order to assist the Auditor in evaluating the Diocese’s compliance with the

Commitments, within thirty days of the Effective Date, the Diocese shall provide the following

information to the Auditor as of the Effective Date of this Stipulated Final Order:

(a) a list of all Complaints, pending or currently under investigation by the

Diocese as of the Effective Date, including the name of the accused Cleric, the

status of the investigation, and the current monitoring plan (if any) for the accused

Cleric;

(b) a list of all Complaints referred to the DDF and awaiting a decision,

including the name of the accused Cleric, the date of referral, and the current

monitoring plan (if any) for the accused Cleric;

(c) a list of all Complaints awaiting further action from the Diocese after

receipt of DDF directives, including the name of the accused Cleric, the date and

substance of the DDF directive, and the current monitoring plan (if any) for the

accused Cleric; and

22
 (d) a list of all Clerics and living Former Clerics who have been directed to

live a life of prayer and penance, the date of that directive, and the current

monitoring plan (if any) for each such Cleric.

The Auditor’s Compliance Audit Report

9. The Auditor shall report separately its professional opinion, in writing and on an

annual basis, in accordance with the terms set forth herein and Chapter 9 of the GAO’s Yellow

Book, on whether the Diocese has complied with the Commitments during the Audit Period, see

supra Part II(A), (the “Compliance Audit Report”). If the Audit determines that the Diocese has

not complied with the Commitments during the Audit Period, the Compliance Audit Report shall

identify each instance of non-compliance. The Auditor shall separately report to the OAG and

the Diocese by letter, at the same time as it issues the final Compliance Audit Report, any

deficiency in internal controls that the Auditor deems significant to the objectives of the

Compliance Audit.

10. The Auditor shall provide a draft of the Compliance Audit Report to the Diocese,

with a copy to the OAG, by no later than ninety days after the end of the Audit Period. The

Diocese and the OAG shall each have thirty days from receipt of the draft of the Compliance

Audit Report to provide written comments, if any, to the Auditor, with a copy to the other party.

11. The Auditor shall review any written comments of the Diocese and the OAG in its

preparation of a final Compliance Audit Report. The Auditor shall issue a final Compliance

Audit Report by no later than sixty days after receipt of any written comments from the Diocese

or the OAG. The Auditor may elect to attach to the final Compliance Audit Report any written

comments from the Diocese and the OAG and to respond to specific matters raised by either

party.

23
 12. The final Compliance Audit Report shall be made available to the public on the

Diocese’s website within ten business days of the Diocese’s receipt of the final Compliance

Audit Report. The Auditor shall make reasonable efforts to maintain the confidentiality of any

sensitive information when drafting the report, consistent with relevant professional standards.

Specifically, the report shall not include, inter alia, personal identifying information about

individual complainants or other specific details from which the identity of an individual

complainant could be ascertained.

III. COMMITMENTS BY THE INDIVIDUAL DEFENDANTS

The Individual Defendants in this action, Richard J. Malone and Edward M. Grosz, agree

that they will not serve as a director, trustee, officer, or equivalent fiduciary position with any

charitable entity registered in the State of New York. This agreement by the Individual

Defendants shall not bar them from serving in a ministerial, pastoral, or spiritual role, within any

Diocese in New York State, or as a volunteer to any charitable entity registered in the State of

New York.

IV. DURATION

Other than Part II(B), this Stipulated Final Order shall remain in effect until five years

following the Effective Date, unless the Parties agree in writing to modify the term. Part II(B),

addressing the The Audit of the Diocese’s Compliance with the Commitments, shall remain in

effect for three Audit Cycles unless the OAG reasonably determines the independent audit

provisions should continue for up to an additional two Audit Cycles. The OAG shall present the

basis for any such extension of the independent audit provisions to the Diocese in writing within

forty-five days of the Auditor’s submission of the final Compliance Audit Report for the third

Audit Cycle. In the event that the Diocese disagrees with the OAG that there is a basis for

extending the independent audit provisions in Part II(B), the Diocese and the OAG shall meet

24
and confer. If, after this meet-and-confer process, the Diocese and the OAG cannot agree, the

Diocese may seek a resolution of the dispute from the Court and the Court shall then determine

after receiving submissions from the Diocese and the OAG, whether the independent audit

provisions shall continue for up to an additional two Audit Cycles.

V. DISPUTE RESOLUTION AND ENFORCEMENT

1. For the purposes of resolving disputes with respect to compliance with this

Stipulated Final Order, should the OAG have a reasonable basis to assert that the Diocese has

violated a provision of this Stipulated Final Order subsequent to the Effective Date, then the

OAG shall notify the Diocese in writing of the specific objection, identify with particularity the

provision of this Stipulated Final Order that appears to be in violation and facts supporting the

OAG’s assertion, and give the Diocese twenty-one days from receipt to respond to the

notification.

2. Within the twenty-one-day response period provided for in Part V, Paragraph 1,

above, the Diocese shall provide a good faith written response to the notification, containing

either a statement explaining why the Diocese believes it is in compliance with the Stipulated

Final Order, or a detailed explanation of how the alleged violation occurred and a statement

explaining how the Diocese intends to remedy the alleged violation. The OAG may agree, in

writing, to provide the Diocese with additional time beyond the twenty-one-day response period

without Court approval.

3. This Court will retain jurisdiction over this matter for purposes of enforcing the

Stipulated Final Order and granting such additional relief as necessary or appropriate. The OAG

may seek to enforce compliance with this Stipulated Final Order with this Court, but only after

providing the Diocese the opportunity to respond to a notice of violation of this Stipulated Final

Order, as set forth in Part V, Paragraphs 1 and 2, above.

25
 VI. NOTICE AND SUBMISSIONS

Unless otherwise specified in this Stipulated Final Order, whenever, under the terms of

this Stipulated Final Order, notice is required to be given or a document is required to be sent, it

shall be directed to the individuals at the addresses below, by e-mail and overnight mail, unless

those individuals or their successors give notice, in writing, of a change:

If to the Diocese to:

John D. Goetz, Esq.

JONES DAY
500 Grant Street, Suite 4500
Pittsburgh, Pennsylvania 15219
[email protected]

Todd R. Geremia, Esq.

250 Vesey Street
New York, New York 10281-1047
[email protected]

If to the Individual Defendants to:

Dennis C. Vacco, Esq.

Scott S. Allen, Jr., Esq.
LippesMathias LLP
50 Fountain Plaza, Suite 1700
Buffalo, NY 14202-2216
[email protected]
[email protected]

If to the OAG, to:

James Sheehan, Esq., Bureau Chief of the Charities Bureau

Emily Stern, Esq.
Office of the Attorney General
Charities Bureau
28 Liberty Street, 19th Floor
New York, NY 10005
[email protected]
[email protected]

or in their absence, to the person holding the title of Bureau Chief of the Charities Bureau
in the Office of the Attorney General.

26
 VII. ADDITIONAL PROVISIONS

1. This Stipulated Final Order fully and finally resolves all of the causes of action

asserted by the Plaintiff against the Defendants in this Action.

2. The terms of this Stipulated Final Order shall be governed by the laws of the State

of New York.

3. The terms of this Stipulated Final Order shall become effective immediately upon

the Effective Date and shall apply to all Complaints and Religious Order Allegations received by

the Diocese after the Effective Date and as provided in Part II(A), Paragraph 29 above.

4. The Parties represent and acknowledge that this Stipulated Final Order is the

result of extensive, thorough, and good faith negotiations. The Parties further represent and

acknowledge that the terms of this Stipulated Final Order have been voluntarily accepted, after

consultation with counsel, for the purpose of making a full and final compromise and settlement

of any and all claims arising out of the unique allegations set forth in the complaint in this

Action. This Stipulated Final Order shall have no precedential effect on, and shall not be binding

on, any person or entity other than the Parties in this Action.

5. No representation, inducement, promise, understanding, condition, or warranty

not set forth in this Stipulated Final Order has been made to or relied upon by the Parties in

agreeing to this Stipulated Final Order. This Stipulated Final Order shall be binding on and inure

to the benefit of the Plaintiff and the Defendants and their respective successors and assigns,

provided that no party, may assign, delegate, or otherwise transfer any of its rights or obligations

under this Stipulated Final Order without the prior written consent of the Plaintiff and

Defendants.

27
 6. This Stipulated Final Order is not intended to be used or submitted by any third

party in any other proceeding.

7. This Stipulated Final Order is not, is not intended to be, and should not be deemed

or construed as, an admission to any of the allegations in the complaint filed in this matter. The

Diocese and the Individual Defendants expressly agree and acknowledge that the Attorney

General may introduce this Stipulated Final Order as evidence in any proceeding to enforce the

terms of this Stipulated Final Order, in accordance with the Dispute Resolution provisions

outlined at Part V above.

8. This Stipulated Final Order may be modified by a stipulation of the Parties as

approved by the Court, or by proceedings before the Court resulting in a modified Stipulated

Final Order.

9. This Stipulated Final Order represents the full and complete terms of the

settlement entered into by the Plaintiff and Defendants. In any action or proceeding undertaken

in connection with this Stipulated Final Order, no prior or contemporaneous communications,

oral or written, or prior drafts of this Stipulated Final Order shall be relevant or admissible for

any purpose whatsoever.

10. This Stipulated Final Order shall not become effective unless and until it is so

ordered by the Court. If any provision of this Stipulated Final Order shall be held unenforceable,

the Stipulated Final Order shall be construed as if such provision did not exist.

11. The Plaintiff and Defendants agree that this Stipulated Final Order may be

executed in counterparts, each of which shall be deemed an original, but all of which together

shall constitute one and the same document. Execution and delivery of this Stipulated Final

Order by electronic means shall constitute execution and delivery of this Stipulated Final Order

28
for all purposes, with the same force and effect as execution and delivery of an original manually

signed copy hereof.

12. The Attorney General’s motion to remand this action (ECF No. 15) and motion to

determine whether the names of individuals referred to anonymously in the complaint in this

Action may be publicly disclosed in this action, and for other procedures in connection with that

request, (ECF No. 1) are hereby withdrawn without prejudice. Neither Party concedes any of the

issues in dispute in these motions.

APPROVED: For Defendants

Diocese of Buffalo and
Dated: New York, New York Bishop Michael W. Fisher:
October 24, 2022

Leon F. DeJulius, Jr.

Todd R. Geremia
JONES DAY
250 Vesey Street
New York, New York 10281-1047
Tel: (212) 326-3939
Fax: (212) 755-7306
[email protected]
[email protected]

John D. Goetz (pro hac vice)

JONES DAY
500 Grant Street, Suite 4500
Pittsburgh, Pennsylvania 15219
Tel: (412) 394-7911
Fax: (412) 394-7959
[email protected]

Attorneys for Defendants

Diocese of Buffalo and
Bishop Michael W. Fisher

29
 APPROVED: For Plaintiff, Letitia James, Attorney General
the State ofNew York:

t
Dated: New York, New York
October 24, 2022

Sheehan, Charities ureau Chief

L~0
Stern, Co-Chief of Enforcement
S ction, Charities Bureau
Danie Roque, Assistant Attorney General
Catherine Suvari, Assistant Attorney General
28 Liberty Street
New York, New York 10005
(212) 416-8401

SO ORDERED:

Dated: - - - - - - -
Hon. Ronnie Abrams,
U.S. District Judge

31
EXHIBIT A
Diocese of Buffalo Code of Conduct
For Priests, Deacons, Pastoral Ministers,
Administrators, Staff, and Volunteers
Code of Conduct
Adults who work with young people or vulnerable adults through the Diocese of Buffalo or any of its parishes or
schools have the legal, moral, and religious responsibility to perform their duties in a way that educates and assists –
and does not harm -- the young people and vulnerable adults with whom they work. In keeping with that obligation, the
Diocese of Buffalo has established the following Code of Conduct for all who minister to young people or vulnerable
adults in the parishes of the Diocese, teach young people in the schools of the Diocese, coach young people on sports
teams connected with the Diocese or any of its parishes or schools, or in any other way work with young people or
vulnerable adults through the Diocese of Buffalo. For purposes of this policy, the term “young people” or “young
person” means anyone under the age of 18, and the term “vulnerable adult” means a person who is impaired by
reason of mental illness, mental deficiency, physical illness, or disability to the extent that he or she lacks sufficient
understanding or capacity to make or communicate responsible decisions concerning his or her person or to manage
his or her affairs effectively.
As one of the priests and religious, teachers and coaches, employees and /or volunteers, who work with
children and young adults in or through the Diocese of Buffalo, I solemnly pledge that:
1) I will to the best of my ability, perform my work in a manner consistent with the mission of the Catholic Church and
the Diocese of Buffalo;
2) I will always remember that I am not a peer of the young people with whom I work and I will perform my duties
accordingly;
3) I will maintain appropriate physical and emotional boundaries from the young people and vulnerable adults with
whom I work;
4) I will avoid situations where I am alone with a young person at Church activities;
5) I will refrain from any and all physical conduct, conversations and other communications with young people or
vulnerable adults that have a sexual purpose or result;
6) I will not touch a young person and/or vulnerable adult in a sexual or other inappropriate manner;
7) If I learn of an allegation of abuse or if I suspect abuse, I will report that allegation or suspicion to the Victim
Assistance Coordinator (716-895-3010) and to the appropriate district attorney’s office;
8) I will cooperate fully in any investigation of abuse of young people and/or vulnerable adults;
9) I will treat everyone with respect, loyalty, patience, integrity, courtesy, dignity, and consideration;
10) I will use positive reinforcement rather than criticism, competition, or comparison when working with young people
and/or vulnerable adults;
11) I will neither accept expensive gifts from young people and/or vulnerable adults nor give expensive gifts to them
without prior written approval from the parents or guardians and from the pastor or administrator;
12) I will not smoke or use tobacco products in the presence of young people;
13) I will not use, possess, or be under the influence of alcohol while working with young people;
14) I will not use, possess, or be under the influence of illegal drugs at any time;
15) I will not pose any health risk to young people and/or vulnerable adults (i.e., no fevers or other contagious
situations);
16) I will not strike, spank, shake, or slap young people and/or vulnerable adults;
17) I will not humiliate, ridicule, threaten, or degrade young people and/or vulnerable adults;
18) I will not use any discipline that frightens or humiliates young people and/or vulnerable adults;
19) I will not use profanity in the presence of young people and/or vulnerable adults;
20) I will not acquire, possess, or distribute a pornographic image of a young person, nor will I show a pornographic
image of an adult to a young person.

I understand that this code is to be applied fairly and equitably on a case by case basis.

Page 1 of 2
I understand that whenever I am working with children and/or youth, as a volunteer or
employee, I am subject to a thorough background check including criminal history.
I further understand that this criminal background check will be conducted prior to
beginning my employment/assignment and thereafter at such times and frequencies as
determined by the agency, department, and/or organization by which I am employed and/or
to which I am assigned.
I understand that criminal background and character reference information may be
requested from public and private sources.
I understand that any action inconsistent with this Code of Conduct, or actions inconsistent
with Diocesan policies for the protection of children and young adults, or failure to take
action mandated by this Code of Conduct may result in removal from my position.
I also understand that this code of conduct does not abrogate or replace any other
obligations that I have under any applicable law, guideline, policy or regulation.
I hereby authorize, without reservation, any law enforcement agency, institution,
information service bureau, school, employer, reference, or insurance company contacted
by the Diocese of Buffalo or its agent to furnish the information described herein. I hereby
release the employer and agents and all persons, agencies, and entities providing
information or reports about me from any liability arising out of the requests for or release
of any of the information or reports herein.

Printed Name

Signature Date

Rev. January 19, 2017

Page 2 of 2
EXHIBIT B
 PLAN TO SUPERVISE PRIESTS WHO ARE DEEMED CREDIBLY ACCUSED
OF SEXUAL MISCONDUCT TOWARD A MINOR OR VULNERABLE ADULT
BY THE INDEPENDENT REVIEW BOARD AND BISHOP

Introduction: The Diocese of Buffalo is committed to the protection of children and vulnerable adults.
One part of that commitment is the monitoring of priests who have been credibly accused of sexual
misconduct of a minor or a vulnerable adult. The Diocese shall appoint an independent individual with
experience in the field of law enforcement (the “Monitor”) to develop individual monitoring plans for
priests against whom a Complaint has been deemed substantiated. The Monitor shall certify, before
monitoring any priest, that, other than his or her monitoring role, he or she lacks any material familial,
personal, financial, or employment relationship with the Diocese or the accused priest.

For each priest who has been judged credibly accused by the Independent Diocesan Review Board and
Bishop, the diocese will create and supervise an individualized monitoring plan that reflects the
following:

Priest’s biographical data and background.

Allegations and interventions (information on offenses so risk factors can be clear).

Canonical status of this case.

Health, mobility and cognitive status.

Restrictions. Every credibly accused priest agrees to certain prohibitions:

1. He is prohibited from exercising priestly ministry in all forms, including public celebration of the
mass, hearing confession wearing the Roman collar or clerical garb and being introduced as “Father.”
2. He is prohibited from providing spiritual direction, pastoral care counseling and all other forms
of ministry that may be provided by lay persons.
3. He is prohibited from viewing, downloading or otherwise possessing pornography or sexually
explicit materials of any kind.
4. He is prohibited from attending any place that features sexual performance such as a strip club
or “adult book store.”
5. He is prohibited from having a personal post office box.

Other prohibitions may be made based on an individual’s history of offence.

Each individualized plan will address the following elements for risk assessment and containment
purposes. As a result, the plan is dynamic and may change during the course of supervision:

1. Housing. The credibly accused pedophile must not live in close proximity to youth, not within
1,000 feet of a school, park or other place where children gather. The credibly accused priest may be
required to live in communal housing if such supervision is needed. Wherever he lives, the Monitor can
visit at any time unscheduled and unannounced. The Monitor may search, without a warrant, the

1
individual’s property and any property under his control if credible information exists that some
violation of this plan has been broached. (Property includes the subject’s person, vehicle, papers,
computer, or other electronic communication or data storage devices or media and effects.)

2. Internet Use. The credibly accused priest shall use only computers, cell phones, or other
internet connected devices authorized by the Monitor. The internet activity of the credibly accused
priest is available to the Monitor at any time. The Monitor is authorized to install a third-party
application on authorized connected devices to facilitate monitoring the priest’s compliance with this
plan.

3. The credibly accused priest is prohibited from viewing pornography in any format. Downloading
or otherwise possessing pornography or sexually explicit materials of any kind is forbidden.

3. Counseling. The priest may be required to attend individual or group counseling sessions. If so,
the priest must get a signed note from the counselor testifying to the priest’s participation in each
session. This verification will be given to the Monitor.

4. Support groups. The priest may be required to participate in a 12 STEP group (AA, OA, NA) or
other support group. If so, he must request a signed verification that he attended a session. This
verification is given to the Monitor at the next session.

5. Spiritual direction. The priest may be required to attend individual or group spiritual direction
sessions. If so, the priest must get a signed note from the spiritual director testifying to the priest’s
participation in each session. This verification will be given to the Monitor.

6. Travel. Travel overnight is to be done only after discussion with and advance approval of the
Monitor. Ordinarily, travel will be done with a companion aware of the priest’s sexual offending history
and approved by the Monitor. An itinerary must be submitted in advance and adhered to. Travel will not
include trips to child orientated places.

7. Frequency of monitoring meetings. The plan delineates how often the priest will meet
individually with the Monitor, though this will not to be less than monthly. Additional meetings may be
unscheduled and/or spontaneous at the Monitor’s discretion as required to monitor compliance with
the plan.

8. Family events. If the person is attending a family event where children are present, some
responsible adult, aware of the priest’s sexual offense history and authorized by the Monitor, must be
identified to provide appropriate supervision. The Monitor must be allowed to speak with that person
in regard to this event.

Supervision. Content of the monitoring meeting: In preparation of the monitoring meeting, the priest
will prepare a written summary of his accountability during the past month in each area of his plan. At
the monitoring meeting each aspect of the plan will be reviewed and the priest will be held accountable
for following the plan. Both the priest and the Monitor will date and sign the accountability report and
this will be filed in the priest’s personnel file.

Collaboration. The priest shall grant the Monitor authorization to communicate with all treatment
providers and collateral resources as necessary for verification purposes, continuity of care, and risk
management.

2
Accountability. If a priest is not adhering to his plan, a more restrictive living environment can be
required. If a priest is not adhering to his plan, his pension may be revoked entirely, following the “Plan
Document of the Secular Priests’ Retirement Plan of Diocese of Buffalo.”

3
EXHIBIT C
 DIOCESE OF BUFFALO

POLICY AND PROCEDURES

FOR THE PROTECTION OF CHILDREN, YOUNG PEOPLE
AND VULNERABLE ADULTS
REVISED October 2022

INTRODUCTION: PASTORAL STATEMENT

An essential part of the mission of the Church is the

promotion and protection of the rights and dignity of all
people. Christian principles dictate that we have a special
concern for those who are most vulnerable and those who cannot
fully care for themselves.

The abuse of children, young people, and vulnerable adults

by some members of the clergy and the ways in which those crimes
and sins were addressed have caused enormous pain, anger, and
confusion. The damage caused by that sexual abuse is devastating
and long lasting and is felt not only by the direct victims but
also by their families and communities.

At the same time, the problem of unethical sexual or

physical conduct, a form of exploitation, is one that
compromises the credibility of the Church’s ministers and
volunteers and adversely affects the image and effectiveness of
the entire Church. People place in their Church leaders a trust
that must never be violated by any person employed by or
volunteering services to the Church.

−1−
 With a firm determination to promote and honor that trust,
the Diocese of Buffalo renews its resolve to provide safety and
protection for children and vulnerable adults in Church
ministries and institutions.

Well before the issue of sexual misconduct by Church

personnel received widespread national attention, the Diocese of
Buffalo prepared a written policy to address abuse. This policy
was distributed to all our clergy in 1990. In June 2002, the
United States Conference of Catholic Bishops (USCCB) took steps
to ensure the Church’s vigilance in guarding against violations
of trust. In November 2002, the USCCB approved a revised Charter
for the Protection of Children and Young People (Charter) and
revised Essential Norms for Diocesan/Eparchial Policies Dealing
with Allegations of Sexual Abuse of Minors by Priests or Deacons
(Essential Norms). The Charter and Essential Norms are revised
periodically. See Charter for the Protection of Children and
Young People, Essential Norms, and Statement of Episcopal
Commitment (Promise to Protect - Pledge to Heal)(USCCB 2018).
https://www.usccb.org/test/upload/Charter-for-the-Protection-of-
Children-and-Young-People-2018-final(1).pdf

This policy of the Diocese of Buffalo is also revised

periodically. The “Commitments by the Diocese” set out in the
Stipulated Final Order in New York v. Diocese of Buffalo, No.
1:21-cv-00189 (S.D.N.Y.), are hereby incorporated into these
Policy and Procedures. The Diocese agrees that, during the term
of the Stipulated Final Order, it will not modify any of the
Commitments that have been incorporated into these Policy &
Procedures without a corresponding modification to the terms of
the Stipulated Final Order.

−2−
I. GENERAL POLICY AND DEFINITIONS

A. General Policy

Sexual and physical misconduct is contrary to

Christian principles and inconsistent with the mission
of the Church. All personnel of the Diocese of Buffalo
must comply not only with applicable state and local
laws regarding incidents of actual or suspected
misconduct but also with the procedures included in
this document, and they must exercise heightened
vigilance as required.

B. Definition of Terms

Child: Any person under 18 years of age.

Vulnerable Adult: A person who is impaired by reason

of mental illness, mental deficiency, physical
illness, or disability to the extent that he or she
lacks sufficient understanding or capacity to make or
communicate responsible decisions concerning his or
her person or to manage his or her affairs
effectively.

Child or Vulnerable Adult Abuse: Causing or

attempting or threatening to cause harm to a
child’s or vulnerable adult’s health or welfare,
to include damage to the physical or
emotional/psychological health and welfare of a

−3−
 child or vulnerable adult, resulting from non-
accidental physical or mental injury, incest,
sexual abuse, sexual exploitation, molestation,
or repeated negligent treatment or maltreatment.

Sexual Abuse of a Child or Vulnerable Adult:

Actual or attempted sexual molestation or sexual
exploitation of a child or vulnerable adult or
other behavior by which an adult uses a child or
vulnerable adult as an object of sexual
gratification.

Sexual abuse has been defined by different civil

authorities in various ways, and this policy,
like the Charter, does not adopt any particular
definition provided in civil law. Rather, the
transgressions in question relate to obligations
arising from divine commands regarding human
sexual interaction as conveyed to us by the Sixth
Commandment of the Decalogue.

Thus, the norm to be considered in assessing an

allegation of sexual abuse of a child or
vulnerable adult is whether conduct or
interaction with a child or vulnerable adult
qualifies as an external, objectively grave
violation of the Sixth Commandment. 1 A canonical

1 USCCB, Canonical Delicts Involving Sexual Misconduct

and Dismissal from the Clerical State, 1995, p. 6.

−4−
 offense against the Sixth Commandment 2 need not be
a complete act of intercourse; nor, to be
objectively grave, does an act need to involve
force, physical contact, or a discernible harmful
outcome. Moreover, “imputability [moral
responsibility] for a canonical offense is
presumed upon external violation . . . unless it
is otherwise apparent.” 3

The acquisition, possession, or distribution of

pornographic images of a child shall be
considered sexual abuse of a child. The showing
of pornographic images of an adult to a child
shall be considered sexual abuse of a child.

If there is any doubt whether a specific act

qualifies as an external, objectively grave
violation, the writings of recognized moral
theologians will be consulted and the opinions of
recognized experts will be obtained when
appropriate. 4 Ultimately, the Bishop, with the
assistance and advice of the Independent Diocesan
Review Board (see below), will determine the
gravity of the alleged act.

2 CIC, c. 1395 § 2; CCEO, c. 1453 § 1.

3 CIC, c. 1321 § 3; CCEO, c. 1414 § 2. Cf. CIC,
canons 1322-27 and CCEO, canons 1413, 1415 and 1416.
4 Canonical Delicts, p. 6.

−5−
Allegation: An accusation of child or vulnerable
adult abuse or sexual abuse of a child or
vulnerable adult regardless of whether the person
to whom the accusation is made believes it to be
true.

Chancery: The Bishop, Vicar General, and

Chancellor of the Diocese, and their staffs.

Cleric: A person ordained for service in the

Roman Catholic Church.

Complaint: An allegation of child or vulnerable

adult abuse or sexual abuse of a child or
vulnerable adult by personnel that is received by
the Diocese and contains sufficient detail to
identify the alleged abuse and the alleged
abuser(s). A complaint may include allegations of
a violation of the Code of Conduct’s prohibition
on behavior by personnel that constitutes
grooming. A form for written complaints is
attached as Appendix A.

Diocese: The Diocese of Buffalo.

Employee: A person who is compensated for work

performed for the Diocese, or for any of its
parishes or parish schools.

−6−
Former Cleric: A cleric who is deceased or an
individual who is included in the list of Priests
With Substantiated Claims of Abuse published on
the Diocese’s website.

Governing Policies: These Policy & Procedures,

the Charter for the Protection of Children and
Young People, adopted by the USCCB, as revised
June 2018 and any subsequent versions; The
Diocese’s Code of Conduct for Priests, Deacons,
Pastoral Ministers, Administrators, Staff, and
Volunteers, as revised January 19, 2017, and any
subsequent versions; The Essential Norms for
Diocesan / Eparchial Policies Dealing with
Allegations of Sexual Abuse of Minors by Priests
or Deacons, prepared by the Ad Hoc Committee on
Bishops’ Life and Ministry of the USCCB,
promulgated as revised June 17, 2005, and in all
subsequent versions; and The Plan to Supervise
Priests Who Are Deemed Credibly Accused of Sexual
Misconduct Toward a Minor or Vulnerable Adult by
the Independent Review Board and Bishop, dated
March 22, 2021 and any subsequent versions of the
same.

Independent Review Board: The Panel described in

this document (Part V, below).

Personnel: Individuals who, at the time a

complaint is made, are (a) employees; (b)
volunteers; (c) a Cleric or Former Cleric; or (d)

−7−
 working for the Diocese or at any of its parishes
or parish schools and belong to a religious
order.

Religious Order Allegation: An allegation of

sexual abuse of a child or vulnerable adult by a
member of a religious order who, at the time of
the alleged abuse or at the time the allegation
is made, works, teaches, ministers, or resides
within the Diocese. The allegation may assert a
violation of the Code of Conduct’s prohibition on
behavior by a member of a religious order that
constitutes grooming.

Stipulated Final Order: The Stipulated Final

Order in New York v. Diocese of Buffalo, No.
1:21-cv-00189 (S.D.N.Y.)

Victim Assistance Coordinator: An office

described in this document (Part V, below).

Volunteer: A person who works without

compensation on a regular basis for the Diocese,
or for any of its parishes or parish schools. A
volunteer is more than a one-time or occasional
worker.

C. Types of Abuse

−8−
 This policy is intended to address child or
vulnerable adult abuse and sexual abuse of a
child or vulnerable adult.

II. PROCEDURES FOR REPORTING SUSPECTED

ABUSE AND LEGAL REQUIREMENT

A. For Victims of Child or Vulnerable Adult Abuse or

Sexual Abuse of a Child or Vulnerable Adult and
Persons Who Become Aware of Such Abuse

The Diocese strongly urges all victims and families of

victims to report any instance of child or vulnerable
adult abuse or sexual abuse of a child or vulnerable
adult to the appropriate district attorney.
Additionally, anyone desiring to report allegations of
child or vulnerable adult abuse or sexual abuse of a
child or vulnerable adult to the Diocese of Buffalo
should (a) contact the Diocesan Victim Assistance
Coordinator at 716-895-3010 or
[email protected]; (b) go to the “Report
Misconduct” page on the Diocese’s website
(https://www.buffalodiocese.org/report-misconduct/)
for the Diocese’s online, confidential portal and a
link to report alleged abuse by a bishop or alleged
mishandling of allegations of sexual abuse by a
bishop. More information regarding complaints and how
to report a complaint can be found at the link on the
Diocesan website titled “Report Misconduct.”

−9−
 The Victim Assistance Coordinator will explain to the
person reporting the abuse or suspected abuse that the
Diocese cannot promise absolute confidentiality to a
complainant because of the responsibility of the
Diocese to report allegations of abuse to the civil
authorities and diocesan representatives as described
in this policy and because, if the accused is still
living, the Diocese will make the accused aware of the
report. The Victim Assistance Coordinator will also
explain, however, that the investigation of the
complaint will be kept as confidential as the
circumstances of an individual complaint will allow in
order that the reputations of both the complainant and
the accused are protected during the investigation.

B. For All Personnel

Any personnel who learns of an allegation of or

suspects

sexual abuse of a child or vulnerable

adult -- i.e., a person who is a child
or vulnerable adult at the time of the
suspicion or when the allegation
becomes known to the personnel,

sexual abuse of a person who was a

child at the time of the abuse but is
no longer a child, or

child or vulnerable adult abuse

− 10 −
 must report that allegation or
suspicion to the Victim Assistance
Coordinator (716-895-3010), and is
strongly urged to report to the
appropriate district attorney. The only
exception is if to do so would violate
the priest/penitent relationship of the
Sacrament of Reconciliation.

 A written or oral report of the incident

must be made as soon as possible to the
Victim Assistance Coordinator. The Victim
Assistance Coordinator will advise the
following of the report as soon as
practicable: the Bishop, the Vicar for
Clergy, the Child Protection Policy
Coordinator, and the Diocesan attorney. If a
written report has not been made previously,
the Victim Assistance Coordinator shall
interview the complainant, within ten days
of a complaint’s report, subject to
complainant cooperation and availability.
The Victim Assistance Coordinator shall then
prepare a written report of the complaint;

 The Victim Assistance Coordinator will

provide a copy of the written complaint to
the Bishop, the Vicar for Clergy, the Child
Protection Policy Coordinator, and the
Diocesan attorney within ten days of

− 11 −
 completing the complainant interview. The
Chancery will notify the diocesan insurance
administrator. The substance of all
complaints and the results of any initial
inquiries and investigations will be
presented to the Independent Review Board.

 A sample reporting form is attached to this

policy statement (Appendix A) and is
available on the diocesan website.

 Where the Diocese receives an allegation of

abuse that does not contain sufficient
detail to permit a review or investigation
of the alleged event(s), the Diocese shall
make reasonable efforts to contact the
complainant or his or her counsel to request
additional information about the allegation
so that it may be assessed and investigated
pursuant to this policy. The Diocese shall
document its efforts to contact the
complainant and such documentation shall be
included in the accused’s personnel file.

The foregoing reporting requirements are not intended to

supplant whatever reporting obligations may be imposed by
state or local laws.

All personnel will cooperate in any investigation by civil

authorities in accordance with the law of the jurisdiction
in question.

− 12 −
B. For The Chancery

The Chancery, through counsel, will report to the

appropriate district attorney any allegation of child
abuse or sexual abuse of a child.

The only other exception is if to report would violate

the priest/penitent relationship of the Sacrament of
Reconciliation.

The Chancery will cooperate with civil authorities by

reporting allegations of child abuse and sexual abuse
of a child even when the victim of the abuse is no
longer a child at the time when the allegations are
received by the Chancery.

The Chancery also will comply with any applicable

civil laws with respect to the reporting of
allegations of child abuse and sexual abuse of a child
to civil authorities and will cooperate in any
investigation by civil authorities in accordance with
the law of the jurisdiction in question. In every
instance, the Chancery will advise any person making
an allegation or complaint of that person’s right to
make a report to civil authorities, and the Diocese
will support that right and encourage its exercise.

− 13 −
III. INSTITUTIONAL RESPONSE TO COMPLAINTS AND ALLEGATIONS

When a complaint is made, it is understood that the

rights of all must be protected and that prompt and
incisive action is important in responding. Care will
be taken not to interfere with any investigation by
civil authorities and to be sensitive to the pastoral
care of the victim, the well being of the community,
and the fair treatment of the accused. Every effort
will be made to ensure that all persons involved will
be ministered to in a manner that is consistent with
the gospel values of dignity, compassion,
understanding, and justice.

Outreach: The Diocese will reach out to all victims of

abuse and make itself available to their families --
whether the abuse was recent or occurred many years
ago -- to promote their spiritual and emotional well-
being, their healing, and their reconciliation. The
Diocesan Bishop or his designee will offer to meet
with victims of abuse and their families to listen
with patience and compassion to their experiences and
concerns. The Diocese will provide counseling,
spiritual assistance, support groups, and other social
services as agreed by the Diocese and the victim.
Local parishes are encouraged to foster support groups
for victims and others affected by abuse. The Diocese
and its parishes will cooperate with social services
agencies and other churches to provide support for
victims and their families.

− 14 −
Initial Inquiry: Upon receiving a written complaint from
the Victim Assistance Coordinator, the Vicar for Clergy
will conduct or appoint an individual to conduct a prompt
initial inquiry regarding any complaint other than (a) a
Religious Order Allegation or (b) a complaint against a
Former Cleric. The initial inquiry shall be completed
within no more than ten business days from when the Vicar
for Clergy or his designee receives a written report of the
complaint, unless there are extenuating circumstances, in
which case the circumstances will be documented. As part of
that initial inquiry, if the identity of the accused can be
determined and that person is a member of the diocesan
personnel, the accused individual will be notified of the
particulars of the allegations and advised of the right to
be represented by civil and/or canonical counsel.

If the initial inquiry results in a determination that the

complaint is manifestly false or frivolous, the Vicar for
Clergy or his designee will generate a written memorandum
for the file to document the basis for that conclusion.
That memorandum will be provided to the Bishop and the
Independent Review Board for review and will be added to
the personnel record for all personnel identified in the
complaint.

If a complaint, other than (a) a Religious Order Allegation

or (b) a complaint against a Former Cleric, is not
manifestly false or frivolous and is deemed by the Bishop
or Vicar General or his designee to be serious, the accused
will be relieved of responsibilities and placed on
administrative leave, pending the outcome of the

− 15 −
investigation (discussed below). The leader of the
employing entity, in consultation with the Bishop or Vicar
General, shall decide whether such leave is with or without
pay or benefits.

This relief from administrative responsibilities is for

investigation purposes only and is not intended to, nor
shall it, imply any determination as to the truth or
falsity of the complaint or the innocence or guilt of the
individual involved.

In the case of a cleric, the relief from administrative

responsibilities shall be recorded in a decree, which shall
include restrictions that, during the pendency of the
investigation, the accused cleric cannot present himself as
a priest or deacon or, in the case of a priest, reside in
the parish he serves at the time the Complaint is made or
where the alleged abuse is alleged to have occurred. The
Vicar for Clergy shall supervise the cleric’s compliance
with this decree.

The diocesan communications office shall report on the

Diocese’s website on the determination to place a cleric on
administrative leave pending the investigation, without any
implication as to the truth or falsity of the complaint.

For a Complaint against a cleric that is submitted

anonymously and does not reference at least one person who
can corroborate the alleged abuse (whether it be the
alleged victim, a non-victim complainant, or someone else),
the Bishop shall have the discretion not to place the

− 16 −
cleric on administrative leave pending the investigation.
In such cases, the Bishop shall document his decision not
to place the accused on administrative leave pending the
investigation and his reason(s) for that decision. A copy
of that record shall be placed in the personnel file for
all Personnel identified in the anonymous Complaint.

Investigation: For a complaint that is referred to the

Independent Review Board for investigation, the
accused individual will be informed that the alleged
incident is being investigated and will be given every
opportunity to respond to the complaint. The accused
may be requested to seek, and may be urged voluntarily
to comply with, an appropriate medical and
psychological evaluation at a facility mutually
acceptable to the Diocese and the accused.

Within no more than ten business days after the

complaint is referred to the Independent Review Board,
the Board will appoint an investigator. The
investigator shall be a person of integrity and skill
with significant experience conducting investigations
and shall not be a member of the Chancery, a priest or
employee of the Diocese. The independent investigator
shall certify before each investigation that, other
than his or her investigative role, he or she lacks
any material familial, personal, financial, or
employment relationship with the Diocese, the accused
cleric, or the complainant. The investigator will be
directed to complete the investigation within 45 days
of his or her appointment, unless circumstances

− 17 −
dictate the need for more time, in which case the
circumstances shall be documented in the
investigator’s report. The appointed investigator will
obtain legal advice, both civil and canonical, as
necessary.

When a complaint of child or vulnerable adult abuse or

sexual abuse of a child or vulnerable adult involves a
priest or deacon, the investigation will be initiated
and conducted promptly and objectively in harmony with
Canon Law. 5 All appropriate steps shall be taken to
protect the reputation of the accused during the
investigation.

The accused shall have the right

 to present evidence to the investigator,

 to be represented by civil and/or canonical

counsel,

 to be notified of the particulars of the

allegations, and

 to due process of law in accordance with canon

law.

5 CIC, c. 1717; CCEO, c. 1468.

− 18 −
The accused will be encouraged to retain the
assistance of civil and canonical counsel and will be
notified promptly of the results of the investigation.

At the conclusion of the investigation, the

investigator shall submit a written report of the
findings of the independent investigation, including
the process and sources of information for the
investigation, and submit the written report to the
Independent Diocesan Review Board. After such
additional inquiries as it may deem necessary and
after deliberation, the Independent Diocesan Review
Board shall submit a written recommendation to the
Bishop about whether the allegations of the complaint
should be found substantiated or unsubstantiated. The
written recommendation shall set out the basis for the
recommendation and may refer to or rely upon the
investigator’s written report. The Independent Review
Board shall recommend that the Bishop find that a
complaint substantiated where the Independent Diocesan
Review Board determines, on the basis of the totality
of facts, circumstances, documents, and any testimony
or in-person statements presented to the Independent
Review Board that it is more likely than not that the
alleged abuse occurred. The written recommendation
shall indicate whether the Independent Review Board
members are unanimous in support of the
recommendation. Where the Independent Review Board has
recommended that that allegations of the complaint
should be found substantiated, the fact of that

− 19 −
recommendation by the Independent Review Board shall
be placed on the diocesan website.

A Complaint against a Former Cleric shall be referred

expeditiously to the Independent Review Board, which
shall then determine whether to appoint an independent
investigator to investigate the Complaint. In making
that determination, the Independent Review Board shall
consider whether (a) the allegations in the Complaint
implicate personnel in addition to the Former Cleric,
including by alleging that such personnel failed to
monitor the Former Cleric or failed to adequately
respond to allegations of abuse by that Former Cleric
or (b) the investigation is likely to provide material
information that would improve the Governing
Policies. The Independent Review Board may also, in
its discretion, consider other factors in making this
determination. In the event that the Independent
Review Board determines that an investigator should be
appointed, the provisions set forth herein concerning
the conduct of the investigation shall apply, but the
provisions for the timing of the appointment of an
investigator shall not apply. In such an instance, the
investigator need not be appointed within ten business
days of when a complaint is referred to the
Independent Review Board but shall instead be
appointed by the Independent Review Board within a
reasonable time after the Independent Review Board
determines that an investigator should be appointed.

− 20 −
When the Bishop determines that a complaint against a
Cleric is substantiated, the accused’s name will be
added to the list of Priests With Substantiated Claims
of Abuse and, when the accused is a Cleric in ministry
within the Diocese, announced in the parish where the
Cleric is assigned and any other institution where the
Cleric was assigned. The Diocese shall similarly
publicize on its website all disciplinary actions
taken as a result of an investigation, a subsequent
canonical trial, or a referral to the Dicastery for
the Doctrine of the Faith and, where applicable,
announce such disciplinary action in the parish and
any other institution where the accused Cleric was
assigned. The Bishop shall then apply the
precautionary measures mentioned in CIC, canon 1722,
or CCEO, canon 1473: i.e., he shall

 continue the administrative leave or remove the

accused from sacred ministry or from any
ecclesiastical office or function,

 impose or prohibit residence in a given place or

territory,

 prohibit public celebration of the Most Holy Eucharist

pending the outcome of the process, and

 where feasible, create a safety plan around the priest

in an effort to protect children from abuse.

− 21 −
Legal Rights and Duties: Any personnel of the Diocese
who

admits or is determined by the Bishop or

Vicar General to have committed

even a single act of child or vulnerable

adult abuse or sexual abuse of a child or
vulnerable adult

shall immediately be terminated from

employment or volunteer service and from any
position of responsibility with the Diocese
and any of its parishes, schools, and
institutions.

When even a single act of child or vulnerable adult

abuse or sexual abuse of a child or vulnerable adult
by a priest or deacon is admitted or is established
after an appropriate process in accord with canon law,
the offending priest or deacon will be removed
permanently from ecclesiastical ministry, not
excluding dismissal from the clerical state if the
case so warrants. 6 The cleric will be removed from
ministry whether or not the cleric is diagnosed by
qualified experts as a pedophile or as suffering from
a related sexual disorder that requires professional
treatment. Any cleric removed from ministry will be
offered professional assistance for his own healing

6 CIC, c. 1395 § 2; CCEO, c. 1453 § 1.

− 22 −
and well-being, as well as for the purpose of
prevention.

In every case involving canonical penalties, the

processes provided for in canon law must be observed,
and the various provisions of canon law must be
considered. 7 The Dicastery for the Doctrine of the
Faith shall be notified, as appropriate. Unless the
Dicastery for the Doctrine of the Faith calls the case
to itself because of special circumstances, the Bishop
will proceed as directed. 8

Because sexual abuse of a child or vulnerable adult is

a grave offense, if the case would otherwise be barred
by prescription, the Bishop shall apply to the
Dicastery for the Doctrine of the Faith for a
dispensation from the prescription (time limits),
while indicating appropriate pastoral reasons. For the
sake of due process, the accused will be encouraged to
retain the assistance of civil and canonical counsel.
When necessary, the Diocese will supply canonical
counsel to a priest or deacon.

Strict observance of canon and civil law will assist

in the protection of all parties involved and will

7 Cf. Canonical Delicts Involving Sexual Misconduct and

Dismissal from the Clerical State, 1995; Letter from
the Congregation for the Doctrine of the Faith, May
18, 2001.
8 Article 13, “Procedural Norms” for Motu proprio
Sacramentorum Sanctitatis tutela, AAS, 93, 2001, p.
787.

− 23 −
demonstrate that each individual’s rights were fully
respected and all privileges provided by law
maintained.

If the penalty of dismissal from the clerical state

has not been imposed (e.g., for reasons of advanced
age or infirmity), the offender ought to lead a life
of prayer and penance. He will not be permitted to
celebrate Mass publicly, to administer the sacraments,
to wear clerical garb, or to present himself publicly
as a priest.

At all times, the Bishop has the executive power of

governance, through an administrative act, to remove
the offending cleric from office, to remove or
restrict his faculties, or to limit his exercise of
priestly ministry.

The Bishop may exercise his executive power of

governance to take one or more of the following
administrative actions: 9

(a) He may request that the accused freely

resign from any currently held
ecclesiastical office; 10

(b) If the accused declines to resign, and

if the Bishop judges the accused to be

9 CIC, cc. 381, 129, ff.; CCEO, cc. 178, 979, ff.
10 CIC, cc. 187-189; CCEO, cc. 967-971.

− 24 −
 truly not suitable 11 at that time for
holding an office previously freely
conferred, 12 then the Bishop may remove
the accused from office, observing the
required canonical procedures; 13

(c) For a cleric who holds no office in the

Diocese, the Bishop may
administratively remove any previously
delegated faculties, 14 while any de jure
faculties may be removed or restricted
by the competent authority as provided
in law; 15

(d) The Bishop may also determine that the

circumstances surrounding a particular
case constitute the just and reasonable
cause for a priest to celebrate the
Eucharist only privately (that is, with
no member of the faithful present), 16
and the Bishop then shall forbid the

11 CIC, c. 149 § 1; CCEO, c. 940.

12 CIC, c. 157.
13 CIC, cc. 192-195, 1740-1747; CCEO, cc. 974-977,
1389-1396.
14 CIC, cc. 391 § 1 and 142 § 1; CCEO, cc. 191 § 1
and 992 § 1.
15 E.g., CIC, c. 764; CCEO, c. 610 §§ 2-3.
16 CIC, c. 906.

− 25 −
 priest to celebrate the Eucharist other
than privately and to administer the
sacraments, for the good of both the
Church and the priest’s own good; 17

(e) Depending upon the gravity of the case,

the Bishop may also dispense 18 the
cleric from the obligation of wearing
clerical attire, 19 and may urge the
cleric not to wear clerical attire, for
the good of both the Church and the
cleric.

These administrative actions shall be taken in writing

and by means of decrees 20 so that the cleric affected
is afforded the opportunity of recourse in accord with
canon law. 21

The priest or deacon may at any time request a

dispensation from the obligations of the clerical
state. In exceptional cases, the Bishop may request of
the Holy Father the dismissal of the priest or deacon

17 The priest shall be permitted to administer the sacraments in the

case of a true emergency.

18 CIC, cc. 85-88; CCEO, cc. 1536 § 1 - 1538.

19 CIC, c. 284; CCEO, c. 387.

20 CIC, cc. 47-58; CCEO, cc. 1510 § 2, 1°-2°, 1511, 1513

§§ 2-3 and 5, 1514, 1517 § 1, 1518, 1519 § 2, 1520.
21 CIC, cc. 1734 ff.; CCEO, cc. 999 ff.

− 26 −
from the clerical state ex officio, even without the
consent of the priest or deacon.

Referral to the Dicastery for the Doctrine of the

Faith: Within four weeks after reviewing a
recommendation from the Independent Review Board, the
Bishop shall determine whether to refer a complaint to
the Dicastery for the Doctrine for the Faith and, when
the Bishop has determined that such a referral is
warranted, the Dicastery for the Doctrine of the Faith
shall be notified within ten weeks of the Bishop’s
determination to refer a complaint to the Dicastery
for the Doctrine of the Faith, unless circumstances
dictate the need for more time to complete the
referral, in which case the circumstances shall be
documented. In the event that the Bishop disagrees
with the Independent Review Board’s recommendation,
the Bishop shall issue a written response to the
Independent Review Board that states the basis for his
determination. In such cases, (a) the Bishop shall
also consider whether to request that additional
investigation should be conducted and, if so, whether
any decree of administrative leave imposed on the
accused should remain in place pending the completion
of any such additional investigation and (b) copies of
the Bishop’s written response to the Independent
Review Board shall be provided to (i) the Vicar for
Clergy and (ii) the Auditor appointed pursuant to the
Stipulated Final Order, during the Auditor’s term in
accordance with the Stipulated Final Order.

− 27 −
Records and Reports: Appropriate records will be kept
of each complaint and investigation and the Diocese’s
training programs. Records will include the complaint,
the result of any initial inquiry, any determination
by the Bishop regarding whether to place a cleric on
administrative leave pending an investigation, the
report of the investigator to the Independent Review
Board, its recommendation to the Bishop. In the case
of a cleric, the records will include any
determination by the Bishop or his designee concerning
the recommendation of the Independent Review Board,
the decrees and any materials sent to the Dicastery
for the Doctrine of the Faith and its response, and
the monitoring of clerics in accordance with the
Priest Supervision Program. Records shall be
confidential and be kept securely at the Bishop’s
office, with access limited to the Bishop, the Vicar
General, the Chancellor, the assigned investigator,
the Independent Review Board, and counsel for the
Diocese. Complete copies of these records shall be
provided for the Bishop’s and the Independent Review
Board’s consideration in the event any new complaint
is made regarding the same individual.

The Independent Review Board will be notified of any

complaint, suspicion, or incident.

In accordance with the terms of applicable insurance

policies, insurers also will be notified of any
complaint or incident.

− 28 −
 Unfounded Complaints: The Diocese will take every
reasonable step to ensure that care is taken to
protect the rights of all parties involved,
particularly those of the person alleged to have been
sexually abused and the person against whom the
complaint has been made. When a complaint has been
determined to be unfounded, the Diocese will take
every reasonable step to restore the good name of the
person falsely accused.

Supplementary Review: When a new complaint is made

regarding a person who was previously accused of
abuse, or when new and previously unavailable
information comes to light about a determination
previously made, the Bishop and the Independent Review
Board shall consider that information in exercising
their responsibilities under these Policy & Procedures
as they consider the new complaint or reopen a
previously determined complaint.

IV. TRANSFERS AND NEW ASSIGNMENTS

When a cleric is proposed for a new assignment or

transfer within the Diocese, the Chancellor or Vice
Chancellor will check the personnel file of the cleric
before transfer.

In letters of suitability or good standing for a

cleric incardinated in the Diocese, the Diocese will
state whether the cleric is in compliance with the
Diocese’s Safe Environment Program and whether there

− 29 −
is anything in the cleric’s background that makes him
unsuitable to work with minors or vulnerable adults.

The Diocese will not transfer any priest or deacon who

has committed an act of child or vulnerable adult
abuse or sexual abuse of a child or vulnerable adult
to a new assignment within the Diocese or to another
diocese/eparchy or religious province.

When a cleric is proposed

for a new assignment or transfer,

for residence in another diocese or eparchy,

or residence in a country other than the
United States, or

for residence in a local community of a

religious institute,

the Bishop (for Diocesan priests) or

religious superior (for religious order priests)

will forward to the Bishop or religious superior

of the proposed new assignment or residence

an accurate and complete report of information about

any act of sexual abuse concerning the cleric,
information about any Complaint and its status, and

− 30 −
 any other information indicating that the cleric has
been or may be a danger to minors.

Before a diocesan priest or deacon can be transferred

for residence to another diocese/eparchy or religious
province, or before a diocesan priest or deacon can -–
with the Bishop’s knowledge –- be present for an
extended period of time in another diocese/eparchy or
religious province,

the Bishop will forward,

in a confidential manner

to the local bishop/eparch or religious

ordinary (if applicable) of the proposed
place of residence,

any and all information concerning any act of

child or vulnerable adult abuse or sexual abuse
of a child or vulnerable adult, including
information concerning any Complaint and its
resolution, and

any and all information indicating that the

priest or deacon has been or may be a danger
to children or vulnerable adults.

This will apply even if the priest or deacon will

reside in the local community of an institute of
consecrated life or society of apostolic life (or, in

− 31 −
 the Eastern Churches, as a monk or other religious, in
a society of common life according to the manner of
religious, in a secular institute, or in another form
of consecrated life or society of apostolic life).

Whenever the Bishop receives a priest or deacon from

outside the Diocese,

the Bishop will obtain

all relevant information regarding the

background of that priest or deacon,
including any information regarding any past
act of child or vulnerable adult abuse or
sexual abuse of a child or vulnerable adult
by that priest or deacon.

The Diocese will cooperate with the Apostolic

Visitation of any seminary or religious house of
formation recommended in the Interdicasterial Meeting
with the Cardinals of the United States and the
Conference Officers in April 2002. The Diocese will
develop systematic ongoing formation programs, in
keeping with the Conference document Basic Plan for
the Ongoing Formation of Priests (2001), so as to
assist priests in living out their vocation.

V. OFFICES TO ASSIST THE DIOCESE

− 32 −
Auditor: The person or entity appointed pursuant to
the Stipulated Final Order to conduct an annual,
independent audit of the Diocese’s compliance with its
Commitments in the Stipulated Final Order for the
period and under the terms as set forth in the
Stipulated Final Order. Part II.B of the Stipulated
Final Order, addressing “The Audit of the Diocese’s
Compliance with the Commitments” is hereby
incorporated into these Policies & Procedures.

Child Protection Policy Coordinator: A senior Diocese

official who shall report directly to the Bishop. The
Child Protection Policy Coordinator shall be
responsible for:
(a) ensuring that the Governing Policies are
followed;
(b) notifying the Bishop when the Governing Policies
are not followed;
(c) providing advice to the Bishop concerning the
Diocese’s compliance with the Governing Policies;
(d) providing advice to the Bishop on updates or
modifications to improve the effectiveness of the
Governing Policies; and
(e) overseeing the Priest Supervision Program.

Victim Assistance Coordinator: The Diocese has

established and will continue to support the Diocesan
Victim Assistance Coordinator. The Victim Assistance
Coordinator will offer assistance and immediate
pastoral care to any person who claims to have been
the victim of sexual abuse of a child by priests,

− 33 −
deacons, or other Diocesan personnel, and, within the
discretion of the Chancery, to anyone else needing
similar assistance or care. The Victim Assistance
Coordinator will also be responsible for preparing a
written complaint if one has not been prepared already
by the complainant.

Independent Review Board: The Independent Review Board

functions as a confidential consultative body to the
Bishop in discharging his responsibilities. The
Independent Review Board advises the Bishop in his
assessment of allegations or suspicions of child or
vulnerable adult abuse and sexual abuse of a child or
vulnerable adult, and in evaluating suitability for
ministry or employment. The Independent Review Board
will review and, if appropriate, revise this policy no
less often than once every five years. The Independent
Review Board will meet periodically and offer advice
on all aspects of allegations or suspicions of child
or vulnerable adult abuse and sexual abuse of a child
or vulnerable adult, whether retrospectively or
prospectively.

The Independent Review Board must be composed of at

least five (5) persons of outstanding integrity and
good judgment in full communion with the Church and
such additional members as may be approved by the
Bishop. The majority of the Independent Review Board
members must be lay persons who are not employed by
the Diocese, but at least one member must be a priest
who is an experienced and respected pastor in the

− 34 −
 Diocese and at least one member must be a person with
particular expertise in the treatment of sexual abuse
of a child. Each member is appointed by the Bishop for
a term of five (5) years, which can be renewed at the
sole discretion of the Bishop.

VI. SAFE ENVIRONMENT PROGRAM

The Diocese has established a Safe Environment

Program. All diocesan offices, parishes, schools, and
other organizations must participate in this program
by:

ensuring that all personnel agree to and

execute the Code of Conduct;

participating in the Diocese-wide education

program designed to educate parents, children,
and all personnel who have regular contact with
children and young adults.

The Code of Conduct shall be available on the Diocese’s website.

VII. EDUCATIONAL EFFORTS

The Diocese of Buffalo recognizes that to fully

address the problem of sexual or physical misconduct
by church personnel, the Diocese must continue its
comprehensive program of education designed to create
an atmosphere of understanding that will help maintain
the integrity of ministry in the church.

− 35 −
The educational efforts of this policy will continue
to focus on:

 Working definitions of sexual abuse within

pastoral and ministerial relationships;

 Characteristics of coercive and exploitive

sexual behavior;

 Strategies for maintaining the integrity of

ministerial relationships; and

 Reporting responsibilities for those aware

of possible sexual misconduct or harassment.

The educational component of this policy has

prevention of sexual misconduct as its goal and will
provide intervention strategies when sexual misconduct
has already taken place.

The following personnel (lay, religious, and clerical)

of the Diocese and its parishes, schools, and other
institutions, and such other personnel as the Bishop
or Vicar General may require from time to time, must
attend designated educational programs on methods of
recognizing, reporting, and preventing sexual
misconduct involving children or others:

 All priests and deacons engaged in

ministry in the Diocese of Buffalo;

− 36 −
  Pastoral associates;

 Administrators (schools and religious

education);

 Teachers and teachers aides;

 Coaches and scout leaders;

 And any other person whose status as

an employee or volunteer involves regular
contact with children, young adults, or
other vulnerable populations.

VIII. STANDARDS OF BEHAVIOR

All clergy, Diocesan and parish employees, volunteers,

and other church personnel -- including and especially
those who have regular contact with children and young
adults -- must maintain the following boundaries and
standards of behavior:

 They must refrain from child or vulnerable adult

abuse and sexual abuse of a child or vulnerable
adult, as defined under I(A) above;

 They must avoid any physical or verbal contact of

any kind with a child or vulnerable adult that
has the purpose of, or results in, their sexual
excitement or gratification;

− 37 −
  They must never use their role as a
member of the clergy, an employee, a
volunteer, or any other Church position
to enter into a sexual relationship or
encounter with a child or vulnerable adult;

 They must execute and abide by the terms

of the Code of Conduct, attached as Appendix B.

IX. RELIGIOUS ORDERS

All members of a religious order who work, teach, minister,

or reside within the Diocese shall be required to agree to
the Code of Conduct. The Victim Assistance Coordinator and
other means available to victims to report a Complaint
against Personnel shall be available to report Religious
Order Allegations. The Diocese shall proceed as follows
with respect to such Religious Order Allegations:

(a) The Diocese shall report the Religious Order

Allegation to the appropriate district attorney and to
the applicable religious order when the religious
order is not otherwise on notice of the allegation
(through the filing of a civil lawsuit or otherwise).

(b) The Vicar for Clergy will conduct or appoint a

specific individual to conduct an initial inquiry into
any Religious Order Allegation against a person who
works, ministers, teaches, or resides within the
Diocese at the time the allegation is made, in
accordance with the procedure set out above.

− 38 −
 (c) If an initial inquiry by the Vicar for Clergy or
his designee of a Religious Order Allegation finds
that the allegation is not manifestly false or
frivolous, the Bishop shall, pending any investigation
of the Religious Order Allegation by the pertinent
religious order or district attorney, (i) suspend the
priestly faculties of the accused within the Diocese;
(ii) revoke all permission for the accused to provide
or participate in any form of ministry within the
Diocese, including teaching; (iii) not allow the
accused to live in a Diocesan parish; and (iv) report
on the Diocese’s website that the accused’s faculties
have been suspended within the Diocese pending
investigation by the pertinent religious order or
district attorney without any implication as to the
truth or falsity of the allegation. Notwithstanding
the foregoing, the Bishop shall have the discretion
not to take the steps recited in (i) through (iv),
above, if the complaint is submitted anonymously and
does not reference at least one person (whether it be
the alleged victim, a non-victim complainant, or
someone else) who can corroborate the alleged abuse;
in such cases, the Bishop shall document his decision
not to place the accused on administrative leave
pending investigation of the complaint and his
reason(s) for that decision. A copy of that record
shall be placed in the personnel file for all
personnel identified in the complaint.

X. PROCEDURES FOR SCREENING

− 39 −
Applicants/Employees/Volunteers

Screening is required of all applicants for a position

as an employee or volunteer (“applicants”).

The form attached to this policy as Appendix C is

provided to assist with the screening of applicants
who seek to serve the Church in the Diocese and is
required for all applicants for personnel positions.

In addition, this form must be completed by all

current members of the clergy, employees, and
volunteers. The Diocese will review the personnel file
of each member of the clergy, diocesan employee,
diocesan volunteer, and other diocesan personnel to
ensure that this form is in each file. All parishes in
the Diocese will likewise review the personnel file of
each parish employee and volunteer. The Vicar General
(for the Diocese), or the pastor (for each parish and
parish school), will have the responsibility of
approving each applicant, or current employee or
volunteer. If the Vicar General or pastor has any
question about a given applicant, or about a diocesan
or parish employee or volunteer, he will forward that
person’s personnel file to the Independent Review
Board for its review and recommendation. These files
will be maintained as a permanent record by the parish
or institution. In addition, the Diocese and its
parishes, schools, and institutions will evaluate the
background of all of their respective personnel who
have regular contact with children.

− 40 −
 Priests and Deacons

The Diocese will employ careful screening and

evaluative techniques in deciding the fitness of
candidates for ordination. 22

XI. COMMUNICATION

The Diocese is committed to open and transparent

communication.

Any settlement agreement entered into between the

Diocese with respect to a complaint shall not bind the
parties to confidentiality unless the claimant
requests confidentiality and that request is expressly
stated in the settlement agreement.

In order to coordinate the response of the Diocese to

the media, any media inquiries regarding an incident
of reported sexual misconduct by personnel of the
Diocese must be directed to the Diocesan Director of
Communications. Likewise, any inquiries directed to
members of the Independent Review Board or to any
personnel of the Diocese regarding this policy must be
directed to the Diocesan Director of Communications.
Unless the Bishop directs otherwise, the Diocesan
Director of Communications will be the sole

22 Cf. National Conference of Catholic Bishops, Program

of Priestly Formation, 1993, no. 513.

− 41 −
spokesperson for the Diocese for matters addressed in
this policy.

Within the confines of respect for the privacy and the

reputation of the individuals involved, the Diocese
will communicate as openly as possible with the
community. This is especially so with regard to
assisting and supporting parishes, schools, and other
diocesan institutions directly affected by ministerial
misconduct involving children. Recognizing the harm
that child or vulnerable adult abuse or sexual abuse
of a child or vulnerable adult can do to a faith
community, the Chancery will offer a pastoral response
to the affected parish, school, or institution.

The Diocese has adopted and will adhere to a

whistleblower policy, in compliance with New York law,
which prohibits any intimidation, harassment,
discrimination, retaliation, or adverse employment
consequence against Personnel that, in good faith,
reports any action or suspected action that is illegal
or violates the Governing Policies. This whistleblower
policy is posted on the Diocese’s website.

− 42 −
I HEREBY AUTHORIZE THIS POLICY RELATING TO CHILD AND VULNERABLE
ADULT ABUSE AND SEXUAL ABUSE OF A CHILD OR VULNERABLE ADULT AS
THE OFFICIAL POLICY OF THE DIOCESE OF BUFFALO. THIS POLICY IS
EFFECTIVE IMMEDIATELY AND I AUTHORIZE ITS IMPLEMENTATION IN THE
DIOCESE OF BUFFALO.

Most Rev. Michael W. Fisher

Bishop of Buffalo
October 2022
Chancellor:

October 2022

− 43 −
 APPENDIX A

COMPLAINT OF ABUSE TO THE DIOCESE OF BUFFALO

[DATE]

What is your name, address and telephone number?

Name:
Address:

Phone:

What is your relationship to the person whom you

believe to be the victim of abuse?

 Self
 Parent
 Grandparent
 Other relative
 Friend
 Other Please specify:

Tell us about the person whom you believe to

be the victim of abuse:

Name:
Address:

Phone:

−1−
Age: Date of Birth:
School: (If applicable)
Parish: (If applicable)

−2−
Tell us about the person whom you believe to be
responsible for the abuse:

Name:
Position/Title:
Parish:
Address:

Phone:

Tell us the date(s) of the incident(s) reported

(approximate, if necessary):

Tell us the location of the incident(s) reported

(approximate, if necessary):

Please describe the incident(s):

How do you know about this?

You have the right, and are encouraged, to report this incident
to the civil authorities, including the appropriate police
agency and/or office of the District Attorney.

−3−
−4−
Have you reported this incident to any investigator or civil
authority?

If so, to whom?

Is there any other relevant information that you would like to

provide? For example, would you like to meet with a
representative of the diocese to provide information that you
would prefer not to provide in writing? If so, please provide
any such request(s) or additional information here:

Thank you for providing this report. You will be contacted

soon by a representative of the Diocese of Buffalo.

−5−
 Appendix B: Code of Conduct
Diocese of Buffalo Code of Conduct
For Priests, Deacons, Pastoral Ministers,
Administrators, Staff, and Volunteers
Code of Conduct
Adults who work with young people or vulnerable adults through the Diocese of Buffalo or any of its parishes or schools
have the legal, moral, and religious responsibility to perform their duties in a way that educates and assists – and does not
harm -- the young people and vulnerable adults with whom they work. In keeping with that obligation, the Diocese of
Buffalo has established the following Code of Conduct for all who minister to young people or vulnerable adults in the
parishes of the Diocese, teach young people in the schools of the Diocese, coach young people on sports teams
connected with the Diocese or any of its parishes or schools, or in any other way work with young people or vulnerable
adults through the Diocese of Buffalo. For purposes of this policy, the term “young people” or “young person” means
anyone under the age of 18, and the term “vulnerable adult” means a person who is impaired by reason of mental illness,
mental deficiency, physical illness, or disability to the extent that he or she lacks sufficient understanding or capacity to
make or communicate responsible decisions concerning his or her person or to manage his or her affairs effectively.
As one of the priests and religious, teachers and coaches, employees and /or volunteers, who work with children
and young adults in or through the Diocese of Buffalo, I solemnly pledge that:
1) I will to the best of my ability, perform my work in a manner consistent with the mission of the Catholic Church and the
Diocese of Buffalo;
2) I will always remember that I am not a peer of the young people with whom I work and I will perform my duties
accordingly;
3) I will maintain appropriate physical and emotional boundaries from the young people and vulnerable adults with whom
I work;
4) I will avoid situations where I am alone with a young person at Church activities;
5) I will refrain from any and all physical conduct, conversations and other communications with young people or
vulnerable adults that have a sexual purpose or result;
6) I will not touch a young person and/or vulnerable adult in a sexual or other inappropriate manner;
7) If I learn of an allegation of abuse or if I suspect abuse, I will report that allegation or suspicion to the Victim
Assistance Coordinator (716-895-3010) and to the appropriate district attorney’s office;
8) I will cooperate fully in any investigation of abuse of young people and/or vulnerable adults;
9) I will treat everyone with respect, loyalty, patience, integrity, courtesy, dignity, and consideration;
10) I will use positive reinforcement rather than criticism, competition, or comparison when working with young people
and/or vulnerable adults;
11) I will neither accept expensive gifts from young people and/or vulnerable adults nor give expensive gifts to them
without prior written approval from the parents or guardians and from the pastor or administrator;
12) I will not smoke or use tobacco products in the presence of young people;
13) I will not use, possess, or be under the influence of alcohol while working with young people;
14) I will not use, possess, or be under the influence of illegal drugs at any time;
15) I will not pose any health risk to young people and/or vulnerable adults (i.e., no fevers or other contagious situations);
16) I will not strike, spank, shake, or slap young people and/or vulnerable adults;
17) I will not humiliate, ridicule, threaten, or degrade young people and/or vulnerable adults;
18) I will not use any discipline that frightens or humiliates young people and/or vulnerable adults;
19) I will not use profanity in the presence of young people and/or vulnerable adults;
20) I will not acquire, possess, or distribute a pornographic image of a young person, nor will I show a pornographic image
of an adult to a young person.

I understand that this code is to be applied fairly and equitably on a case by case basis.

Page 4
I understand that whenever I am working with children and/or youth, as a volunteer or employee, I am subject to
a thorough background check including criminal history.
I further understand that this criminal background check will be conducted prior to beginning my
employment/assignment and thereafter at such times and frequencies as determined by the agency, department,
and/or organization by which I am employed and/or to which I am assigned.
I understand that criminal background and character reference information may be requested from public and
private sources.
I understand that any action inconsistent with this Code of Conduct, or actions inconsistent with Diocesan
policies for the protection of children and young adults, or failure to take action mandated by this Code of
Conduct may result in removal from my position.
I also understand that this code of conduct does not abrogate or replace any other obligations that I have under
any applicable law, guideline, policy or regulation.
I hereby authorize, without reservation, any law enforcement agency, institution, information service bureau,
school, employer, reference, or insurance company contacted by the Diocese of Buffalo or its agent to furnish
the information described herein. I hereby release the employer and agents and all persons, agencies, and
entities providing information or reports about me from any liability arising out of the requests for or release of
any of the information or reports herein.

Printed Name

____________
Signature Date

THIS IS A SAMPLE ONLY. PLEASE COMPLETE

THE CODE OF CONDUCT PROVIDED BY YOUR
PARISH, SCHOOL, OR AGENCY TO MAINTAIN IN
THEIR FILES.

Rev. January 19, 2017

Page 5
 Appendix C: Uniform Volunteer Questionnaire

We do not discriminate in our selection of volunteers on the basis of race, color, age, sex or national origin. We may
consider a candidate’s religious affiliation in our decision to accept them as a volunteer because of our status as a
religious entity, consistent with state and federal law.

Last Name: ________________________________ First: ________________________ Middle Init: ______

(Print Clearly Full Legal Name)

Preferred Name: ______________________ Parish or Institution: ___________________________________

Social Security Number: - - Date of Birth: ___________ / _________ / _________

(Month) (Day) (Year)
Address: ________________________________________________________________________________
(Street Address) (Apt) (City) (State) (ZIP code)

Telephone # (Home): _______________________________ (Business):_____________________________

THIS IS A SAMPLE ONLY. PLEASE COMPLETE
Nature of volunteer assignment: _____________________________________________________________
THE APPLICATION PROVIDED BY YOUR PARISH,
Date volunteer assignment will begin or began: _________________________________________________
SCHOOL, OR AGENCY TO MAINTAIN IN THEIR
EMPLOYMENT RECORD
FILES.
CURRENT OR MOST RECENT EMPLOYMENT:
Employed by: ____________________________________________________________________________

Address: ________________________________________________________________________________
(Street Address) (City) (State) (ZIP code)

Your Supervisor: ____________________________________________ Telephone # __________________

Supervisor’s title: _________________________________________________________________________

Employed from: ___________________________________ to _____________________________________

(month/year) (month/year)

Why did you leave? _______________________________________________________________________

_______________________________________________________________________________________

IF EMPLOYED LESS THAN TWO (2) YEARS, PREVIOUS EMPLOYMENT:

Employed by: ____________________________________________________________________________

Address: ________________________________________________________________________________
(Street Address) (City) (State) (ZIP code)

Your Supervisor: ____________________________________________ Telephone # __________________

Supervisor’s title: _________________________________________________________________________

Employed from: ___________________________________ to _____________________________________

(month/year) (month/year)

Why did you leave? _______________________________________________________________________

Page 6
 Office Use:
References Checked
Yes_____ No_____

VOLUNTEER SERVICE OR PERSONAL REFERENCES WITHIN THE PAST THREE (3) YEARS:
or list other references

Organization Name / Address / Supervisor Position Dates Tele.#

__________________________________________ ___________________ __________ _______________

__________________________________________ ___________________ __________ _______________

__________________________________________ ___________________ __________ _______________

Religious affiliation: ______________________________________________________________________

Have you ever been discharged or asked to resign by your employer or a volunteer organization?

 Yes  No If yes, please state circumstances: ________________________________________

______________________________________________________________________________________

Have you ever been convicted of, or are you currently under indictment for a crime with the exception of a
traffic offense?  Yes  No Date: ________ Please explain.

State charge and disposition: ______________________________________________________________

Are you now or have you ever been the subject of an indicated report of child abuse, neglect or mal-treatment?
 Yes  No Date: ________ If yes, please explain. _____________________

______________________________________________________________________________________

Your answer is looked upon only as one of the factors considered in our decision and is evaluated in terms
of nature, severity and date of the offense. No applicant will be excluded from consideration due to prior
arrests.

APPLICANT’S AGREEMENT:

I hereby represent that each answer to a question herein and all other information or personal references
furnished is true and correct. I further represent that such answers and information constitute a full and
complete disclosure of my knowledge with respect to the question or subject which the answer or
information relates. I understand that any incorrect or false statements or information furnished by me will
subject me to discharge at any time. I hereby authorize my former employers and organizations to which I
volunteered my services or personal references to give any information regarding my employment or
volunteer services with them and, in addition, to furnish any other information they may have concerning
me including, but not limited to, character, general reputation and personal characteristics.

I also understand I am subject to a thorough background check including criminal history.

I understand that my volunteer services are for no definite period and may be terminated at any time
without previous notice.

Signature of Applicant ________________________________________ Date ______________________

Rev. 24-Feb-2017

Page 7
EXHIBIT D
DIOCESE OF BUFFALO - WHISTLEBLOWER POLICY

The Whistleblower Policy is intended to encourage Trustees, officers (including

administrative officers), committee members, employees, and volunteers to
report, without the fear of intimidation, harassment, discrimination, retaliation, or
adverse employment consequences, any action or suspected action that is
potentially illegal, fraudulent, or is in violation of any adopted policy of the
Corporation. This policy also applies to the Diocese’s Code of Conduct and the
Diocesan Policy and Procedure for the Protection of Children, Young People and
Vulnerable Adults, but any complaint regarding abuse in violation of those policies
should be directed to the Diocesan Victim Assistance Coordinator at 716-895-
3010.

The Diocese has implemented a fraud reporting system which includes a toll-free
hotline and a web-site through the independent, third-party company
EthicsPoint. This confidential reporting system, available in both English and
Spanish, allows employees, volunteers, parishioners, vendors and other
interested parties to report concerns regarding a range of suspected unethical
behavior by trustees, officers, directors, employees, volunteers, staff, agents or
contractors of the Diocese. Reports may be filed confidentially through EthicsPoint
by choosing the "Report Fraud" link on the left- hand column of
www.buffalodiocese.org , or via one of EthicsPoint's trained specialists at 1-844-
573-4177. All reports will be taken seriously, promptly investigated, and when
requested, anonymity is provided.
Alternatively, an employee or volunteer should promptly report the suspected or
actual violation to his/her supervisor who, in turn, must notify the Vicar General
or the Moderator of the Curia. If the employee or volunteer is uncomfortable or
otherwise reluctant to report to his/her supervisor, then the suspected or actual
violation can be reported to the next highest level of management who, in turn,
must notify the Vicar General or the Moderator of the Curia. The individual can
always notify the Vicar General or the Moderator of the Curia directly. Trustees
and officers should promptly report the suspected or actual violation directly to
the Vicar General or the Moderator of the Curia. The individual must report
the suspected or actual violation in writing on the Whistleblower Reporting Form.
(Appendix D) and should include his/her identity to facilitate proper and prompt
investigation allowing the Diocese to obtain any additional information or
clarification needed. Alternatively, an individual can elect to submit an anonymous
complaint delineating the facts of a suspected violation including the name of the
alleged offender(s), date of the incident(s), description of the incident(s), and
names of witnesses to the incident(s). Anonymous complaints may not permit
as thorough an investigation as would otherwise be permitted by additional follow
up.

Appropriate resolution of the complaints and effective remedial action

oftentimes is possible only when suspected violations are promptly filed.

In consultation with the chairperson of the Audit and Compliance Committee

of the Board of Trustees ("Audit and Compliance Committee"), the Vicar General
or the Moderator of the Curia shall promptly conduct an appropriate investigation
1
of any report. If the investigation establishes that a violation of law, external
regulation, or any adopted policy of the Corporation has occurred, then the Audit
and Compliance Committee shall determine the appropriate action based upon
law and corporate policy, up to and including civil or criminal prosecution.
Directors who are employees may not participate in any committee deliberations
or voting related to administration of this whistleblower policy.

The subject of a whistleblower complaint shall not be present at or participate in

committee deliberations relating to such a complaint. The subject of a
whistleblower complaint shall not vote on the matter relating to such complaint.
Nothing in this paragraph shall prohibit the committee from requesting that the
person who is the subject of the complaint present information as background, or
answer questions at a committee or board meeting prior to the commencement of
deliberations or voting relating thereto.

Reports will be kept confidential to the extent possible consistent with the
need to conduct an adequate investigation and prevent or correct suspected
violation(s). The Vicar General or the Moderator of the Curia shall disclose
information relating to a report with those who have a need to know so that
he can conduct an effective investigation and determine what action to take
based on the results of any such investigation. Complaints will be kept as
confidential as possible as is consistent with a thorough investigation and
applicable laws. To the extent complaints made under this policy implicate criminal
conduct the Diocese may be required to contact and cooperate with appropriate
law enforcement authorities.

No Trustee, officer (including administrative officers), committee member,

employee, or volunteer of the Corporation who in good faith reports any action
or suspected action that is illegal, fraudulent, or in violation of any adopted policy
of the Corporation shall suffer intimidation, harassment, discrimination, retaliation,
or, in the case of employees, adverse employment consequence.

Any individual who files a report concerning a suspected or actual violation must
do so in good faith. The Corporation will impose appropriate discipline against
any person found to have knowingly made a report in bad faith, up to and
including termination of employment, or other legal means, in order to protect the
reputation of the Corporation and members of its staff.

Anyone who retaliates against any individual who has made a report in good faith
will be subject to disciplinary action up to and including termination of
employment or in the case of a non-employee up to and including termination of
the existing relationship.

A copy of this policy shall be posted on the Diocese's website or at the Catholic
Center in a conspicuous location accessible to employees and volunteers.