OSE-HULMAN
INSTITUTE OF TECHNOLOGY
STAFF HANDBOOK
Approved
Board of Trustees
September 24, 1998
Last Update 12/07/2012
Rose-Hulman Institute of Technology
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Staff Handbook.
TABLE OF CONTENTS
INTRODUCTION ............................................................................................................. 4
Purpose.................................................................................................................................. 4
Mission Statement................................................................................................................. 4
History of the Institute .......................................................................................................... 4
Campus Map ......................................................................................................................... 6
Governing Authority ............................................................................................................. 6
Organizational Chart ............................................................................................................. 6
Human Resources ................................................................................................................. 6
Employee Relations Committee ........................................................................................... 7
Staff Representative to the Board ......................................................................................... 7
Ombudsman Committee ....................................................................................................... 8
Equal Employment Opportunity ........................................................................................... 9
Americans with Disabilities Act (ADA) ............................................................................... 9
Intellectual Property .............................................................................................................. 9
Harassment and Sexual Misconduct Policy ........................................................................ 10
Nepotism ............................................................................................................................. 10
Smoking Policy ................................................................................................................... 10
Drug Free Workplace Policy .............................................................................................. 11
Employment of Minors ....................................................................................................... 11
GENERAL EMPLOYMENT PRACTICES ................................................................... 11
Employee Orientation ......................................................................................................... 11
Employee Identification Cards ........................................................................................... 11
Keys .................................................................................................................................... 11
Parking ................................................................................................................................ 12
Facilities and Services......................................................................................................... 12
ATM Machines ........................................................................................................................................................ 12
Athletic Facilities ..................................................................................................................................................... 12
Bookstore ................................................................................................................................................................. 12
Computing Center.................................................................................................................................................... 12
Fax Machines, Copiers, Printing, and Telephones .................................................................................................. 13
Food Service ............................................................................................................................................................ 13
Institute Equipment.................................................................................................................................................. 13
Library ..................................................................................................................................................................... 13
Mail Service............................................................................................................................................................. 13
Mileage Reimbursement .......................................................................................................................................... 14
Notary Public ........................................................................................................................................................... 14
Uniforms .................................................................................................................................................................. 14
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Job Description ................................................................................................................... 14
Job Posting .......................................................................................................................... 14
Employment Letters ............................................................................................................ 15
Employment Status ............................................................................................................. 15
Exempt ..................................................................................................................................................................... 15
Non-Exempt/Salaried .............................................................................................................................................. 15
Non-Exempt/Hourly ................................................................................................................................................ 15
Full-Time ................................................................................................................................................................. 16
Part-Time (benefits eligible) .................................................................................................................................... 16
Part-Time ................................................................................................................................................................. 16
Temporary ............................................................................................................................................................... 16
3.10 Work Schedules .................................................................................................................. 16
Breaks and Rest Periods .......................................................................................................................................... 16
3.11 Initial Review Period .......................................................................................................... 17
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Performance Appraisal........................................................................................................ 17
Promotions and Transfers ................................................................................................... 18
Position Reclassification ..................................................................................................... 18
Personnel Records ............................................................................................................... 18
Retention of Corrective Action Records .................................................................................................................. 19
Changes in Employee Information .......................................................................................................................... 19
3.16 Release of Employment Information .................................................................................. 20
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EMPLOYEE COMPENSATION AND TIME RECORDS ............................................ 21
4.01 Pay Periods.......................................................................................................................... 21
Monthly ................................................................................................................................................................... 21
Bi-Weekly................................................................................................................................................................ 21
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Direct Deposit ..................................................................................................................... 21
Pay Deductions ................................................................................................................... 21
Pay Advances ...................................................................................................................... 21
Pay Increases ....................................................................................................................... 21
Overtime Pay ...................................................................................................................... 21
Time Off.............................................................................................................................. 22
On-Call and Emergency Call In .......................................................................................... 22
Holiday Pay......................................................................................................................... 22
Inclement Weather ............................................................................................................. 23
Time Records ...................................................................................................................... 23
Exempt Positions ..................................................................................................................................................... 23
Non-exempt Positions.............................................................................................................................................. 23
Hourly Positions ...................................................................................................................................................... 24
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EMPLOYEE BENEFITS ................................................................................................ 25
Health Insurance Plan ......................................................................................................... 25
Dental/Vision Plan .............................................................................................................. 25
Section 125 Flexible Spending Plan ................................................................................... 25
Life Insurance ..................................................................................................................... 26
Long Term Disability Insurance ......................................................................................... 26
Retirement Plan ................................................................................................................... 26
Optional Early Retirement Plan .......................................................................................... 27
Eligibility ................................................................................................................................................................. 27
Election Period ........................................................................................................................................................ 27
5.08 Tuition Assistance............................................................................................................... 28
Dependent Children Tuition .................................................................................................................................... 28
Tuition Exchange ..................................................................................................................................................... 28
Employee Courses for Credit................................................................................................................................... 29
5.09 Independent Colleges of Indiana Moving Contract ............................................................ 30
5.10 Statutory Benefits................................................................................................................ 31
Social Security and Medicare .................................................................................................................................. 31
Unemployment Insurance ........................................................................................................................................ 31
Worker’s Compensation Insurance .......................................................................................................................... 31
5.11 Leaves of Absence .............................................................................................................. 32
Vacation Leave ........................................................................................................................................................ 32
Sick Leave ............................................................................................................................................................... 34
Family and Medical Leave ...................................................................................................................................... 35
Funeral/Bereavement Leave .................................................................................................................................... 36
Military/Reserve Service Leave .............................................................................................................................. 36
Jury Duty ................................................................................................................................................................. 37
Leave of Absence Without Pay ............................................................................................................................... 37
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CODES OF CONDUCT .................................................................................................. 37
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6.01 Attendance .......................................................................................................................... 37
6.02 Personal Appearance and Dress .......................................................................................... 38
6.03 Confidential Information .................................................................................................... 38
6.04 Solicitation/Distribution Policy .......................................................................................... 38
6.05 Personal Telephone Use ...................................................................................................... 38
6.06 Electronic Mail and Computer Use..................................................................................... 38
6.07 Audio or Video Recording of Employee Communications ................................................ 39
6.08 Firearms & Other Dangerous Instruments………………………………………………...39
7.00 FAIR TREATMENT PRACTICES POLICY ..................................................................... 40
FAIR TREATMENT PRACTICES POLICY FLOWCHART .................................................... 42
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CORRECTIVE ACTION PROCEDURE ....................................................................... 43
CORRECTIVE ACTION TREATMENT PROCEDURES FLOWCHART ............................... 46
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SEPARATION ................................................................................................................ 47
9.01 Resignation ......................................................................................................................... 47
9.02 Termination ......................................................................................................................... 47
9.03 Reduction in Force .............................................................................................................. 47
9.04 Exit Procedures ................................................................................................................... 47
Return of Institute Property ..................................................................................................................................... 47
Final Payment .......................................................................................................................................................... 48
9.05 Extension of Benefits .......................................................................................................... 48
COBRA Continuation Coverage ............................................................................................................................. 48
Retirement Account Accumulations ........................................................................................................................ 48
9.06 Retirement Plan ................................................................................................................... 48
9.07 Optional Early Retirement Plan .......................................................................................... 48
APPENDIX 1-CAMPUS MAP .................................................................................................... 49
APPENDIX 2-ORGANIZATIONAL CHART ............................................................................ 50
APPENDIX 3-INTELLECTUAL PROPERTY POLICY ............................................................ 51
APPENDIX 4-HARASSMENT AND SEXUAL MISCONDUCT POLICY .............................. 63
HARASSMENT RESOLUTION FORM ..................................................................................... 65
APPENDIX 5-DRUG FREE WORKPLACE POLICY ............................................................... 69
APPENDIX 6-PERFORMANCE APPRAISAL .......................................................................... 74
APPENDIX 7-SNOW POLICY ................................................................................................... 78
APPENDIX 8-WORKER'S COMPENSATION INSURANCE .................................................. 81
APPENDIX 9-POLICY OF RESPONSIBLE USE OF ROSE-HULMAN COMPUTING
FACILITIES
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APPENDIX 10-MAJOR ACTS OF MISCONDUCT .................................................................. 88
APPENDIX 11-PERSONNEL ACTION NOTIFICATION FORM ............................................ 89
APPENDIX 12-KEY AND ELECTRONIC ACCESS CONTROL POLICY ............................. 90
APPENDIX 13-INDIANA/VIGO COUNTY CLEAN INDOOR AIR ORDINANCE ............... 94
APPENDIX 14-CONFLICT OF INTEREST POLICY ............................................................... 98
CONFLICT OF INTEREST DISCLOSURE ............................................................................. 102
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INTRODUCTION
1.01 Purpose
This staff handbook has been prepared to serve as a reference publication on employment
related issues for staff members of Rose-Hulman Institute of Technology. It is intended as
a general guide to policy, practice, and conditions of employment. Detailed policies and
additional documents are included in the appendix and referenced throughout the text.
Due to the dynamic nature of the organization, and the legal and regulatory environments,
the Institute reserves the right to change provisions in this handbook when deemed to be in
the best interest of the Institute and its staff members.
This handbook and its provisions are not a contract or guarantee of continuous
employment between the Institute and employees. Additionally, by Indiana law, all
employees of Rose-Hulman Institute of Technology are employees at will. As an “at will”
employee, each employee has the right to separate employment at any time with or
without reason or notice and the employer has the right to terminate an employee at any
time with or without reason or notice.
1.02 Mission Statement
To provide students with the world’s best undergraduate education in engineering,
mathematics, and science in an environment of individual attention and support.
1.03 History of the Institute
In September of 1874, Chauncey Rose, a respected Terre Haute businessman and
philanthropist, founded the Terre Haute School of Industrial Science. Mr. Rose, a native
of Connecticut, came to Terre Haute to seek his fortune some sixty (60) years earlier. By
a combination of luck and drive, Rose became the Wabash Valley’s foremost industrialist
and entrepreneurial capitalist, amassing a fortune from railroads, oil, real estate, and
lumber. Seeing a serious need for better educated mechanics and draftsmen, Rose
envisioned a school to prepare young men for the mechanical and design demands and
opportunities of the Industrial Revolution. In a mood of great celebration according to
accounts in local newspapers, the cornerstone of the large Gothic main building was laid
on September 11, 1875 at 13th and Locust Streets. Over Rose’s strenuous objections, the
Board of Managers changed the name of the school to Rose Polytechnic Institute to honor
its founder.
Eight years later in March of 1883, with a secure endowment, substantial buildings and
laboratories, and a carefully selected faculty of seven under the leadership of Charles O.
Thompson, the school opened for the instruction of twenty-five men. All were enrolled in
the Department of Mechanical Engineering. Included in their numbers were three
“upperclassmen” who would constitute the first graduating class of June 1885.
In succeeding years, new majors were added as the demands of industry and the interests
of students changed. For example, in 1887 the civil engineering major was fully
established, and two years later Walter Wiley earned a degree from the Chemical
Department, becoming the Nation's first chemical engineer. In the early 1890s a strong
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interest in electrical engineering swept the student body. In fact, all but two in the class
of 1893 made the switch to electrical engineering amid the excitement of this new source
of power and energy.
From the beginning, the students worked and studied long hours. For many years, the
curriculum was basically taught on a six day basis (half days on Saturday). The faculty
met weekly to evaluate the academic progress and social behavior of each and every
student. But, students being students, they found outlets for extra energy and creativity.
The first social fraternity, Alpha Tau Omega, was chartered in 1893, followed by Sigma
Nu in 1895, the P.I.E.S. (later Theta Kappa Nu, then Lamda Chi Alpha) in 1900, and
Theta Xi in 1907. More recently Triangle, Phi Gamma Delta, Delta Sigma Phi, Pi Kappa
Alpha, Chi Omega, and Delta Delta Delta were chartered. The students literally ran
athletics, paying a special fee to finance the purchase of equipment and the traveling
expenses of the various teams. A field day event in 1889, at which Rose bested Indiana
Normal, was the first intercollegiate competition. Other outlets for student time and talent
were started, and many of our same clubs and activities like the Modulus, student
government, a form of intramurals, drama, chorus, and band were firmly established.
Through wars and national recessions and depressions the school flourished. Even in
tough times, students and their families found the resources to pay the expenses of a Rose
education. Scholarships were few, but most students found ready employment in the large
number of existing factories and mills, particularly during summers. Local boys did have
some advantage over those from outside the county. No tuition was charged to Vigo
County residents until 1922, when the move to the new school necessitated the change in
policy.
As early as 1908 plans to move to a larger location were being discussed. The open fields
of 1874 had given way to factories and boarding houses, leaving no room for the school to
expand. The opportunity to do so came in 1917 when the Hulman family sold to the
Board of Managers 123 acres of farmland east of Terre Haute on the National Road. Later
the Hulman’s would donate the purchase price back to the school as part of their
contribution to the school’s first national fund drive. On September 13, 1922 (WWI and a
major recession had delayed construction) the cornerstone of what would become Moench
Hall was laid. For many years it was the sole classroom/laboratory facility on campus.
Deming Hall, the first student residence, was added in 1926.
Following WWII, a succession of presidents of vision and intellect built the campus we
have today. The growth in the student body led to the construction of four residence halls
and married student apartments. Many of the fraternities built houses on the east side of
campus. Hulman Union was made possible by the Hulman Foundation in 1966.
Templeton was remodeled in 1969, Crapo Hall built in 1970, and a new library and
recreation center were built before the decade ended. In the 1980s Moench Hall was
entirely remodeled and Hadley and Olin Halls built. In the 1990s, Hulman Union was
doubled in size, the Olin Foundation provided a major expansion of Olin Hall, the old
field house and recreation center gave way to America’s finest small college athletic
complex, and a new residence hall.
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In addition to all of the growth in the size of the student body and changes in the
landscape, Rose Poly was rechristened in 1970. The holdings of the Hulman Foundation
were donated to the school in December 1970 and the Board of Managers voted to rename
the school the Rose-Hulman Institute of Technology in recognition of the longstanding
support of the Hulman family.
The crowning event of the school’s history in the last decade of the century was the
decision to become coeducational. The graduate program had long since admitted
women, so there were female alums. However, admitting women to the undergraduate
student body was a decision not lightly made. All constituencies, students, faculty, staff,
Board members, alums, and friends, had to be convinced that it was the right thing to do
for the continued success of the Institute. A pioneering group of ISU coeds took classes
here during the 1994-95 school year, with plans to transfer in as upper class students when
the school officially admitted its first coed class in the fall of 1995.
From its beginnings at 13th and Locust to its move in 1922 to the former Hulman family
farm and rebirth as the Rose-Hulman Institute of Technology in 1970, the school has been
devoted to helping young people pursue the very best education possible. From a
graduating class of three mechanical engineers, the school has grown to an enrollment
over 1500, including graduate students and a hundred plus professors teaching in Applied
Optics, Chemical Engineering, Chemistry & Life Sciences, Civil Engineering, Computer
Science, Electrical and Computer Engineering, Humanities & Social Sciences,
Mathematics, Mechanical Engineering, and Physics.
Today’s students work and study in an environment of high technology, laptops, virtual
classrooms, internships and co-ops, and group projects. Mandolin and telegraph clubs
have given way to the Solar Phantom and aerial robotics. Students leave the school for
employment in a global marketplace possessing a keen commitment to their profession
and life-long learning. So, while the mission of Rose-Hulman may have expanded over
the years, the same focus on being the best place for an undergraduate education in
mathematics, science, and engineering still remains, true to the vision of Chauncey Rose.
1.04 Campus Map
See Appendix 1
1.05 Governing Authority
The ultimate governance of the Institute lies with the Board of Trustees, which is charged
with "the management of the business and prudential affairs of the Institute." The Board
has 35 members, 32 selected by the Board, two alumni nominated through the Alumni
association and elected by the Board, and the President of the Institute. The Board holds
three annual meetings: Homecoming, mid-winter, and Commencement.
1.06 Organizational Chart
See Appendix 2
1.07 Human Resources
The mission of the Office of Human Resources is to coordinate the hiring process, provide
continuous employee development by supporting the evolving needs of employees, and to
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serve as a reliable source of information for faculty and staff. The office provides
direction and guidance in administering Institute personnel policies, payroll services,
benefits administration, professional development and training
The Office of Human Resources provides various support services to all departments of
the Institute to help attract, develop, and retain the human resources needed to effectively
accomplish the Institute’s mission. The Office of Human Resources is available to support
departments in their administration of the policies set forth in the staff handbook.
1.08 Employee Relations Committee
The Employee Relations Committee is a liaison between the administration and
employees (faculty and staff) to facilitate decisions that involve compensation and fringe
benefits to promote a smooth running workplace. The committee also is charged to
provide a suitable forum for mediating conflict, to facilitate change, and to advocate for a
fair and supportive workplace as outlined in the Fair Treatment Practices Policy (See
Section 7.0 Fair Treatment Practices Policy). The committee is composed of six faculty
members and six staff members (3 from exempt classification and 3 from non-exempt
classification) appointed by the President. The Director of Human Resources, Benefits
Coordinator and Vice President for Business and Finance serve as ex-officio members.
This committee meets regularly during the academic year.
1.09
Staff Representative (REV. 2/1/06)
The Staff Representative to the Board is an elected position and serves a two year term
effective July 1st. The Staff Representative can serve no more than two consecutive
terms in office. The Staff Representative serves three primary roles:

A confidential resource (Ombudsman) to assist staff in matters relating to
their job at Rose-Hulman. The Staff Representative is to be open-minded
and not pass judgment. The Staff Representative may meet in confidence
with the Director of Human Resources to seek ways of resolving conflict.
The Staff Representative will reference the Staff Handbook regarding
policies and procedures, explain employment practices, listen and offer
counsel as required, and attend at the request of the staff member,
meetings with the supervisor and/or Director of Human Resources.
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A member of the Ombudsman Committee which provides staff with an
additional confidential channel for addressing workplace concerns. The
Committee members serve to help staff express needs, identify issues, and
explore possible solutions to concerns. The Faculty Representatives are
also members of the Ombudsman Committee.
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An ex-officio member of the Business Administration Committee of the
Board of Trustees (or other Committee as designated by the Board of
Trustees) for the primary purpose of providing communication between
the Staff and the Board of Trustees. This Representative may, when
invited, attend meetings of the Board of Trustees and the President’s
Cabinet.
The Staff Representative will serve as “Staff Teller” at the conclusion of his/her two year
term. The Staff Teller, in conjunction with the Director of Human Resources, will
conduct the voting process for election of the new Staff Representative.
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1.10 Ombudsman Committee
The Ombudsman Committee provides staff with a confidential and informal channel for
addressing workplace concerns. The committee members help staff express needs,
identify issues, and explore possible solutions to concerns. The members consist of the
elected faculty and staff representatives to the Board of Trustees. The President may
appoint additional persons to the committee to ensure diversity.
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2.00 GENERAL EMPLOYMENT POLICIES
Employment at Rose-Hulman Institute of Technology is based on the ability to perform
the services required with or without reasonable accommodations in compliance with the
Americans with Disabilities Act (ADA) (See Section 2.02 Americans with Disabilities
Act). Work expectations and responsibilities will be explained by the supervisor during
the interview process and also during employment.
2.01 Equal Employment Opportunity (REV. 09/01/02)
Rose-Hulman Institute of Technology is an equal opportunity employer. It is the
Institute’s policy to treat all employees and applicants equally according to their
individual qualifications, abilities, experiences and other employment standards. There is
to be no discrimination because of race, religion, color, national origin, sex, age,
citizenship status, disability, veteran status, sexual orientation, or sexual identity or
expression. It is also the practice of the Institute to comply with all applicable federal,
state, and local laws.
2.02 Americans with Disabilities Act (ADA)
The Americans with Disabilities Act of 1990 (ADA), prohibits employers from
discriminating against a qualified individual with a disability in the employment process.
The Institute will make reasonable accommodations for qualified individuals with known
disabilities unless doing so would result in an undue hardship. The Equal Employment
Opportunity Commission is charged with enforcing the employment discrimination
elements of the ADA.
2.03 Conflict of Interest (REV. 09/01/04)
It is the policy of the Institute to expect its staff, while acting for or engaging in an activity
affecting the Institute, to do so with loyalty to the Institute and maintenance of the highest
standards of ethics and awareness of conflicts of interest, both in fact and appearance; to
respect the rights of staff to engage in activities outside the normal scope of their role at
the Institute, provided such activities do not conflict with or reflect adversely on the
Institute's interest, or deprive the Institute of an appropriate measure of their time and
effort (conflict of commitment); this policy shall not be construed so as to unreasonably or
unfairly curtail the Institute policy on academic freedom. Every staff member will
complete a written Conflict of Interest Disclosure form (See Appendix 14 Conflict of
Interest Policy and Procedures) during new employee orientation and annually thereafter.
Records will be maintained in the Institute's secured, confidential files in the Office of
Business and Finance
2.04 Intellectual Property
The Intellectual Property Agreement described in the Intellectual Property Policy dated
February 24, 1989 (See Appendix 3) relates to technology developed by current faculty,
staff, students, and others participating in Institute programs. The term “technology” is
broadly defined and includes technical innovations, improvements, inventions and
discoveries, as well as writings, computer software, and other information in various
forms. The policy defines the ownership, distribution, and commercialization rights
associated with such technology in the form of intellectual property; (e.g., patents,
copyrights, trademarks, and mask works, and also defines policies and procedures which
govern use and distribution of the technology in its tangible form; (e.g., integrated circuit
chips, computer software, biological organisms, engineering prototypes, engineering
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drawings, and other property which can be physically distributed).
The policy also sets forth a distribution formula for royalties received by the Institute from
technology/intellectual property licenses. Employees are requested to sign “Exhibit-A”,
Intellectual Property Agreement, during employee orientation to indicate compliance with
the Institute’s policy.
2.05 Harassment and Sexual Misconduct (REV. 12/19/11)
In accordance with Title VII of the Civil Rights Act of 1964 and Title IX, the Institute has
established a Harassment and Sexual Misconduct Policy (See Appendix 4). Any employee
who believes that he or she has been the subject of harassment or sexual misconduct (See
Appendix 4 for definitions and resolution form) should complete a Harassment and Sexual
Misconduct Resolution Form and file it immediately with one of the following: his/her
supervisor, area Vice President/Dean, Director of Human Resources, or a member of the
Ombudsman Committee. Reports of alleged harassment or sexual misconduct will be
investigated as discreetly as the circumstances permit and without recrimination. After
appropriate investigation, any individual who is found to have engaged in sexual
harassment will be subject to appropriate sanctions up to and including termination.
2.06 Nepotism
Relatives will not normally be hired or transferred into positions where they directly or
indirectly supervise or are supervised by another close family member. In the rare
instance in which there is such a hire or transfer, appropriate action should be taken to
minimize potential conflict. The hiring of two individuals of the same family in the same
department is permissible.
2.07 Smoking Policy (REV. 12/05/11)
The Institute is dedicated to providing a healthy, comfortable, and productive environment
for all students, faculty, staff and guests on the campus. The Institute recognizes the health
hazards associated with using smokeless and smoking tobacco products and the adverse
effects of exposure to second hand smoke by nonsmokers.
The Institute complies with the Indiana Vigo County Clean Indoor Air Ordinance which
prohibits smoking in all enclosed interior areas including offices. In addition, in order to
preserve this environment in all interior areas, smoking is also not permitted within a 30
foot radius of the exterior of any building entrance. This is to avoid the unintended
consequence of smoke drifting into the building via opened entrances or air intakes.
It is the responsibility of each individual area department head and/or director, in
conjunction with the Manager of Environmental Health and Safety and the Office of
Public Safety, to ensure faculty, staff, visitors, contractors, etc. are appropriately informed
of this policy and the underlying City/County Ordinance.
It is the residence life staff's responsibility to ensure students, parents, guests, etc. are
appropriately informed of this policy and the underlying City/County Ordinance.
For violations and penalties, see Appendix 13 or Clean Indoor Air Ordinance, Section 3-588.
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2.08 Drug Free Workplace Policy
Employees are to comply with all federal, state, and local laws regarding drugs, narcotics,
and alcohol. Abuse of drugs and alcohol is dangerous to employees’ health and the safety
of the workplace, and the Institute will not tolerate the unlawful manufacture, distribution,
dispensing, possession, or use of controlled substances on campus (See Appendix 5).
2.09 Employment of Minors
The Institute must secure an employment certificate before a minor 14-17 years of age is
permitted to work. This includes minors who are 16 or 17 years of age and no longer
enrolled in school. (Exception: Minors under the age of 18 who have graduated from high
school do not require employment certificates). Contact Human Resources for assistance
in obtaining an employment certificate.
3.00
GENERAL EMPLOYMENT PRACTICES
3.01 Employee Orientation
New employees receive specific information from Human Resources and their supervisor
to orient them to their new position and the policies and responsibilities of the Institute.
During the first few days of employment, Human Resources conducts orientation which
provides an overview of the policies and practices, fringe benefit programs, payroll
information, and responsibilities of an employee to the Institute.
In addition, new employees receive information from their supervisors concerning specific
job duties, work schedules, performance expectations, and materials or equipment needed
to perform job functions.
Finally, new staff and their spouses will be invited to attend the New Faculty, Staff and
Spouse Orientation Program in August during the first year of employment. This
orientation is conducted by the President with presentations from the area Vice Presidents.
3.02 Employee Identification Cards
Employees must obtain an employee identification card during their first week of
employment. The Office of Student Affairs, located in the lower level of the Union
Building, is responsible for issuing the identification cards. The identification card serves
as a library card, meal card if you are on a meal plan option, and permits initial access to
the Sports and Recreation Center. The identification card can also be used to check out
publications at the Indiana State University and St. Mary-of-the-Woods College libraries.
Temporary employees are not eligible to receive an employee identification card.
3.03 Keys (REV. 02/08/12)
The Senior Director of Facilities Operations administers regulations and procedures
consistent with Institute policy to control campus keys and electronic access associated
with assets owned, leased, rented, or temporarily controlled by the Institute and their
occupants.
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Rose-Hulman Institute of Technology established a Keys and Electronic Access policy to
promote the safety and security of the Institute. The safety and security of our campus is
dependent upon adherence to and enforcement of this policy. Institute keys will be issued
to key recipients only when authorized by a Vice President, Department Head or their
designated representative.
Key recipients will sign a key receipt form. Key recipients will maintain possession and
security of all Institute keys and/or electronic access cards. Key recipients will
immediately report loss or theft of Institute keys or electronic access cards to their Vice
President or Department Head, the lock shop staff and the Office of Public Safety. Key
recipients will return keys issued by the locksmith by the due date. A personal lock,
locking device, or padlock may not be used on any equipment owned, leased, or rented by
the Institute without prior approval of the Office of Public Safety. Padlocks are only
permitted on athletic lockers and lockers in the Hulman Union.
For further information regarding the Key and Electronic Access Control Policy (See
Appendix 12).
3.04 Parking
Employees are allowed to park in various parking lots throughout campus. Vehicles that
are driven to work are to be registered with the Office of Public Safety. A parking decal
may be obtained, free of charge, by completing a Vehicle Registration Form during new
employee orientation. At the time of registration, faculty and staff members will receive a
map of designated parking locations. Vehicles without a parking decal or vehicles parked
in non-designated areas will be ticketed and may be towed.
3.05 Facilities and Services
ATM Machines
There are two ATM machines from First Financial Bank located on campus. One ATM
machine is located in the lower level of the Hulman Memorial Union building and the
other is located in the lower level of Moench Hall canteen area.
Athletic Facilities
The Sports and Recreation Center is available for use by all full-time and part-time
employees and their families in accordance with the operations manual which is available
from the Director of Sports and Recreation Facilities.
Bookstore
The Rose-Hulman Bookstore is located in the lower level of the Hulman Memorial Union
building and provides textbooks, office supplies, art supplies, cards, stationery, clothing,
gifts and sundry items. Employees may cash personal checks up to $150.00 with proper
identification.
Computing Center
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Technical Services Center is operated as a complete computational and information
processing service for both the academic and administrative functions of the Institute.
Questions and/or problems should be reported to the Help Desk Operator in room G-108
by calling extension 8989 or e-mail “helpdesk@rose-hulman.edu.”
Fax Machines, Copiers, Printing, and Telephones
FAX machines and copiers are available throughout the Institute for departmental needs.
The print shop provides full service printing services to meet department needs. Printing
services for personal use are also available. Contact the Print Shop Supervisor for rates.
Employees will be provided information regarding the Meridian Voice Mail System
utilized throughout campus. Long distance phone calls in accordance with Institute
business can only be made using a Personal Security Code (PSC) that can be obtained by
calling extension 8518. A Personal Security Code (PSC) can also be obtained for personal
use.
Food Services
The Institute provides dining services in the Hulman Memorial Union building through
ARAMARK Dining Services. Employees are welcome to eat lunch in the Faculty/Staff
dining room during the academic year. During the summer months, employees are
welcome to eat lunch in the student dining room. During some school break periods, the
dining services are closed. Frequent diners on campus may purchase a meal plan from the
various options available or pay on a cash basis.
In addition to the Faculty/Staff dining room, the Worx snack bar in the lower level of the
Hulman Memorial Union building is available for dining needs.
Institute Equipment
Various Institute equipment or property is entrusted to each employee to perform work
assigned. If the equipment is in need of repair, servicing or cleaning, it is expected that
the employee will report it to the supervisor and then follow up to see that such
maintenance is accomplished. Equipment entrusted to the employee for use in work
responsibility must be returned upon separation from the Institute.
Library
Logan Library has a scientific and technical collection of numerous volumes with a
representative sampling from the social sciences and humanities. Employees may use the
library. A current employee identification card is needed to check out publications. The
Digital Resource Center (DRC) is also located in the library. The focus of the DRC is to
provide faculty, staff and students with a resource center for high-level presentation
preparation, web page creation, video streaming, and other technologies to enhance the
ability to provide the best learning and teaching experience possible.
Mail Services (REV. 10/01/02)
The Mail Distribution Center (MDC) sorts all incoming mail delivered to the RosePage 13
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Hulman campus for students, faculty and staff. It is the responsibility of Mail Services to
ensure Institute compliance with USPS regulations and any other Institute, local, state, or
federal policies relating to mail requirements.
The Mail Processing Center (MPC) handles all outgoing mail and offers a complete line of
mail preparation services. The US Postal Services offers postal rate reductions for various
classes of mail that require automated mail processing, and the MPC offers a complete
line of automated mail preparation services to meet those needs.
For more information, please visit the Administrative Services link on the Rose-Hulman
web site http://www.rose-hulman.edu/Users/groups/AdminSvcs/html/mail/index.htm. A
Mail Services Guide is available for more complete information on mail piece preparation
and processing.
Mileage Reimbursement
Employees are encouraged to reserve an Institute-owned vehicle, if available, when
conducting Institute business. If an Institute-owned vehicle is not available, mileage
reimbursement will be made at the rate established by the Institute. The employee must
submit a Travel and Entertainment/Expense Report requesting reimbursement to Accounts
Payable.
Notary Public (REV. 08/18/10)
Notary public services are provided free of charge through the following offices:
Academic Dean's Office, Business Office, Civil Engineering, Communications and
Marketing, Institutional Advancement, Rose-Hulman Ventures, and Student Affairs.
Uniforms
The Institute supplies either uniforms or a clothing allowance for members of the
maintenance, custodial, housekeeping, and public safety staff. Institute provided uniforms
are to be returned upon separation of employment while staff members receiving a
clothing allowance retain uniforms upon separation.
3.06 Job Description
Prior to hiring a new staff member, a job description is written or revised by Human
Resources in conjunction with the supervisor and/or previous incumbent. The job
description outlines job functions, education and experience requirements, job
requirements, knowledge, skills, and abilities necessary to perform the essential job
functions. The job description is used as a guide for staff member job and performance
expectations, to assist in professional development opportunities, and to achieve
individual or departmental goals and objectives. It is the responsibility of both the
supervisor and staff member to update and revise the job descriptions as it becomes
outdated or at least annually.
3.07 Job Posting
To ensure equal employment opportunity, hiring departments notify Human Resources to
initiate campus-wide posting and external advertising of all open staff positions. The
vacancy will be announced through electronic mail and posted in designated display cases
located near the mail room and in Human Resources until the position is filled. Human
Resources will refer qualified candidates to the hiring department. The hiring department
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selects candidates to be interviewed and makes the final hiring decision.
Full-time staff are eligible to apply for vacant positions after one year of consecutive
service in their current position. This policy may be waived if the new position results in
a promotion and is approved by the staff member’s current supervisor (See Section 3.13
Promotions and Transfers). Part-time or temporary staff may apply for full-time or
regular positions after successful completion of the initial review period. Interested staff
members should contact Human Resources to apply. The hiring department selects
candidates to be interviewed and makes the final hiring decision.
3.08 Employment Letters
The Institute issues employment letters to new employees upon hire. These employment
letters are generated by Human Resources at the request of the hiring supervisor, and are
signed by the President. This employment letter indicates the starting salary, title,
designated work hours (if applicable), start date, initial review period (See Section 3.11
Initial Review Period) and summarizes fringe benefits (if applicable). This employment
letter is not a contract of employment nor does it guarantee continuous employment. Prior
to July 1, continuing employees will receive an employment letter indicating title and
salary. Employees are requested to sign the letter as notification to the President of their
intent to continue employment.
3.09 Employment Status
A position is classified as exempt or non-exempt based on criteria established by the Fair
Labor Standards Act (FLSA) (See Section 3.06 Job Description). The Institute maintains
the following position classifications for all staff positions:
Exempt
Staff members paid on a salaried basis and whose essential responsibilities and
job duties are such that the position meets the exemption test as defined by the
Fair Labor Standards Act (FLSA) and therefore, the position is exempt from
overtime pay requirements.
Non-Exempt/Salaried
Staff members paid on a salaried basis and whose essential responsibilities and
job duties are such that the position does not meet the exemption test as defined
by the Fair Labor Standards Act (FLSA) and therefore, the position is not exempt
from overtime pay requirements. Since the position does not meet the exemption
test, the law requires that the staff member be paid at the rate of one and one half
(1½) times their regular rate of pay for any and all hours worked in excess of forty
(40) hours in a work week.
Non-Exempt/Hourly
Staff members paid on an hourly basis and whose essential responsibilities and
job duties are such that the position does not meet the exemption test as defined
by the Fair Labor Standards Act (FLSA) and therefore, the position is not exempt
from overtime pay requirements. Since the position does not meet the exemption
test, the law requires that the staff member be paid at the rate of one and one half
(1½) times their regular rate of pay for any and all hours worked in excess of forty
(40) hours in a work week.
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The employment status of all employees is determined by the Department of
Labor pursuant to the Fair Labor Standards Act (FLSA). Within these position
classifications are the following employment statuses for all staff positions:
Full-Time
Employees working a minimum of forty (40) hours per week (2080 hours
annually). Full-Time employees are eligible for all fringe benefits provided by the
Institute.
Part-Time (benefits eligible)
Employees working a minimum of thirty (30) hours per week (1560 hours
annually) but not to exceed thirty-nine (39) hours per week . Part-Time (benefits
eligible) employees are eligible for all fringe benefits provided by the Institute.
Part-Time
Employees working a minimum of twenty (20) hours per week (1040 hours
annually) but not to exceed twenty-nine (29) hours per week. Part-Time
employees are eligible for pro-rated fringe benefits provided by the Institute.
Temporary
Employees (employed through the Institute) working for a defined period of time
not to exceed 999 hours in a twelve (12) month period. Temporary employees are
not eligible for fringe benefits provided by the Institute. Individuals employed
through a temporary agency do not qualify for Institute benefits.
3.10 Work Schedules
The Administrative and Academic offices are open Monday through Friday 8:00 a.m. to
5:00 p.m. unless otherwise indicated by the area supervisor. Variable work hours based
on department needs are established by the supervisor in conjunction with the next level
supervisor.
Staff members are expected to arrive on time for work and to meet all work commitments
(See Section 6.00 Codes of Conduct). Any variation from the regular work schedule
should be approved in advance by the supervisor.
In reporting an absence, staff members are expected to contact their supervisor as soon as
possible. Voice mail messages are discouraged as a means of notification unless the staff
member is instructed to do so by the supervisor. The Institute supports flextime in order
to accommodate the reasonable requests of staff members for alternative work schedules
when consistent with the needs of the departments.
Breaks and Rest Periods
Hourly staff members are permitted two (2) fifteen (15) minute break periods for every
eight (8) hours worked. These break periods may be designated for specific times during
the shift at the discretion of the supervisor. Occasionally, if the nature of work makes it
impractical to observe break periods, the half-hour (½) meal break may be extended with
prior supervisory approval.
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Hourly staff members are paid for meal breaks and, therefore, are requested to remain on
campus during meal breaks in the event a situation arises which requires immediate return
to work. Hourly staff may be permitted to leave campus during meal breaks with prior
supervisory approval.
Reasonable Breaks for Nursing Mothers (REV 07/01/10)
The recently implemented Healthcare Reform Law amends the Fair Labor Standards Act
(FLSA) to require employers to provide non-exempt employees who are nursing mothers
with a reasonable break time when they need to express breast milk for the first year
following the birth of a child.
To be in compliance, Rose-Hulman has established a lactation room located in the Office
of Human Resources in Moench Hall, Room A113D. There is privacy, a chair, electrical
outlet and refrigerator for storage of the expressed milk. Employees using the refrigerator
for expressed milk will provide their own clearly labeled container with their name. If
the employee has a private office, they may prefer to express milk in their office and
bring their own storage cooler for storage of their expressed milk.
Supervisors might expect an average employee to need between 15 – 20 minutes of break
time every two to four hours to express milk which may vary, depending on the
individual employee.
3.11 Initial Review Period
New staff is subject to a ninety (90) calendar day initial review period. This period is
designed for the Institute and the employee to evaluate the new employment condition.
The supervisor may conduct a performance appraisal with the employee at any time
during this period. At the end of this initial review period, the supervisor must complete a
written performance appraisal of the employee and recommend one of the following:
• Successful completion of the initial review period; employee changed to full or part-time
employment status
• Extension of the review period not to exceed another ninety (90) calendar days
• Termination of employment
Beyond the initial review period, an employee may be placed on probationary status at any
time during employment for unsatisfactory conduct or performance (See Section 8.00
Corrective Action Procedure).
3.12 Performance Management (REV. 10/01/02)
The performance management process provides the opportunity to dialogue between the
employee and supervisor regarding job performance, professional development
opportunities, job responsibilities, and performance expectations. The employee is also
provided an Employee Self-Appraisal questionnaire to complete prior to the performance
appraisal discussion with the supervisor. The employee should bring the completed selfappraisal form to the performance appraisal discussion meeting. The Job Description
and/or Job Analysis Questionnaire is to be reviewed with the employee to ensure the job
description accurately reflects the essential job functions. A completed Performance
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Appraisal form signed by the supervisor and employee, a revised Job Description or Job
Analysis Questionnaire, and Employee Self-Appraisal are the products of this performance
management process. The employee’s signature on the form indicates the appraisal has
been reviewed with them. A copy of the Performance Appraisal and Employee SelfAppraisal is provided to the employee and the original forms, along with the Job
Description and/or Job Analysis Questionnaire is returned to Human Resources and
incorporated in the employee’s central personnel file. A Performance Improvement Plan
must be completed for each general factor that is rated as “Needs Improvement” on the
Performance Appraisal form. It is NOT corrective action! It is used to identify
performance issues, communicate expectations and define what improvements need to be
made by establishing measurable goals for attaining improvements. It identifies how the
employee will accomplish these goals and how the supervisor will help support the
employee to meet these goals. (See Appendix 6 Performance Appraisal).
A performance appraisal will be conducted for each employee at the end of the initial
review period and annually thereafter during the month of the anniversary date of
employment.
3.13 Promotions and Transfers
To maintain employees of the highest quality, the Institute provides equal opportunity for
the recruitment, professional growth, and advancement of all employees. The Institute
encourages promotion and transfer of current employees whenever possible. A promotion
occurs when an employee leaves one classified position to go to another of increased
responsibility and with higher compensation. This may involve moving from one
department to another; however, it may occur within the same department when two
separate positions are involved. Full-time staff are eligible to apply for positions after one
year of consecutive service in their current position. This policy may be waived if the new
position results in a promotion and is approved by the staff member’s current supervisor.
Part-time or temporary staff may apply for full-time or regular positions after successful
completion of the initial review period. Staff members meeting minimum job
qualifications should contact Human Resources to apply. The hiring department selects
candidates to be interviewed and makes the final hiring decision. (See Section 3.07 Job
Posting) for more information regarding employment opportunities.
3.14 Position Reclassification
Position reclassification occurs when the essential job functions of the position have
changed significantly. The current job description is reviewed and revisions are completed
by the supervisor and staff member. The new job description will be reviewed by the
supervisor and next level supervisor in consultation with Human Resources. The outcome
of the position review may result in a title change and/or salary adjustment which is
determined by the supervisor and next level supervisor, with final approval by the
President.
3.15 Personnel Records
The Institute complies with all applicable Federal laws governing personnel records, their
creation, handling, and retention. Human Resources maintains a central personnel file for
each employee containing documentation on employment, benefits, compensation,
performance appraisals, corrective action, and other pertinent information.
The information in the employee’s central personnel file is considered confidential and is
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secured when not in use and may be reviewed only by the following:
• The employee who is the subject of the file
• The employee’s supervisor who is considering the employee for promotion, transfer,
reassignment, demotion, dismissal, or other personnel actions
• Other supervisory personnel, with the employee’s written authorization
• An attorney or designee of the employee, with the employee’s written authorization
• Controller (payroll information only)
• Human Resources staff
• An attorney representing the Institute in connection with any action threatened or
brought against the Institute
• Other persons acting in compliance with Federal, state or local laws such as auditors,
wage and hour personnel, equal employment opportunity investigators, etc., or in
response to a lawfully issued subpoena or court order (employees will be notified of a
subpoena or court order by Human Resources)
The employee’s central personnel file shall be reviewed in Human Resources in the
presence of a Human Resources staff member. Employees may take notes, make copies,
and notify Human Resources of any incorrect information contained in the file. The
information in the central personnel files is the property of the Institute and may not be
removed.
Retention of Corrective Action Records
Documentation of corrective action will be retained in the staff member’s central
personnel file. After a period of one year, in the event of a positive resolution and
continued active employment, the corrective action shall be considered concluded
however, documentation will remain in the employee’s central personnel file (See Section
8.00 Corrective Action Procedures).
Changes in Employee Information
In order to ensure accuracy of employment information, employees are required to notify
Human Resources of all changes in employee or dependent status within thirty (30) days
of the event. A change in employee or dependent status includes, but is not limited to:
• Marriage
• Divorce
• Birth
• Death
• Adoption
• Dependent no longer meets IRS requirements for dependent status
• Dependent reaching age twenty-five (25)
Employees enrolled in the health insurance plan who delay this notification may lose the
right for continuation of coverage through the Consolidated Omnibus Budget
Reconciliation Act of 1985 (COBRA) (See Section 9.05 COBRA Continuation Coverage).
Other changes of status which must be reported to Human Resources for payroll,
insurance, and retirement purposes include, but are not limited to the following:
• Name
• Address
• Telephone Number
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• Income tax exemptions
• Beneficiary
3.16 Release of Employment Information
Human Resources receive written requests for information concerning employment
verification from potential employers, financial institutions, and rental properties. This
information will be provided only if the request includes a written authorization and
release from the employee. When information is requested by phone, Human Resources
will only confirm or deny information given on dates of employment, position held, and
employment status.
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4.00
EMPLOYEE COMPENSATION AND TIME RECORDS
4.01
Pay Periods
Staff Handbook.
Monthly
Employees paid monthly are paid on the 25th of the month for the current month.
Bi-Weekly
Employees paid hourly are paid bi-weekly on a Friday for work completed the
prior two weeks according to a bi-weekly pay schedule. The seven (7) day work
week for employees paid on an hourly basis begins on Sunday 12:00 a.m. and ends
on Saturday 11:59 p.m. If the normal pay date falls on a weekend or Institute
holiday, employees will be paid on the last regular business day preceding the
weekend or Institute holiday.
4.02 Direct Deposit
Employees are required to arrange for direct deposit of their pay to the financial institution
of their choice. Funds may be deposited in up to three accounts. During new employee
orientation, appropriate direct deposit authorization forms, along with other payroll
information, will be completed (See Section 3.01 Employee Orientation). Any changes to
direct deposit authorization forms should be completed and returned to Human Resources.
4.03 Pay Deductions
The Institute is required by Federal law to withhold social security taxes, and Federal,
state, and local income taxes from employee payroll. Employees are required to complete
withholding tax forms to advise Human Resources of individual tax liability. Each time
withholding information changes, the employee must complete and forward new forms to
Human Resources. The Institute is required to honor garnishments, wage assignments, and
levies to the extent prescribed by law. Other deductions may only be made by written
authorization of the employee.
4.04 Pay Advances
The Institute does not authorize pay advances.
4.05 Pay Increases
Employee compensation is reviewed annually by the President and department
supervisors. Any annual pay adjustments take into consideration cost of living, job
performance and/or available funding and are effective July 1 for staff. Pay adjustments
may be made at other times of the year as deemed necessary. Annual pay adjustments are
approved by the President. (See Section 3.08 Employment Letters).
4.06 Overtime Pay
According to the Department of Labor, employees in a non-exempt position are entitled to
overtime pay for hours worked in excess of forty (40) hours in a work week (See Section
4.01 Pay Periods). Each work week stands alone for the calculation of overtime pay.
Overtime pay is calculated at one and one-half (1½) times the regular rate of pay.
Overtime must be approved in advance by the supervisor.
In computing hours worked for overtime pay, the Institute has established that vacation,
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sick hours and observed holidays paid within the work week will be considered as hours
worked.
4.07 Time Off
In certain circumstances, time off, is an alternative to overtime pay for staff in nonexempt/salaried positions. Time off may be taken, at supervisory discretion, in one of two
ways:
A). In order to avoid working more than forty (40) hours in a work week, time
off at the rate of one hour off for one hour worked may be taken during
the same work week so no more than forty (40) hours is worked in that
work week.
B). If more than forty (40) hours is worked in one week of a pay period, time
off may be taken in the other week of the same pay period at the rate of one
and one-half (1 ½) hours off for each hour worked over forty (40), in
place of overtime pay.
Time off cannot be banked for future use. The overtime will be paid on the next regularly
scheduled pay date.
4.08 On-Call and Emergency Call In
Departments may designate an exempt staff member as “on-call” for handling after hour
emergencies. As deemed necessary by the “on-call” staff member, hourly staff may be
called in to work. Time worked during the “on-call” time will be paid based on the actual
amount of time worked. For hourly staff members not “on-call”, but called to work due to
an emergency will be paid a minimum of two (2) hours pay. These hours are counted as
hours worked for calculating overtime and are to be recorded on the appropriate time card.
“On-call” responsibilities of exempt staff may be a job function of their position and no
additional compensation is given.
4.09 Holiday Pay
All observed holidays for the Institute are found in the Faculty/Staff Directory published
in August of each year and on the Human Resources web site. The Institute observes 4-5
holidays during each fiscal year by designating eight (8) days off in observance of these
holidays. Full-time staff will receive their regular rate of pay and time off for each
holiday. Part-time staff will receive holiday pay and time off only for holidays the
employee is regularly scheduled to work, and only for the regularly scheduled number of
hours for that day.
Temporary staff and staff on leave of absence are not eligible to receive holiday pay.
Staff scheduled to work on a designated holiday will receive eight (8) hours of holiday pay
in addition to the regularly scheduled work hours. An observed holiday will be considered
in the calculation of overtime pay.
Example: scheduled to work the Memorial Day holiday employee would be paid:
Forty (40) hours at regular rate of pay
Eight (8) hours holiday pay at one and one-half (1½) times regular rate
If an observed holiday is during a scheduled vacation period, the employee will be paid
the holiday pay and the vacation day may be taken at a later date.
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4.10 Inclement Weather (REV. 01/19/12)
Any decision to cancel classes and close the school is made by the President or by another
Executive Officer of the Institute in the President’s absence. If the Institute remains open,
employees are expected to report to work (See Appendix 7). Employees who are
considered “essential personnel” based on their immediate job functions and/or as
requested by their supervisor, may be required to remain on campus or to report to campus
after the campus closing.
4.11 Time Records
Exempt Positions (REV. 10/01/04)
According to the Fair Labor Standards Act (FLSA), staff members in an exempt position
are not required to record hours worked However, since the Institute compensates
separating staff members for unused vacation leave, and also compensates continuing staff
members meeting certain criteria for sick leave (See Section 5.10 Leaves of Absence), staff
members are required to record vacation and sick time taken electronically through the
Banner Web for Employee “Time Entry” application no later than the tenth work day of
the month for the preceding month.
If vacation and sick leave is used in increments of less than one day, the leave should be
recorded as hours (e.g.: 4 hours = 4).
Non-exempt Positions
According to the Fair Labor Standards Act (FLSA), staff members in a non-exempt
position are required to record hours worked. Hours worked and exceptions to the regular
work schedule will be recorded electronically through the Banner Web for Employee
“Time Entry” application no later than noon on Monday following the end of the pay
period. Hours are computed in fifteen (15) minute increments and entered as decimals
(e.g.: 8 ½ hrs=8.50 hours).
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Hours are recorded using the following pay codes:
• R Regular
• F Funeral Leave
• FL Family & Medical Leave
• H Holiday
• S Sick
• V Vacation
• Z Unpaid
• OT Overtime (hours in excess of forty (40) hours in one pay
week)
• TO Overtime taken off
Hourly Positions
Staff members in an hourly position are required to record hours worked according to the
Fair Labor Standards Act (FLSA). Hours worked and exceptions to the regular work
schedule will be recorded electronically through the Banner Web for Employee “Time
Entry” application no later than noon on Monday following the end of the pay period.
Hours are computed in fifteen (15) minute increments and entered as decimals (e.g.: 8 ½
hours=8.50 hours).
Hours are recorded using the following pay codes:
• R Regular
• F Funeral Leave
• FL Family & Medical Leave
• H Holiday
• S Sick
• V Vacation
• Z Unpaid
• OT Overtime (hours in excess of forty (40) hours in one pay
week)
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5.00
Staff Handbook.
EMPLOYEE BENEFITS
5.01 Health Insurance Plan (REV. 10/01/04)
The Institute provides a health insurance plan for the employee and eligible dependents.
Monthly premiums are shared by the Institute and the employee, with the employee
portion deducted on a pre-tax basis through the Section 125 Flexible Spending Account.
To be an eligible participant, a person must be an eligible employee. An eligible
employee is any individual who is a full-time or part-time (benefits eligible) employee
who is regularly scheduled to work at least thirty (30) hours per week.
An employee is eligible for coverage on the date of hire and has thirty (30) days from the
date of hire to complete the enrollment form. The enrollment form is to be returned to
Human Resources. If the enrollment form is not returned within thirty (30) days from the
hire date, the employee cannot enroll in the health plan until the open enrollment period.
During the open enrollment period, the employee is subject to the plan provisions limiting
coverage for pre-existing conditions. (See Pre-existing Conditions Limitation in the Health
Benefits Plan) booklet available from Human Resources.
The plan provides in-network and out-of-network benefits to all participants.
Medical coverage is based on usual and customary charges. Most in-network services are
paid at 100%, less co-payment and deductible. Medical services are subject to an annual
deductible and co-payment. Out-of-network services are subject to an annual deductible
and coinsurance.
A prescription drug program is available through a pharmacy network.
For further information regarding the health insurance plan, refer to the Health Benefits
Plan booklet available from Human Resources.
5.02 Dental/Vision Plan (REV. 07/01/01)
Monthly premiums are paid by the employee and deducted on a pre-tax basis through the
Section 125 Flexible Spending Account. Preventive dental services are paid at 100% with
no deductible. Orthodontia services are paid at 50% with no deductible and have a $1,000
maximum dollar benefit per eligible dependent. Basic services are paid at 80% with a
deductible. Major services are paid at 50% with a deductible. Co-payments apply for
vision services with no deductible.
For further information regarding the dental/vision insurance plan, refer to the Group
Insurance Benefits Plan booklet available from Human Resources.
5.03 Section 125 Flexible Spending Plan
The Institute provides a Flexible Benefits Plan which is available to employees who are
regularly scheduled to work at least twenty (20) hours per week. The Flexible Benefits
Plan allows the employee to pay for un-reimbursed medical, dental, vision, and dependent
care expenses through pre-taxed dollars.
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For further information regarding the Flexible Benefits Plan refer to the Flexible Benefits
Plan booklet available from Human Resources.
5.04 Life Insurance
The Institute provides a life insurance program to eligible employees. The Institute pays
the full premium to the insurance carrier. There is an employee tax liability for insurance
coverage over an amount designated by the IRS (address questions to Human Resources).
An eligible employee is any individual who is a full-time or part-time (benefits eligible)
employee and is regularly scheduled to work at least thirty (30) hours per week. An
employee is eligible for coverage on the first of the month following the hire date and has
thirty (30) days from the hire date to complete the enrollment form. The enrollment form
is returned to Human Resources. If the enrollment form is not returned within thirty (30)
days from the hire date, the employee may still enroll in the life insurance plan but is
subject to evidence of insurability.
For further information regarding the Life Insurance Plan refer to the Group Life
Insurance Benefits Plan booklet available from Human Resources.
5.05 Long Term Disability Insurance
The Institute provides a Long Term Disability Plan to eligible employees. The Institute
pays the full premium to the insurance carrier. An eligible employee is any individual
who is a full-time or part-time (benefits eligible) employee and is regularly scheduled to
work at least thirty (30) hours per week. An employee is eligible for long term disability
coverage after one year of service. Coverage is based on sixty (60%) of the monthly
salary base of the employee at the commencement of the period of continued total
disability to a maximum of $10,000. The maximum benefit of $10,000 includes income
payable from Social Security, Worker's Compensation, or any disability benefits payable
under any retirement or insurance plan of the Institute.
For further information regarding the Long Term Disability Insurance Plan refer to the
Group Long Term Disability Insurance Plan booklet available from Human Resources.
5.06 Retirement Plan
The Institute provides a Defined Contribution Retirement Plan for all benefits eligible
employees. An eligible employee is any individual who is a full-time or part-time
employee and is regularly scheduled to work at least twenty (20) hours per week.
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The Institute contributes an amount equal to ten (10%) of the gross wages paid during the
month to the retirement plan. Personal contributions may be made to the Institute’s
Defined Contribution Retirement Plan or to a Supplemental Retirement Annuity through
approved carriers.
The Institute offers an Optional Early Retirement Plan (See Section 5.08 Optional Early
Retirement Plan). Employees planning to retire from the Institute should notify their
supervisor and Human Resources of their intent to retire at least sixty (60) days prior to
the effective date of retirement (Employees at the level of Director and above are
requested to give at least six (6) months notice). Upon notification of a planned
retirement, the Benefits Coordinator in Human Resources will provide the employee with
retirement income options and coordinate payment of this benefit with the appropriate
account custodian.
For further information regarding the Retirement Plan contact Human Resources.
5.07 Optional Early Retirement Plan (REV. 01/19/12)
The Institute offers an Optional Early Retirement Plan for employees with at least fifteen
(15) years of service* who elect to retire between the age of 62 and prior to the 67th
birthday. Partial benefits are available to employees retiring at age fifty-five (55) through
age sixty-one (61). If an employee retires at age sixty-seven (67) or after, they are eligible
for the Medicare supplement plan paid by Rose-Hulman for 5 years. Participation in the
plan is voluntary.
*One year of service is defined as working 1,000 hours or more during a twelve (12) month period.
Eligibility
Active employees who meet the minimum age and service requirements are eligible to
retire under this plan. The following employees are not considered to be “active”
employees:
•employees on leave of absence or sabbatical
•employees on layoff status
•employees receiving or eligible to receive disability benefits under the Institute’s Group
Disability Insurance Plan
Election Period
Eligible employees must complete a written election form. The enrollment election period
begins thirty (30) days prior to the date on which the eligible employee retires or
terminates employment. The written election form notifies the Institute of the effective
date of retirement. Failure to file the election form during the thirty (30) day election
period will disqualify the employee from the plan. The election form is to be returned to
the Benefits Coordinator in Human Resources.
Non-exempt staff are expected to submit their intent to retire in writing to Human
Resources and their immediate supervisor at least two (2) weeks prior to the planned
retirement. Exempt staff are expected to give at least one month (1) notice.
The Institute has the right to evoke or amend the plan at any time at its discretion without
affecting those already retired under an election.
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Staff Handbook.
For election forms and further information regarding the Optional Early Retirement Plan,
refer to the policy available from Human Resources.
5.08 Tuition Assistance
Dependent Children Tuition (REV. 09/01/04)
The Institute provides a partial college tuition assistance program to dependent children of
eligible employees. An eligible employee is any individual who is a full-time employee or
part-time (benefits eligible) employee. After five years of continuous full-time
employment at the Institute, a dependent child will be eligible for partial college tuition
assistance for programs of study at the baccalaureate level. A dependent child is an
unmarried, natural or legally adopted child of eligible employees who is declared as a
dependent on the eligible employee’s federal income tax return.
The dependent child must attend an accredited college or university and pursue a program
which can be counted toward the completion of an initial baccalaureate degree. The
program is designed to provide eligible dependents the opportunity to be enriched by the
traditional on-campus experience similar to that which Rose-Hulman provides. Assistance
for programs that are exclusively or primarily on-line (e.g.: University of Phoenix Online
or similar programs) will not be provided. Benefits will not be provided to dependent
children beyond age twenty-five (25).
The amount of the Rose-Hulman award is limited to the lesser of one-half of the current
Rose-Hulman Institute of Technology freshman tuition rate per child per year, or the
actual tuition and academically related fees charged at the Institution attended up to a
maximum total lifetime benefit per family. This maximum total lifetime benefit for the
2002-2003 fiscal year is $31,000 and will increase by $1,000 each year beginning fiscal
year 2003-2004 to $40,000 by the year 2012.
After one year continuous full-time employment, full tuition remission is granted if the
eligible child attends Rose-Hulman Institute of Technology.
A Tuition Benefit Program Application for tuition assistance must be made to Human
Resources for each dependent and each time there is a change in the institution attended.
An original invoice of charges from the institution attended must be submitted to Human
Resources for each academic period and is the basis for payment.
Dependent children participating in this program may not apply for a TE Scholarship for
the same academic year. (See the Tuition Exchange Policy) available from Human
Resources.
For those eligible employees hired prior to 1982, please refer to the Tuition Benefit
Program for Dependent Children Plan A policy available from Human Resources.
For application forms and further information regarding the Tuition Benefit Program for
Dependent Children refer to the policy available from Human Resources.
Tuition Exchange (REV. 10/01/03)
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The Institute participates in the Tuition Exchange, Inc. (TE) program which provides a
national scholarship exchange for dependent children of full-time faculty and staff
members and part-time benefits eligible staff members. The definitions of an eligible
employee, dependent child and eligibility requirements are the same criteria as noted
above in the Dependent Children Tuition section. Rose-Hulman is required to maintain a
balance between “exports and imports”. Because of high demand and limited availability,
Rose-Hulman cannot assure that all who apply will receive a scholarship.
Access also depends on the importing institution, which will have its’ own criteria for
selecting recipients and a limit on the number of scholarships.
The scholarship will cover tuition up to a program maximum of $20,800 per year
beginning with the 2004-2005 academic year. This program maximum is adjusted
annually based on inflation.
The Tuition Exchange (TE) program Web site is http://www.tuitionexchange.org/. All
schools that participate in the Tuition Exchange program are listed here.
A Tuition Exchange Scholarship Application must be submitted to Human Resources
during the period October 1 through November 1. Applications will only be accepted for
children attending college the following academic year. Early applications will not be
accepted. Human Resources will verify eligibility and inform the employee/parent of their
priority ranking by December 1. The normal admission process is followed at the school
the child would like to attend.
If the number of applicants exceeds the number of available TE Scholarships, applicants
will be selected through a priority ranking system.
First priority will be given to renewals: those students already enrolled in a member
institution, and who are holding a TE scholarship.
Second priority will be given to applicants based on employment seniority of the
employee. In the event of employees with equal seniority, ranking will be on the date of
submission of the application. A lottery system will be implemented in the case of
employees with equal seniority submitting an application on the same date.
Only one dependent child per family may be enrolled in the TE scholarship program at the
same time.
If the dependent child is not awarded a Tuition Exchange Scholarship, he or she is eligible
to participate in the Rose-Hulman Tuition Benefit Program for Dependent Children (See
Dependent Children Tuition section above).
For application forms and further information regarding the Tuition Exchange Program
refer to the policy available from Human Resources.
Employee Courses for Credit (REV. 01/01/01)
The Institute pays for college courses for credit for eligible employees after one year of
service provided the course work relates to the employee’s current position. An eligible
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employee is any individual who is a full-time or part-time (benefits eligible) employee and
is regularly scheduled to work at least thirty (30) hours per week. The supervisor will
review a course syllabus or description to determine if the course relates to the employee’s
current position. The supervisor must also approve the employee’s request to take courses
held during normal work hours.
An initial Employee Course for Credit Program Application for tuition assistance or
subsequent applications must be made to the supervisor. An application is required for
each academic period. A copy of the course syllabus or course description must
accompany the application, with supervisory approval, and returned to Human Resources.
The supervisor, in consultation with the Benefits Coordinator, will determine whether the
course is related to the employees’ current position. Only courses deemed related to the
employees’ current position will be paid. This process must be completed before class
enrollment to be eligible for payment. The employee shall present the bill for tuition and
academic related fees to Human Resources. The Institute shall pay the cost of the tuition
and academic related fees directly to the institution at which the employee is enrolled.
The Professional Development line of the applicable department budget is to be charged
for all courses.
Upon completion of the course, the employee shall provide a copy of the final grade report
to Human Resources. Failure to provide a grade report or achieving a final grade of less
than "C" requires the employee to reimburse the Institute the entire amount of tuition and
academic related fees within 30 days after course completion. If the employee drops the
course for any reason prior to course completion, the employee will be responsible to
reimburse the Institute the tuition and academic related fees within 30 days of dropping
the course. Reimbursement shall be either direct payment or payroll deduction as elected
by the employee.
For application forms and further information regarding the Employee Courses for Credit
Program, refer to the policy available from Human Resources.
5.09 Independent Colleges of Indiana Moving Contract (REV. 09/01/03)
As a result of Rose-Hulman’s membership in the Independent Colleges of Indiana (ICI),
both new and existing Institute faculty and staff can now utilize specific ICI moving
contracts for moving their household goods. ICI has negotiated significant discounts with
specific carriers for the benefit of all active employees in its membership. The only RoseHulman involvement is a requirement to verify employment before services may be
provided.
Institute employees should contact the Director of Human Resources, at extension 8176 or
by email to Kim Miller@rose-hulman.edu, to request use of this service. Human
Resources will verify employment with the moving companies and provide them with
employee contact information. The moving companies will then contact the employee
directly for quotes and all other information, including billing arrangements which will be
made exclusively between the employee and the company.
Comments and feedback regarding employee experience with these services should be
reported to Human Resources so that Rose-Hulman may keep ICI appropriately informed
regarding the value of this service to its membership.
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Staff Handbook.
For further information regarding the Independent Colleges of Indiana Moving Contract,
refer to the policy available from Human Resources.
5.10 Statutory Benefits
Statutory benefits are those benefits provided on behalf of employees by the Institute as
required by Federal law. These statutory benefits include:
Social Security and Medicare
Employees are covered by the Federal Social Security Act. Medicare coverage is a part
of this coverage. Social Security pays benefits when employees retire, become disabled,
or die. Employees and the Institute pay taxes for this benefit. The employees’ taxes are
deducted from their pay, and the Institute matches these taxes dollar for dollar.
The Federal government sets a limit each year on earnings which are subject to social
security and the applicable tax rate.
For further information on Social Security benefits and the limits established each year,
Human Resources.
Unemployment Insurance
Under state law, unemployment benefits are provided to those employees who are
terminated from employment for reasons other than willful misconduct or resignation, or
just cause as defined by Indiana law.
Worker’s Compensation Insurance (REV. 09/01/02)
The Institute carries worker’s compensation insurance to cover the cost of an employee’s
medical bills and a portion of lost wages due to an injury or illness that arises out of and in
the course of employment. Worker’s Compensation guidelines are regulated by the State
of Indiana Worker’s Compensation Board.
If the employee has lost wages as a result of a worker’s compensation injury or illness, the
worker’s compensation insurance carrier will pay the employee 66 2/3% of gross earnings
during the period of temporary total disability. There is a seven (7) calendar day waiting
period before the employee will receive compensation through the worker’s compensation
insurance carrier. During this seven (7) calendar day waiting period, the employee has the
option to use earned sick leave. If the employee has no earned sick leave, the employee
has the option of using earned vacation leave or time off without pay.
After the seven (7) calendar day waiting period, the employee will begin receiving
payments directly from the worker’s compensation insurance carrier at the rate of 66 2/3%
of the employee’s average gross earnings from the previous twelve (12) months.
The employee will have the option to take earned sick and vacation hours after the seven
(7) calendar day waiting period at the rate of 1.0 hour per day to bring the net wages to
approximately 100%.
After the employee is off work for twenty-one (21) days, the employee’s first seven (7)
days of gross earnings will be reimbursed by the worker’s compensation insurance carrier
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at 66 2/3% of the gross earnings.
If the attending physician recommends returning to work under light duty restrictions
(Return to Work Program RTWP), efforts will be made to accommodate the employee if
such restricted work is available.
For further information regarding Worker’s Compensation (See Appendix 8).
5.11 Leaves of Absence
Vacation Leave
The Institute encourages staff to utilize vacation leave annually.
• Earning Vacation Leave (REV. 10/01/04)
Vacation leave is earned based on position classification, length of service, and
number of hours worked. Employees begin earning vacation leave on the first day
of the month following the hire date. If the hire date is the first day of the month,
the employee earns vacation for that month. Employees cease to earn vacation
leave upon separation of employment. Vacation is earned at the rate of one-twelfth
(1/12) of annual leave per month (e.g.: annual leave = 10 days per year = .83 days
per month= 6.66 hours per month).
Staff members do not earn vacation days/hours during unpaid leave.
Full-Time Employees
Length of Service
0 - First Year
First Year - Second Year
Second Year - Third Year
Third Year – Fourth Year
Fourth Year – Fifth Year
Fifth and subsequent Years
Part-Time Employees
Length of Service
First Year
Second Year
Annual Vacation Leave Earned
earn 10 days or 6.66 hours per month
earn 10 days
earn 15 days or 10.00 hours per month
earn 15 days
earn 20 days or 13.33 hours per month
earn 20 days
Hours Worked
20-25 hours
26-29 hours
30-35 hours
36-39 hours
Annual Vacation Leave Earned
6.25 days/50 hours (1/12 per month)
7.25 days/58 hours
8.75 days/70 hours
9.75 days/78 hours
20-25 hours
26-29 hours
30-35 hours
36-39 hours
6.25 days/50 hours
7.25 days/58 hours
8.75 days/70 hours
9.75 days/78 hours
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Third- Fourth Year
Fifth and
Subsequent Years
Staff Handbook.
20-25 hours
26-29 hours
30-35 hours
36-39 hours
9.375 days/75 hours
10.875 days/87 hours
13.125 days/105 hours
14.625 days/117 hours
20-25 hours
26-29 hours
30-35 hours
36-39 hours
12.5 days/100 hours
14.5 days/116 hours
17.5 days/140 hours
19.5 days/156 hours
Temporary Employees
Temporary staff and staff working less than twenty (20) hours per week are not eligible for vacation
leave.
• Maximum Vacation Leave
Employees may accumulate up to a maximum of 40 days or 320 hours vacation
leave.
• Utilizing Vacation Leave
Upon completion of the initial review period, employees may take vacation leave
as it is earned, however employees may not take vacation leave before it is earned.
Vacation leave must be approved by the supervisor prior to use and must be taken
in increments of at least four hours for exempt employees, and at least quarter hour
increments for non-exempt employees except as defined in (Section 5.10 Worker’s
Compensation Insurance).
• Tracking Vacation Leave
Exempt Employees (REV. 10/01/04)
Vacation and sick leave taken is to be recorded electronically through the Banner
Web for Employee “Time Entry” application no later than the tenth work day of
the month for the preceding month. (See Section 4.11 Time Records)
Non-Exempt Employees
Hours worked and exceptions to the regular work schedule will be recorded
electronically through the Banner Web for Employee “Time Entry” application no
later than noon on Monday following the end of the pay period (See Section 4.11
Time Records).
Hourly Employees
Hours worked and exceptions to the regular work schedule will be recorded
electronically through the Banner Web for Employee “Time Entry” application no
later than noon on Monday following the end of the pay period (See Section 4.11
Time Records).
• Unused Vacation Leave
Unused vacation leave will be paid up to 25 days or 200 hours maximum to the
employee upon separation or to the designated beneficiary in the event of death of
the employee. Unused vacation leave beyond 25 days or 200 hours will be
forfeited upon separation or death.
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Sick Leave
• Earning Sick Leave
Employees begin earning sick leave on the first day of the month following the
hire date. If the hire date is the first day of the month, the employee earns sick
leave for that month. Employees may not take sick leave before it is earned.
Employees cease to earn sick leave upon separation of employment. Sick leave is
to be used for medically related absences for the employee or immediate family
members or for extended funeral leave and is also designed to serve as short term
disability coverage. Sick leave is not to be used as personal leave.
Employees do not earn sick days/hours during unpaid leave.
Full-Time Employees
Hours Worked per Week
40 hours
Annual Sick Leave Earned
12 days /96 hours or 8 hours per month
Part-Time Employees
Hours Worked per Week
< 20 hours
20-25 hours
26-29 hours
30-35 hours
36-39 hours
Annual Sick Leave Earned (1/12 per month)
0 days/0 hours
7.5 days/60 hours
8.7 days/70 hours
10.5 days/84 hours
11.7 days/94 hours
Temporary Employees
Temporary employees and employees working less than twenty (20) hours per week are not eligible
for sick leave.
• Maximum Sick Leave
Employees may accumulate a maximum of 72 days or 576 hours sick leave.
• Utilizing Sick Leave
Employees may take sick leave during the initial review period; however
employees may not take sick leave before it is earned. Sick leave must be
approved by the supervisor prior to use and must be taken in increments of at least
four hours for exempt employees, and at least quarter hour increments for nonexempt employees except as defined in (Section 5.10 Worker’s Compensation
Insurance.) In reporting medically related absences, employees are expected to
notify their supervisor as soon as possible. Voice mail messages are not
acceptable means of notification unless the employee is instructed to do so by the
supervisor.
• Tracking Sick Leave
Exempt Employees (REV. 10/01/04)
Vacation and sick leave taken is to be recorded electronically through the Banner
Web for Employee “Time Entry” application no later than the tenth work day of
the month for the preceding month. (See Section 4.11 Time Records)
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Non-Exempt Employees
Hours worked and exceptions to the regular work schedule will be recorded
electronically through the Banner Web for Employee “Time Entry” application no
later than noon on Monday following the end of the pay period (See Section 4.11
Time Records).
Hourly Employees
Hours worked and exceptions to the regular work schedule will be recorded
electronically through the Banner Web for Employee “Time Entry” application no
later than noon on Monday following the end of the pay period (See Section 4.11
Time Records).
• Unused Sick Leave (REV. 10/01/04)
Employees are not compensated for accumulated sick leave upon separation of
employment.
Family and Medical Leave (FMLA) (REV. 02/01/08)
In accordance with the Family and Medical Leave Act (FMLA), Rose-Hulman provides eligible
employees up to 12 weeks of unpaid leave in a rolling 12-month period measured backward from the date
the employee uses any FMLA leave. Service Member Family Leave* may be taken for up to 26 weeks
during a single 12-month period. This FMLA leave is a guaranteed period of time eligible employees can
be absent from work with job protection. The time off is not paid, unless the employee is taking vacation
or sick leave concurrently with FMLA leave. If you choose not to use paid sick and vacation time
concurrently with FMLA leave, you will not continue to accrue additional sick and vacation hours, as you
will be in an unpaid status. Employees who are on Family and Medical Leave or an approved leave of
absence may not engage in any form of self-employment or perform work for any other employer during
that leave, except when the leave is for military or public service or when the secondary employment has
been approved by the Institute. As an employee of Rose-Hulman Institute of Technology, we are your
primary employer. Employees can request or use FMLA leave, or Human Resources may place the
employee on FMLA leave, to cover the time they need to be away from work for any of the following
purposes:
Employees can request or use FMLA leave, or Human Resources may place the
employee on FMLA leave, to cover the time needed to be away from work for any of the
following purposes:
To care for a newborn child or a newly adopted or newly placed foster care child, as long as the
leave is taken in the year following the child's birth or placement;
To
care for their child, spouse, or parent who has a serious health condition;
To provide employees time to attend to their own serious health condition that leaves them
unable to perform their job.
To provide the employee with time off arising from the fact that the employee's spouse, child or
parent is on active duty or called to active duty in the Armed Forces, and in support of a
"contingency operation" (members of the Armed Forces involved in hostilities or which result in
a call to active duty).
Service Member Family Leave is available to employees who are the spouse, parent, child or
next of kin of a "covered service member" in need of care. Covered service members include
those undergoing treatment or who are on the military's temporary disability retired list due to a
"serious injury or illness."
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In the event both spouses work for the Institute, only one twelve (12) week leave is
granted for the birth, adoption, or placement of a child in foster care. Each spouse is
eligible for a twelve (12) week leave in the event of a serious health condition. An
employee is not entitled to a total of more than 12 weeks of FMLA leave per year,
meaning a “rolling” twelve month period measured back from the date the employee uses
any such leave. For those using FMLA under the Service Member Family Leave, the
employee can take up to 26 weeks of leave.
To apply for Family and Medical Leave, the employee must obtain and complete a
Request for Leave Form from Human Resources. Employees are asked to give thirty (30)
days notice of intent to take Family and Medical Leave when possible.
The employee may use earned sick and vacation days to be paid during Family and
Medical Leave; otherwise, the leave is unpaid. If the employee chooses to take the leave
without pay, additional vacation and sick leave will not be earned during unpaid leave.
.
The Institute will continue to provide group insurance coverage (e.g.: health insurance, life
insurance, and long term disability insurance) during the leave. If the employee does not
return from the leave for other than health reasons, the employee will be responsible to
reimburse the Institute for the full premium cost of the group insurance coverage.
Health insurance benefits through COBRA will be calculated from the date the leave
began. For further information regarding COBRA benefits (See COBRA section in the
Health Benefits Plan) booklet available from Human Resources.
Certification of a health care provider will be required when taking Family and Medical
Leave when the leave is for a serious health condition. The employee must complete a
Family Medical Certification Form with approval from the health care provider that the
employee is able to return to work. This certification is to be returned to Human
Resources. An employee will be returned to the same or equivalent position as he or she
held before Family and Medical Leave with no reduction in pay or benefits.
For further information regarding Family and Medical Leave, contact Human Resources.
Funeral/Bereavement Leave (REV. 11/01/08)
In the event of an “immediate family member’s” death, employees will be granted up to
three (3) days off from work without loss of pay. “Immediate family members” of the
employee are as follows: mother or father, children, spouse, brother or sister,
grandparents, grandchildren and in-laws (mother, father, brother, sister). If there are
special circumstances involving other family members not mentioned; employee should
consult with the Office of Human Resources for clarification.”
The employee may use sick and/or vacation leave for additional time off, with supervisory
approval.
Military/Reserve Service Leave
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The Institute supports those employees who choose to become members of a reserve unit
of the armed forces, National Guard, or Commissioned corps of the Public Health Service.
• Annual Training
An employee who is required to participate in two (2) weeks of annual training as part of a
military service program may request a leave of absence. The request shall be in written
form accompanied by relevant military orders and given to the supervisor with a copy
placed in the employee’s central personnel file in Human Resources. The employee may,
but is not required to, take earned vacation leave during training.
• Active Duty / Re-employment Rights
Employees who give advance notice of the need to be off for military service or training
will be granted a leave of absence for such purposes and will be provided re-employment
at the end of their leave to the extent provided by the Uniformed Services Employment
Re-employment Rights Act.
For further information regarding USERRA, contact Human Resources.
• Insurance Coverage
Health insurance coverage will cease on the last day of the month during which an
employee was called to active duty. Employees and dependents will be offered continued
health insurance coverage under terms of the Consolidated Omnibus Budget
Reconciliation Act (COBRA). Life insurance and long term disability coverage will cease
on the date the employee reports to active duty. The Institute reserves the right to
continue group insurance coverage for an employee’s dependents under personal hardship
circumstances.
For further information regarding USERRA, contact Human Resources.
Jury Duty
The Institute encourages employees to fulfill their civic responsibilities by serving jury
duty when required. Employees who are summoned to jury duty are granted necessary
time off without loss of pay or fringe benefits. Employees summoned to jury duty must
notify their immediate supervisor and forward a copy of the jury duty summons to be
placed in the employee’s central personnel file in Human Resources.
Leave of Absence Without Pay
A leave of absence without pay may be granted for good cause with approval of the
supervisor and area Vice President. Request for such leaves must be submitted, in writing,
to the supervisor who will consult with the area Vice President regarding approval. A
copy of the leave request will be placed in the employee’s central personnel file in Human
Resources.
The employee will have first consideration for reinstatement to any position for which the
employee meets minimum qualifications. The employee will not be eligible for benefits
during the leave of absence.
6.00
CODES OF CONDUCT
6.01 Attendance (REV. 09/01/03)
Punctuality and attendance are essential to the functioning of the Institute and are expected
of all staff. An employee’s attendance record is considered as part of the performance
appraisal process throughout the year, as well as, in decisions regarding continued
employment and salary increases.
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Employees that demonstrate excessive absenteeism may be expected to provide the
supervisor with a physician’s document indicating that the employee was seen in the
physician’s office. If a physician’s document is requested by the supervisor, the
physician’s document needs to be on file with the supervisor prior to the employee
returning to work. If the employee is reporting to work outside of normal business hours,
the physician’s document is to be given to the supervisor upon the supervisor’s arrival to
work. Employees that do not maintain an acceptable attendance record, as determined by
the supervisor, may be subject to corrective action, up to and including termination.
Any variation from the regular work schedule should be approved in advance by the
supervisor (See Section 3.10 Work Schedules).
Employees who do not give proper notice, as determined by the supervisor, for time off,
may be subject to corrective action, up to and including termination. Vacation leave must
be approved by the supervisor prior to use (See Section 5.12 Vacation Leave).
6.02 Personal Appearance and Dress
An employee’s appearance affects the image of the Institute. Employees are expected to
be neat and clean, and to dress in a manner appropriate for their work environment.
Supervisors will inform employees regarding specific dress requirements when they are
applicable.
6.03 Confidential Information
Employees may have knowledge of confidential information which, if released without
authorization or carelessly handled, may be damaging to the employee or the Institute. It
is therefore important to handle all confidential information with discretion, labeling it
"confidential," safeguarding it when in use, filing it properly, and discussing it only for
Institute business. All personal and personnel information is confidential (See Section
2.04 Intellectual Property and Section 3.15 Personnel Records).
6.04 Solicitation/Distribution Policy
The Institute reserves the right to regulate or prohibit any solicitations or other
communications that occur on its premises, use its identity or communications resources,
or are directed at Institute guests, employees, students, parents, or alumni.
6.05 Personal Telephone Use
Telephone service is provided by the Institute to conduct Institute business. Local calls for
personal use are permitted if they are brief and infrequent. The Institute must be
reimbursed for personal calls that result in toll charges. A personal security code (PSC)
for long distance calls may be obtained by contacting extension 8518. (See Section 3.05
Facilities and Services). The Institute’s “800" long distance lines are for Institute business
only.
6.06 Electronic Mail and Computer Use
E-mail and computer services are provided to employees to conduct Institute business.
(For example, they should not be used to advertise personal items for sale, conduct nonschool business, or commercial enterprises, etc.) Before sending a campus-wide mailing,
please consult Technical Services Center guidelines (See Appendix 9) to determine
appropriate use of the electronic mail system. Fraudulent, harassing, or obscene messages
and/or materials, and chain letters must not be forwarded or stored. Users must be aware
that e-mail is neither private nor secure.
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While the Institute does not censor or edit messages, any individual who authors, stores, or
forwards messages is responsible for their subsequent use and distribution. Users must be
aware that writing, storing, or distributing some material may violate state and/or Federal
laws that govern pornography and workplace and sexual harassment. When in doubt
about appropriate message content, the general guidelines published in the Technical
Services Center Policy for Responsible Use of Rose-Hulman Computing Facilities offers
excellent guidance (See Appendix 9).
6.07 Audio or Video Recording of Employee Communications (NEW 12/19/11)
It is a violation of Rose-Hulman Institute of Technology policy to audio or video record
conversations with any personnel using any recording device unless written approval is
received from your supervisor or a member of senior management or all parties to the
conversation give their written consent prior to any recording. This practice is in direct
conflict with the Institute's Fair Treatment Practices Policy which "strives for a workplace
where accountability, diversity, opportunity, openness, professionalism, teamwork, and a
sense of purpose combine to create a rewarding work experience."
6.08 Firearms and Other Dangerous Instruments (REV. 02/21/05)
The Institute takes seriously its obligation to protect the academic community from
unlawful conduct or conduct which presents a serious threat to person(s) or property
The transfer, use, or possession of explosives, fireworks, firearms, dangerous chemicals,
or any lethal weapon on Institute property under any circumstances except as part of an
Institute authorized activity, instructional session, event or duty is prohibited. This
includes possession or storage of such items in personal vehicles, offices, briefcases, filing
cabinets or any other storage location.
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7.00 FAIR TREATMENT PRACTICES POLICY
The fair treatment practices process is initiated by the employee as a means to assist in
problem resolution with a supervisor or co-worker.
Consistent with its vision to be the best, Rose-Hulman Institute of Technology strives for a
workplace where accountability, diversity, opportunity, openness, professionalism,
teamwork, and a sense of purpose combine to create a rewarding work experience that
promotes fairness and respect for all employees.
However, it is inevitable that in any workplace problems may arise. The Institute
recognizes the right of each employee to seek solutions concerning disagreements arising
from workplace relationships, working conditions, employment practices, or differences
of interpretation of policy. The Institute believes it is essential that those disagreements be
resolved in an effective and timely manner that is fair to the individuals involved.
To assure fair consideration of all employee problem(s), a process for review and appeal
has been established. The Fair Treatment Practices Policy will be revised and updated
periodically.

Employees are encouraged to use the Fair Treatment Practices Policy and must not,
under any circumstances, be penalized for doing so.

Rose-Hulman encourages the use of an open door practice which establishes a
complaint resolution process and fosters an atmosphere of goodwill and cooperation.

To ensure a fair and open workplace, the Institute requires that all employees follow
the policies outlined in this Handbook.
Problem Resolution Procedure
Step 1
When an employee has a question or concern, it is important that the situation be known
immediately. When a problem arises, it should be resolved on an informal basis within the
employee’s department or office if at all possible. The employee is encouraged to discuss
his/her concern with the person causing the difficulty. If the employee is uncomfortable
with this process or if he or she has used this process and is not satisfied with the result,
the employee should discuss the issue with his/her immediate supervisor.
Step 2
Employees are encouraged to use the services provided by Human Resources. If the
employee is uncertain about how to approach a co-worker, supervisor, or staff in Human
Resources, he/she may first seek counsel from a member of the Ombudsman Committee.
This counsel is available at any step in the process.
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Human Resources provide a confidential channel through which to address workplace
concerns and explore ways to address those concerns. The Director of Human Resources
serves as a neutral mediator to encourage discussion among the parties involved in a
dispute. The goals of the mediation are to find a mutually acceptable solution to the
problem and to improve the working relationship. The Director of Human Resources will
also determine whether Institute policies have been followed.
The Ombudsman Committee consists of the elected faculty and staff representatives to the
Board of Trustees. The President may appoint additional persons to the committee to
ensure diversity. This committee serves as a confidential and informal channel through
which to address workplace concerns. Committee members will help the employee
express needs, identify issues, and explore possible solutions to their concerns. If no
resolution is reached, all other channels remain available.
Step 3
If discussion with the immediate supervisor does not resolve the problem to the
employee’s satisfaction, or if the concern involves the immediate supervisor, the employee
should discuss the matter with the next level supervisor. The employee is encouraged to
inform his/her supervisor of the intention to discuss the issue with the next level
supervisor. If necessary, this process may continue until the employee receives a decision
from the area Vice President.
Step 4
The employee may appeal a decision reached in the earlier steps to the Employee
Relations Committee. However, the committee has only recommending authority. Among
its responsibilities are to provide “a suitable forum for mediating conflict and for
facilitating change” and “advocating for a fair and supportive workplace worthy of RoseHulman.” The Employee Relations Committee will schedule meetings with the
individuals involved in the dispute and may request information to assist in the process. If
information or records requested violate the privacy of an employee or another person, the
person’s permission must be obtained. Once the committee has reviewed all of the
information necessary to make a decision, it will meet and discuss the problem in a closed
meeting. Following this discussion, the committee will make a recommendation regarding
the dispute. A majority vote is required. The committee will report its recommendation to
the parties involved and to the President.
Step 5
If the employee does not consider the matter satisfactorily resolved, he/she may request a
meeting with the President to discuss the issue. After reviewing the information related
to the complaint or dispute, the President will make a final decision and notify those
involved.
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FAIR TREATMENT PRACTICES POLICY FLOWCHART
Step 1
Resolve concern within Department/Office
•Discuss concern with person causing difficulty
•If issue not resolved, discuss with immediate supervisor
Step 2
Use Services of Human Resources and/or Seek Counsel from
Ombudsman Committee Member. All Discussions are Confidential.
•Human Resources serves as a confidential mediator for employees to
express concerns and explore solutions to problems.
•Human Resources will determine whether Institute policies have been
followed.
•Ombudsman Committee serves as an informal, confidential resource for
employees to seek advice and counsel during any step in this process.
Step 3
If Immediate Supervisor is the one with whom the employee is having
the problem, or if Problem is not Resolved by the Immediate
Supervisor, Employees Should Discuss Concerns with the Next Level
Supervisor up to the Vice President
•This step may continue until the employee receives a decision from the area
Vice President.
Step 4
Appeal Process to the Employee Relations Committee
•Employee Relations Committee reports its recommendation to the
President
Step 5
Employee May Request Meeting with the President
•President’s decision is final
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8.00
Staff Handbook.
CORRECTIVE ACTION PROCEDURE (REV. 10/01/02)
The corrective action process is initiated by the supervisor only after performance issues
have not improved as a result of performance improvement planning with the employee.
Note: The provisions of these procedures do not apply to staff members during the initial
review period.
Good employment practices dictate the need for a procedure covering discipline and
dismissal. The Institute expects all supervisors to conduct frequent dialogue with
employees regarding job performance and to conduct annual performance appraisals. A
Performance Improvement Plan is to be completed prior to the initiation of any
corrective action. (See Forms option on the Human Resources Web Page)
The Institute has developed a policy of progressive actions, detailed below, which
provide the employee with notice of performance issues that have not improved as a
result of performance improvement planning. Immediate termination is possible for any
act deemed by the Institute to be a major act of misconduct (See Appendix 10 for
examples of Major Acts of Misconduct).
Employees and supervisors should be encouraged to reach resolution at any time during
the process. The supervisor’s written confirmation of problem resolution copied to the
employee, the next level supervisor, and the employee’s central personnel file in Human
Resources, will complete the corrective action procedure.
The presence of Human Resources and/or an Ombudsman or member of the Employee
Relations Committee during the corrective action process is intended to ensure the
employee is treated fairly and Institute policies are followed. Therefore, any fair
treatment practices issue which arises in the corrective action process must be dealt with
in the corrective action process.
Corrective Action Procedure
In all cases, a performance improvement plan should precede corrective action except
when a major act of misconduct has occurred.
Step 1.
Written communication and documentation of corrective action

Supervisor issues written communication to employee outlining performance
issue(s) that have not improved as a result of performance improvement planning.
A copy of this written communication is retained by the Supervisor and copied to
Human Resources and the next level supervisor.
Human Resources or Supervisor schedules meeting to include: Supervisor,
Employee, and Director of Human Resources and, if requested by employee, an
Ombudsman or a member of the Employee Relations Committee. The purpose of
this meeting is to discuss performance issue(s) and to outline steps for resolution.
During this meeting, Supervisor notifies employee that this is the first step in
corrective action.
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•
In consultation with Human Resources, Supervisor completes Personnel Action
Notification Form documenting issue(s) and suggestions for resolution discussed
during the meeting. (See Appendix 11 for Personnel Action Notification Form).
•
Supervisor and employee sign form. Human Resources or Supervisor distributes
as follows: original-retained by Human Resources for employee central personnel
file; copy- Employee; copy- Supervisor.
If employee refuses to sign documentation, the refusal will be noted.
Step 2.
Suspension or Disciplinary Action of Employee
•
If satisfactory resolution is not reached after step one, Supervisor consults next
level supervisor and Human Resources and may notify the employee of a one (1)
day suspension without pay.
•
In consultation with Human Resources, Supervisor completes Personnel Action
Notification Form and determines appropriate corrective action which may
include placing employee on probationary status for a period no less than thirty
(30) calendar days and no more than ninety (90) calendar days, or further
disciplinary action including loss of privileges, suspension without pay, or
termination.
•
Human Resources schedules meeting for next work day following suspension to
include: Supervisor, Employee, and Director of Human Resources and, if
requested by the employee, an Ombudsman or a member of the Employee
Relations Committee.
•
At or after the close of this meeting, employee will be notified of the disciplinary
action taken. Any probationary period will include periodic performance
appraisals to monitor progress toward resolution. The review period will be
determined by the supervisor and employee.
•
Supervisor and employee sign form. Human Resources or Supervisor distributes
as follows: original-retained by Human Resources for employee central personnel
file; copy- Employee; copy- Supervisor.
If employee refuses to sign documentation, the refusal will be noted.
Corrective action shall be active for a period of one (1) year from the time the
first step was initiated. After a period of one (1) year, in the event of a positive
resolution and continued active employment, the corrective action will be
considered concluded.
Step 3.
Termination of Employment
•
Provided the issue has not reached resolution as a result of Step 2 or, if additional
problems arise during probation, employment may be terminated. Supervisor
consults next level supervisor and Human Resources before employment is
terminated.
•
In consultation with Human Resources, Supervisor completes Personnel Action
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Notification Form.
•
Human Resources will schedule a meeting to include: Supervisor, Employee, and
Director of Human Resources and, if requested by the employee, a member of
Ombudsman or Employee Relations Committee. The purpose of the meeting is
termination of employment.
•
Personnel Action Notification Form is signed, Human Resources distributes as
follows: original- employee central personnel file; copy- Employee; copySupervisor.
If employee refuses to sign documentation, refusal to sign will be noted.
Termination for Major Act of Misconduct (REV. 09/01/03)
Immediate termination is possible for any act deemed by the Institute to be a major act of
misconduct (See Appendix 10 for examples of Major Acts of Misconduct).

Based on the circumstances surrounding the major act of misconduct, the
supervisor in consultation with Human Resources and the President, may terminate
the employee immediately.

In all other cases where an employee has committed an act deemed by the Institute
to be a major act of misconduct, the supervisor may immediately suspend the
employee without pay.
•
In consultation with Human Resources, Supervisor completes Personnel Action
Notification Form
•
Human Resources will schedule a meeting for the next work day to include:
Supervisor, Employee, and Director of Human Resources and, if requested by the
employee, a member of Ombudsman or Employee Relations Committee.
•
Employment may be terminated during this meeting.
•
In the event of termination of employment, arrangements for return of all
Institute property issued to the employee or dependents will be made at
this time.
•
Supervisor and employee sign form. Human Resources or Supervisor
distributes as follows: original-retained by Human Resources for
employee central personnel file; copy- Employee; copy- Supervisor.
If employee refuses to sign documentation, the refusal will be noted.
Note: These items will be documented on each Personnel Action Notification Form:
•
Reason(s) for Corrective Action (definition of problem)
•
Outline of action plan to resolve problem
•
Outline of further action if problem not resolved
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CORRECTIVE ACTION PROCEDURE FLOWCHART
Pre-Step
Performance Improvement Plan should precede corrective action in all cases except
when a major act of misconduct has occurred.
Step 1




Written communication and documentation of corrective action
Personnel Action Notification (PAN) Form is completed in consultation with Human
Resources prior to supervisor and Human Resources meeting with employee
Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman
or member of Employee Relations Committee may be present at employee’s request)
(PAN) is signed by supervisor and employee
Original (PAN) is given to Human Resources; copies given to supervisor and employee
Step 2






Suspension or Disciplinary Action of Employee
Complete this step if satisfactory resolution is not reached after step one
Personnel Action Notification (PAN) Form is completed in consultation with Human
Resources prior to supervisor and Human Resources meeting with employee
Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman
or member of Employee Relations Committee may be present at employee’s request)
Employee may be placed on probation
(PAN) is signed by supervisor and employee
Original (PAN) is given to Human Resources; copies given to supervisor and employee
Step 3





Termination of Employment
Complete this step if satisfactory resolution is not reached after step two or additional
problems arise
Personnel Action Notification (PAN) Form is completed in consultation with Human
Resources prior to supervisor and Human Resources meeting with employee
Supervisor and Human Resources meet with employee to discuss termination
(Ombudsman or member of Employee Relations Committee may be present at
employee’s request)
(PAN) is signed by supervisor and employee (If employee refuses to sign, refusal to sign
is documented)
Original (PAN) is given to Human Resources; copies given to supervisor and employee
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9.00
Staff Handbook.
SEPARATION
9.01 Resignation
To resign in good standing with eligibility for rehire, employees are expected to submit a
written resignation to their immediate supervisor at least two (2) weeks prior to the
planned separation date. Exempt employees who intend to resign in good standing are
expected to give at least one month (1) notice in writing to their supervisor.
Resignation letters should include the employee’s reason for separation, effective date of
separation, and the employee’s forwarding address. If a former employee is rehired by the
Institute, the hire date for the calculation of benefits will be the date of rehire. Human
Resources must be notified of the resignation as soon as possible so necessary paperwork
can be completed, final payroll arrangements can be made, and an exit interview with the
Director of Human Resources can be scheduled.
9.02 Termination
By Indiana law, employees of Rose-Hulman Institute of Technology are employees “at
will” which means the Institute has the right to terminate employees at any time with or
without reason or notice.
Termination is not a step in performance counseling. It is a personnel action taken when
the corrective action steps to improve performance or behavior have failed. It is also an
action that may be necessary without prior notice when a major act of misconduct has
occurred (See Section 8.00 Corrective Action Procedure and Appendix 10 for definitions).
The supervisor must inform the next level supervisor and Human Resources before
discharging an employee. Reasons for termination will be documented on a Personnel
Action Notification Form (See Section 8.00 Corrective Action Procedure & Appendix 11).
9.03 Reduction in Force
The Institute strives to provide stable employment for employees. In the event that a
reduction-in force is necessary, the Institute commits to a fair process for identifying those
affected, and to provide reasonable support to facilitate the transition to other
employment. The Corrective Action Procedure does not apply to reduction in force.
9.04 Exit Procedures
Return of Institute Property
Employees leaving the Institute are requested to attend an exit interview with Human
Resources. Institute keys, identification cards, telephone cards, and any other Institute
property issued to employees or dependents are to be returned during this interview. If the
separating employee does not complete the exit interview, the supervisor must collect
Institute property and forward to Human Resources. Institute property, such as uniforms,
tools, laptop computers, calling cards, RHIT ID cards, palm pilots, equipment etc., must
be returned to the supervisor with notification to Human Resources prior to issuance of the
final pay. Computer accounts and voice mail accounts are terminated on the day of
separation from employment.
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Final Payment
Separating employees will normally receive final pay on the next regularly scheduled pay
date following separation. This pay will include any unused vacation leave up to 25 days
as of the separation date (See Section 5.12 Leaves of Absence).
9.05 Extension of Benefits
COBRA Continuation Coverage
A covered person who has a qualifying event will become a qualified beneficiary and may
elect to continue coverage in accordance with the requirements of the Consolidated
Omnibus Budget Reconciliation Act of 1985, as amended, referred to as COBRA.
For further information regarding COBRA, refer to the COBRA section of the Health
Benefits Plan booklet available from Human Resources.
Retirement Account Accumulations
Upon leaving the Institute for reasons other than retirement, employees have several
options available for management of retirement account accumulations. These options
will be presented during the exit interview or by contacting the Benefits Coordinator in
Human Resources.
9.06 Retirement Plan
Retirement from the Institute normally occurs when employees reach their 65th birthday,
or on the last day of the fiscal year in which age 65 is attained. The Institute also offers an
Optional Early Retirement Plan (See Section 5.07 Retirement Plan and 5.08 Optional
Early Retirement Plan).
9.07 Optional Early Retirement Plan
The Institute offers an Optional Early Retirement Plan. Participation in the Plan is
voluntary. (See Section 5.07 Optional Early Retirement Plan).
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APPENDIX 1
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APPENDIX 2
EXECUTIVE OFFICERS
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APPENDIX 3
ROSE-HULMAN INSTITUTE OF TECHNOLOGY POLICY REGARDING
INTELLECTUAL PROPERTY
(Adopted by the Board of Managers on February 24, 1989
now referred to as Board of Trustees)
The primary mission of Rose-Hulman Institute of Technology (RHIT) is to provide highly
qualified students with a superior, rigorous undergraduate education in the fields of engineering
and science. In support of this mission RHIT encourages free and open discussion among
faculty and students and requires the continued intellectual development of its faculty. As one
way of meeting the responsibility for this development faculty are encouraged to publish books
and learned articles, produce academic materials and develop inventions and processes. Many of
these materials and inventions will be the result of collaboration between several individuals and
RHIT. A policy is thus necessary to define the ownership of this intellectual property. In
defining ownership this policy strives to provide an atmosphere in which individual incentive to
produce innovative and valuable intellectual property is maximized while at the same time the
legitimate rights of all parties, including RHIT, are protected.
I. DEFINITIONS
1.1 INTELLECTUAL PROPERTY AND RELATED RIGHTS
The material set forth in this document covers the ownership, distribution, and commercial
development of technology developed by RHIT faculty, staff, and students and others
participating in RHIT programs. The term "technology" as used in this document is broadly
defined to include technical innovations, improvements, inventions, and discoveries, as well as
writings and other information in various forms, including computer software.
The principal rights governing the ownership and disposition of technology are referred to as
"intellectual property" rights, which are derived primarily from legislation granting patent,
copyright, trademark, and integrated circuit mask work protection.
In some instances, distribution and commercialization of technology may be accomplished by
the transfer or licensing of the intellectual property rights, such as patents and copyrights. In
other instances, distribution and commercialization of technology may be aided by or depend
upon access to the physical or tangible embodiment of the technology, as in the case of
biological organisms, plant varieties or computer software. Therefore, this policy will define not
only the ownership, distribution, and commercialization rights associated with technology in the
form of intellectual property, but will also define policies and procedures which govern use and
distribution of the technology in its tangible form. The following overview of intellectual
property rights is limited in scope. The RHIT intellectual property officer should be contacted
for further information regarding any of these rights.
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APPENDIX 3
1.2 PATENTS AND PATENT RIGHTS
A patent is a grant issued by the U.S. Patent and Trademark Office giving an inventor the right to
exclude all others from making, using, or selling the invention within the United States, its
territories and possessions, for a period of 17 years from the date of the patent grant.
Patents may also be granted in foreign countries; procedures for filing, requirements for
patentability, and term of patent grant vary considerably from country to country.
To be patentable in most countries, an invention must be new, useful, and non obvious. In the
U.S., a grace period of 12 months from the date of the first written public disclosure, public use
or offer for sale of an invention is allowed to file a patent application. In many foreign countries,
an invention is un-patentable unless the application is filed before any public disclosure occurs
anywhere. However, if one has filed in the U.S. prior to such disclosure, the applicant has 12
months from the U.S. filing date to file in most non-U.S. countries without losing filing rights.
In addition to more traditional forms of inventions, the patentability of inventions implemented
in computer software is well established in the U.S. A computer software invention generally
will be patentable if it meets the tests of novelty and non obviousness and if its application is as
part of a process or machine. A software invention will be automatically disqualified from U.S.
patent protection only if it is purely a mathematical equation or formula with no other
applications.
1.3 COPYRIGHTS
As provided in copyright law, a copyright owner has the exclusive right to reproduce the work,
prepare derivative works, distribute by sale or otherwise, and display or perform the work
publicly. Under federal copyright law, copyright subsists in "original works of authorship"
which have been fixed in any tangible medium of expression from which they can be perceived,
reproduced, or otherwise communicated, either directly or with the aid of a machine or device.
For an individual author, copyright protection of a work extends for the author's life plus 50
years. For employers, copyright protection of a work extends for 75 years from the date of
publication. In contrast to a patent which protects the "idea", copyright covers the "artistic
expression" in the particular literacy work, musical work, computer program, video or motion
picture or sound recording, photograph, sculpture, and so forth, in which the "expression" is
embodied, illustrated, or explained, but does not protect the "idea".
1.4 TRADE AND SERVICE MARKS
A trade or service mark is a word, name, symbol or device (or any combination) adopted by an
organization to identify its goods or services and distinguish them from the goods and services of
others. In the U.S., trademark ownership is acquired through use of a term or in association with
goods or in connection with services to identify their origin. Trade or service mark ownership is
not dependent upon federal or state registration, but upon use of the mark. Registration of trade
and service marks may be obtained on both the state and federal levels. However, to apply for a
federal registration of a mark, it must be used in interstate commerce.
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APPENDIX 3
1.5 MASK WORKS
A mask work is defined as a series of related images representing a predetermined,
three-dimensional pattern of metallic, insulating, or semi conducting layers of a semiconductor
chip product. Under the Semiconductor Chip Protection Act of 1984, mask work protection
extends for ten years and gives the owner of the qualifying mask work exclusive rights to its
exploitation. Mask works are registered with the United States copyright office.
Failure to apply for registration within two years of the initial commercial exploitation results in
the termination of the exclusive rights.
1.6 TANGIBLE RESEARCH PROPERTY
The term "tangible research property" refers to those research results that are in a tangible form
as distinct from intangible property. Examples of tangible research property include integrated
circuit chips, computer software, biological organisms, engineering prototypes, engineering
drawings, and other property which can be physically distributed.
Although tangible research property may often have intangible property rights associated with it,
such as biological organisms which may be patented or computer software which may be either
patented or copyrighted, RHIT and/or the inventor/author may choose to distribute the research
property without securing intellectual property protection by using some form of contractual
agreement, such as formal contract, loan agreement, letter agreement, or user license as further
set forth in this document.
1.7 RHIT UNITS
RHIT departments, centers established for special purposes, or other such bodies which may
generate inventions or materials.
II.
PRINCIPLES OF OWNERSHIP
2.1 GENERAL POLICY STATEMENT
The prompt and open dissemination of the results of RHIT research and the free exchange of
information among scholars is essential to the fulfillment of RHIT's obligations as an institution
committed to excellence in education and research. Matters of ownership, distribution, and
commercial development, nonetheless, arise in the context of technology transfer, which is an
important aspect of the institute's commitment to public service. Technology transfer is,
however, subordinate to education and research; and the dissemination of information should
normally, therefore, not be delayed beyond the minimal period necessary to define and protect
the rights of the parties.
2.2 PATENT POLICY STATEMENT
Rights in inventions made or conceived or first reduced to practice by RHIT faculty, students,
staff, and others participating in RHIT programs are as follows:
Inventor owned
(a) Not subject to the terms of agreements with research sponsors or other third parties under (a)
below, and
(b) Do not involve the significant use of RHIT administered resources under (b) below.
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APPENDIX 3
Other inventions
RHIT acquires ownership or other rights in inventions as follows:
(a) Inventions subject to the terms of a sponsored research or other agreement are treated in
accordance with the terms of the applicable agreement.
(b) Inventions involving the significant use of funds, equipment or facilities administered by
RHIT are the property of RHIT, subject to any obligations to third parties in connection with
such support.
2.2.1 SPONSORED RESEARCH AND OTHER AGREEMENTS
Grants and contracts applicable to research sponsored by the federal government are subject to
statutes and regulations under which RHIT acquires title in inventions conceived or first reduced
to practice in the performance of the research. RHIT ownership is subject to a nonexclusive
license to the government and the requirement that RHIT retain title and take effective steps to
develop the practical applications of the invention by licensing and other means.
In contacts with industry and non-government sponsors, RHIT's policy requires that RHIT retain
ownership of all patents and other intellectual property rights. Infrequent exceptions to that
policy are negotiated on a case by case basis.
The terms of such agreements apply not only to inventions made by faculty and staff, but also to
those made by students and visitors, whether or not paid by RHIT, who participate in performing
research supported by such agreements. It is essential, therefore, that all individuals participating
in the research be made aware of their obligation to assign rights to RHIT and sign intellectual
property agreements.
2.2.2 SIGNIFICANT USE OF RHIT ADMINISTERED RESOURCES
RHIT does not construe the payment of salary from unrestricted funds nor the provision of office
or library facilities as constituting significant use of RHIT funds or facilities.
When an invention involving the significant use of RHIT administered resources is made by an
RHIT student, with the approval of the laboratory/center director or department chair, may elect
to waive its rights except where the invention is subject to a sponsored research or other
agreement. At the discretion of the laboratory/center director or department chair, RHIT may
retain a right to use such invention for purposes of education and research. In addition, a
student's rights to such invention may be subject to the terms of any financial aid received,
including scholarships, fellowships, traineeships, theses expenses, or other assistance, whether or
not administered by RHIT.
Individuals who are both staff members and students shall be considered to be staff members
with respect to patentable inventions which arise during the course of employment.
Disputes arising under this section with respect to significant use shall be arbitrated by the
Committee on Patents, Licensing and Copyrights whose recommendations shall be forwarded to
the Board of Managers, who retains final authority.
2.3 COPYRIGHT POLICY STATEMENT
Copyright ownership of material (including software) created by RHIT faculty, students, staff
and others participating in RHIT programs, is as follows:
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APPENDIX 3
Author owned
The author acquires copyright ownership in materials (including computer software) which are:
(a) Not developed in the course of a sponsored research or other agreement under (a) below.
(b) Not created as a "work-for-hire" by operation of copyright law or created pursuant to an
agreement in writing with RHIT under (b) below which provides for a transfer of copyright to
RHIT.
(c) Not developed with the significant use of RHIT administered resources under (c) below,
except that ownership by students making significant use of RHIT resources shall be determined
in accordance with section 2.3.4.
(d) Student thesis as provided under section 2.3.5.
RHIT owned
RHIT acquires ownership or other rights in copyrightable material (including computer software)
as follows:
(a) Copyright ownership in material developed in the course of or pursuant to a sponsored
research or other agreement is determined according to the terms of such agreement.
(b) Copyright ownership in material created as a "work-for-hire" by operation of copyright law
or created pursuant to an agreement in writing providing for transfer of copyright to RHIT shall
vest in RHIT.
(c) Copyright ownership in material developed by faculty and staff with the significant use of
funds, equipment or facilities administered by RHIT shall vest in RHIT.
2.3.1 SPONSORED RESEARCH AND OTHER AGREEMENTS
Normally, research contracts sponsored by the federal government provide the government with
specified rights in copyrightable material developed in the performance of the research. These
rights may consist of title to such material resting solely in the government, but more often
consist of a royalty-free license to the government with title vesting in RHIT.
When a work is created under the terms of a sponsored agreement, authors of copyrightable
works should be aware that there may be contractual terms relating to the form of the report,
advance notice to the sponsor before publication, and the like. The intellectual property officer
should be contacted for information or assistance regarding interpretation of contract terms.
2.3.2 WORKS FOR HIRE
Employees - A "work-for-hire," as defined by law, is a work product created in the course of the
author's employment. Copyright of the work product in these situations belongs to the employer.
For example, results of work assigned to staff programmers or writers of university publications
are considered to have been created in the course of the author's employment and are the
property of RHIT. It is the policy of RHIT that it shall own all works for hire.
Non-employees - Under the copyright act, copyright of commissioned works of non-employees
is owned by the author and not by the commissioning party unless there is a written agreement to
the contrary. All RHIT personnel are cautioned to ensure that independent contractors agree in
writing that ownership of the copyright in the commissioned work is assigned to RHIT, except
where special circumstances apply and it is mutually agreed otherwise.
2.3.3 INDEPENDENT WORKS
RHIT does not claim ownership of books, articles and other scholarly publications, or to popular
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APPENDIX 3
novels, poems, musical compositions, sculpture or other works of artistic imagination which are
created by the personal effort of faculty, staff and students independent of employment tasks and
which do not make significant use of RHIT administered resources.
Furthermore, in those situations where copyright to such scholarly or artistic work resides in
RHIT under the terms of a sponsored research or other agreement, or by operation of the
copyright law or otherwise as a result of this policy, RHIT will, upon the author's request and to
the extent consistent with the intent of the sponsor, convey copyright to the author of such work
as further provided under this policy. Where appropriate, the approval of the center director or
department chair will be required.
2.3.4 SIGNIFICANT USE OF RHIT ADMINISTERED RESOURCES
RHIT does not construe the provision of office or library facilities as constituting significant use
of RHIT space or facilities, nor construe the payment of salary from unrestricted accounts as
constituting significant use of RHIT funds, except in those situations where the funds were paid
specifically to support the development of material.
Textbooks, class notes and related materials developed in conjunction with class teaching are
also excluded from the "significant use" category, unless such textbooks were developed using
RHIT administered funds paid specifically to support the textbook development.
RHIT does not acquire rights to independently created software which has been developed using
conventional RHIT resources such as personal computers. RHIT does, however, consider RHIT
organized software development projects as significant use.
However, student authors who make significant use of RHIT resources to develop software will
retain ownership of such software subject to a royalty-free, nonexclusive license granted to RHIT
to use the software for purposes of education and research.
2.3.5 THESES
Copyright of theses will be owned by the student unless (i) they involve research for which the
student received financial support in the form of wages, salary, stipend, or grant from funds
administered by RHIT which impose copyright restrictions and/or (ii) they involve research
performed in whole or in part utilizing equipment or facilities provided to RHIT under conditions
which impose copyright restrictions. Where copyright ownership is retained by the student,
however, the student must grant to RHIT a royalty-free license to reproduce and publicly
distribute copies of the theses.
2.4 TRADE AND SERVICE MARKS
Trade and service marks relating to goods and services developed at RHIT shall be owned by
RHIT.
2.5 MASK WORKS
Ownership of mask works created by RHIT faculty, students, staff, and others participating in
RHIT programs, is determined in the same manner as copyright ownership under section 2.3.
2.6
TANGIBLE RESEARCH PROPERTY (TRP)
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RHIT owns TRP, except when it becomes the property of a third party under the terms of a
sponsored research or other agreement.
III. EQUITIES OF PARTICIPATING PARTIES
3.1
GENERAL POLICY
Licensing, sale or use of technology and intellectual property in which RHIT has a proprietary
interest shall be preceded by a written agreement between RHIT and the author or producer
specifying the conditions of use, and including provisions protecting the right of the author to
revise written or visual materials periodically. Disputes concerning the terms of the agreement
shall be determined by the "Committee" subject to the right of appeal under Section 4.2.2.
If technology or intellectual property are used through licensing or sale or other arrangement, the
author or producer will share in any income received as may be determined under the general
principles of division set forth in Paragraph III) 3.2.2..
RHIT reserves the right to refuse to develop, license, sell, patent, copyright or utilize any
technology whether owned by RHIT or others, in which event waiver of rights under paragraph
4.2.1 iii) will be considered.
3.2
DETERMINATION OF EQUITIES
3.2.1 Determination of the Committee on Patents, Copyrights and Licensing
("Committee")
The Committee shall determine when the rights in and to technology and intellectual property
belong to RHIT in accordance with the provisions of this policy, subject to the right of appeal
under Section 4.2.2.
3.2.2 General Principle of Division
RHIT shall establish a royalty account for any technology or intellectual property for which it
anticipates receiving royalties or other income, and all expenses and income relating to that item
shall be recorded therein. Where more than one such item is licensed together for a common fee
or royalty, a common royalty account may be established for all of the related items and
proceeds allocated in accordance with the Committee's determination.
Income to each royalty account shall, in the absence of other contracts, be distributed as follows:
i) The direct expenses of RHIT allocable to investigating, evaluating, protecting and enforcing
the rights to the item(s) covered by the account, including provision for payment of future
maintenance taxes or fees for any technology, shall initially be charged to the royalty account.
ii) After deductions for direct expenses, net income to the account will be distributed in
accordance with the determination of the "Committee", subject to the right of any interested
party or any member of the Committee to appeal the determination in accordance with paragraph
4.2.2. Under normal circumstances it will be presumed (unless there are clear and convincing
reasons otherwise) that the creator or inventor of the technology or intellectual property and
RHIT will share in said net income to the account using the following table as a guideline:
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APPENDIX 3
Net Royalty Income
Inventor or Creator
RHIT
15,000
100.00%
0.0%
85,000
50.0%
50.0%
900,000
50.0%
50.0%
1,000,000
33.3%
66.6%
With respect to RHIT's portion of the royalties, the "Committee" may recommend to the
President that part of RHIT's royalties be used to fund the RHIT unit or units to which the
inventor or creator belongs, and/or that part be used for the support of further faculty
development, and the President may follow the recommendation of the Committee, subject to the
approval of the allocations by the Board of Trustees under the normal budgeting procedures.
For example, the fund might be allocated depending upon circumstances as follows:
Net Royalty
Income:
First $ 15,000
Inventors or
Creator
100.0%
0.0%
Faculty
Development
0.0%
Institute
General Fund
0.0%
Next $ 85,000
50.0%
15.0%
15.0%
20.0%
Next $ 900,000
50.0%
15.0%
15.0%
20.0%
Over $1,000,000
33.3%
5.0%
15.0%
46.6%
RHIT
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APPENDIX 3
Any determination by the "Committee" that RHIT shall share in the proceeds of any technology
or intellectual property in which RHIT has a proprietary interest, such that RHIT would be
afforded less than the percentages shown above in this subparagraph shall be deemed
automatically appealed to the Board of Trustees for final determination.
IV. PROCEDURES
4.1 REPORT OF INVENTIONS AND MATERIALS
All technology and intellectual property of significant commercial value in which RHIT may
have a proprietary interest under the provisions of this policy shall be promptly reported in
writing by the RHIT personnel concerned through the appropriate department head, dean,
supervisor, or the President, to the committee. If more than one individual participated in the
discovery or development, the report shall be signed by all such participants. The report shall
constitute a full and complete disclosure of the subject matter of the discovery or development
and the identity of all persons participating therein. The participants shall furnish such additional
information and execute such documents from time to time as the Institute may reasonably
request.
4.2 THE COMMITTEE ON PATENTS, LICENSING AND COPYRIGHTS
The procedures associated with the disposition of intellectual properties owned by RHIT and
other questions regarding rights under this policy shall be determined by the Committee on
Patents, Copyrights, and Licensing. This Committee shall be composed of the following
administrators, faculty members and Board members.
- Vice President for Academic Affairs (ex officio -- Chairman)
- Vice President for Business and Finance (ex officio)
- Two members of the Board of Trustees appointed by the chairman of the board
- Two tenured faculty members elected by vote of faculty to two-year terms. Faculty terms shall
be staggered.
4.2.1 Authority
i) The Committee will have the authority to determine the extent to which individuals shall share
in the proceeds of technology and intellectual property that they developed and which RHIT has
a proprietary interest. When two or more individuals are involved, the Committee shall have the
authority to determine their respective equities.
ii) The Committee has the authority to recommend when RHIT will pursue intellectual property
rights for technology in which RHIT has an interest.
iii) The Committee has the authority to recommend to the board that ownership rights of the
Institute be waived. If a waiver of RHIT ownership is granted, ownership reverts to the
individual or individuals who produced the material or invention.
iv) The Committee has the authority to formulate procedures and regulations governing the
administration of the intellectual property policy as long as they are consistent with the policies
set forth in this document.
v) The Committee shall recommend to the President an individual to be designated as Intellectual
Property Officer. This individual shall be responsible for RHIT interests in the development and
protection of technology and intellectual property and assist RHIT personnel in developing and
protecting them.
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APPENDIX 3
vi) The Committee has the authority to advise the President of the Institute on matters
concerning intellectual property and technology and to review the policy document from time to
time. After submission to the faculty & senior staff (the Institute meeting) for review and
comment, the Committee will recommend to the Board of Trustees changes that seem advisable.
4.2.2 Appeal Procedure
Subject to additional provisions regarding determinations of rights, privileges and duties under
this policy as set forth in other provisions of this policy, the “Committee" shall first determine
(by a majority thereof) after receiving such information as it deems appropriate, all questions
regarding the interpretation of the terms of this policy, and all questions and disputes which may
arise regarding the implementation of this policy and the rights, duties and privileges of those
affected by the terms of this policy. Any interested party (which shall be deemed to include the
RHIT personnel creating or producing any technology or intellectual property, the President or
any single member of the "Committee") may appeal any determination of the Committee for
review and determination by the President of the Institute. Any such interested party as above
defined who is dissatisfied with the determination of the President may appeal the determination
to the Board of Trustees of RHIT for final decision. (Any act or power which may be exercised
by the Board of Trustees under this policy may also in lieu thereof be exercised by the Executive
Committee of the Board of Trustees). The decision of the Board of Trustees (or its Executive
Committee) shall be final and conclusive upon all interested parties. Any appeal to the President
or to the Board of Trustees under the procedures set forth in this paragraph must be made in
writing, and shall be delivered to the President or the Chairman or Vice-Chairman of the Board
of Trustees (in the case of an appeal from the President's decision to the Board of Trustees)
within fourteen (14) days following the determination of the "Committee" or the President, as the
case may be. (Otherwise, the determination not appealed within said time period shall be
deemed final and conclusive). If the President is a direct participant in the creation or
development of the technology or intellectual property involved, the Committee's initial decision
may be appealed by any such interested party directly to the Board of Trustees.
4.3 DEVELOPMENT OF COMMERCIAL PROPERTY
4.3.1 RHIT, unless modified by contractual agreement, will have the sole right to develop
commercially any technology or intellectual property owned by RHIT.
4.3.2 RHIT personnel who wish to pursue the development of their independently owned
technology or intellectual property may seek assistance from RHIT in developing commercially
these inventions and materials.
RHIT personnel are equally free to choose some other mechanism for commercializing their
independently owned technology or intellectual property, but prior to such commercialization
should make sure that they do not fall under the terms of a sponsored research, or are otherwise
subject to the terms of this policy.
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APPENDIX 3
4.3.3 RHIT personnel may petition the Committee to recommend to the Board that the Board
waive RHIT ownership rights of any technology or intellectual property. If such a waiver is
granted, ownership will revert to the individual or individuals who produced the technology or
intellectual property.
4.3.4 RHIT personnel may also request from RHIT a license to develop commercially RHIT
owned technology or intellectual property. The Board or its Executive Committee shall decide
on such requests as expeditiously as possible, but in no case longer than 90 days from the date of
the request.
V. POLICY BINDING ON RHIT PERSONNEL
This policy as amended from time to time shall be deemed a part of the conditions of
employment of every employee of RHIT and a part of the conditions of enrollment and
attendance at RHIT by students.
It is the policy of RHIT that individuals, by participating in a sponsored research project and/or
making significant use of RHIT administered resources, thereby accept the principles of
ownership of technology as stated under this policy. In furthering such undertaking, all such
participants agree to sign Intellectual Property Agreements in the form attached to this policy
before participation in any such sponsored research project and/or making significant use of
RHIT administered resources.
VI. AMENDMENTS
This policy may be amended or rescinded prospectively in whole or in part at any time by the
Board of Trustees of RHIT.
ADOPTED by the Board of Trustees at its regular meeting at which a quorum was present held
on February 24, 1989.
VII. INTERPRETATIONS OF RHIT INTELLECTUAL PROPERTY POLICIES
(as revised August 2, 2002)
1. Regarding Section 2.2.2 significant use of RHIT Administered Resources: RHIT does
not consider use of RHIT resources by registered undergraduate students engaged in
projects for required courses to be “significant use.” That is, RHIT makes no claim to IP
generated by students in such courses except where governed by other contractual
agreements.
2. Regarding Section 2.2.1.B: RHIT grants an exception to IP generated by students
engaged in project work sponsored by external clients when said work is part of a
required undergraduate course. This exception includes, but is not limited to, student
projects receiving support from the NCIIA and the Lemmelson Foundation.
3. Undergraduate student project work using RHIT resources and performed outside of
course requirements may be considered significant use (e.g. projects developed with the
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support of Engenius Solutions). RHIT does claim IP rights unless explicitly exempted by
the PLC committee.
4. Entrepreneurs in residence, businesses (or nascent businesses) in the Myers Center that
are not paying reasonable fees for resources are considered to be making significant use
of RHIT facilities and RHIT claims IP rights as described in Section 2.2.2.
5. Ownership and equity agreements of IP for projects with RHV will be governed by
separate contracts as described by 2.2.D-2.2.F upon approval of the PLC committee as
authorized in 4.2.1A.
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APPENDIX 4
HARASSMENT AND SEXUAL MISCONDUCT POLICY (REV. 12/19/2011)
It is the goal of Rose-Hulman Institute of Technology to provide the optimal educational and professional
environment for all students, faculty, and staff. Rose-Hulman is committed to a policy of
nondiscrimination, equal employment, and equal educational opportunity with respect to recruitment,
hiring and training, promotion and treatment of persons in all organizations, services, and programs.
Rose-Hulman will not tolerate any unlawful discrimination or harassment based on race, religion, color,
national origin, gender, age, citizenship status, disability, veteran status or sexual orientation. Any person
violating this policy will be subject to disciplinary action up to and including suspension/expulsion for
students and termination for employees.
General harassment is any unwelcome verbal, written or physical conduct that either denigrates or shows
hostility or aversion towards a person on the basis of race, religion, color, national origin, gender, age,
citizenship status, disability, veteran status or sexual orientation or on the basis of having previously
complained of discrimination or harassment. The harassment has the purpose or effect of creating an
intimidating, hostile or offensive work environment or may interfere with opportunities impacting
employment, academic progress, evaluation, wages, advancement, assigned duties, shifts, or any other
condition of employment or academic development.
Sexual harassment is conduct that includes making requests for sexual favors, unwelcome sexual
advances or other verbal or physical conduct of a sexual nature. This prohibited conduct cannot be used as
a condition of an employee’s continued employment or a student’s continued education. Reprisals, such
as the taking or failing to take any personnel or academic action, may not be made against any person for
rejecting or reporting such prohibited conduct. No employee or student shall threaten or insinuate, either
explicitly or implicitly, that an individual’s submission to or refusal to submit to sexual advances will
affect the person’s employment, academic progress, evaluation, wages, advancement, assigned duties,
shifts, or any other condition of employment or academic development. All persons are prohibited from
conduct of a sexual nature that creates an intimidating, humiliating or offensive working or educational
environment.
Examples of sexual harassment may include, but are not limited to, such conduct as the following:
• Unwelcome sexual advances, flirtations, requests for sexual activity, verbal or physical
conduct of sexual nature.
• Sexual jokes, slurs, speculations about sexual orientation or experience, or sexually explicit
statements;
• The display of sexually suggestive objects or pictures
Any employee who believes that he or she has been subject to harassment should promptly report the
incident in writing* by completing a Harassment/Sexual Misconduct Resolution Form and submitting it
to one of the following persons:
o
o
o
o
His/her supervisor
Area Vice-President/Dean
Director of Human Resources
Ombudsman Committee Member
*While it is preferable to have the complaint in writing, a verbal complaint will also be acted upon in the
same manner.
Student Sexual Harassment
Investigations and procedures related to sexual harassment of students by students are conducted by the
Vice President for Student Affairs & Dean of Students or by the Associate Vice President & Dean of
Student Affairs.
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APPENDIX 4
In addition to the description of harassment listed above, below is information on sexual misconduct as it
relates to students.
Sexual Misconduct includes sexual exploitation, non-consensual sexual contact and non-consensual
sexual intercourse. Sexual misconduct violates Institute policy and Federal civil rights law and may also
be subject to criminal prosecution. The Institute is committed to fostering an educational environment
that promotes prompt reporting of all types of sexual misconduct and timely and fair resolution of sexual
misconduct complaints. Creating a safe environment is the responsibility of all members of the Institute
community.
o
o
o
Sexual exploitation is any conduct in which a person takes nonconsensual, unjust, or abusive
sexual advantage of another for his or her own benefit or to benefit or advantage anyone other
than the person being exploited. This refers to behavior that does not constitute sexual
misconduct or sexual harassment.
Non-consensual Sexual Contact: sexual assault. Any intentional sexual touching by a man or
woman upon a man or woman without effective consent, whether such touching is direct or
through clothing. Sexual touching includes any intentional sexual contact with the breasts,
buttocks, groin, genitals, mouth, or other bodily orifice of another, or touching another with any
of these body parts, or making another touch you or himself or herself with or on any of these
body parts; any intentional bodily contact in a sexual manner, even though not involving the
previously mentioned body parts.
Non–consensual Sexual Intercourse: rape. Any sexual penetration (oral, vaginal, or anal),
however slight, with any object or sexual intercourse by a man or a woman upon a man or a
woman without effective consent. Rape is a crime of violence in which one person forces,
coerces or manipulates another person into sexual intercourse. Rape includes vaginal, oral or anal
penetration and includes forced or coerced oral sex.
Effective consent is informed, freely and actively-given mutually understandable words or actions that
indicate a willingness to participate in a mutually agreed upon sexual activity. Consent may never be
given by minors (in Indiana, those not yet sixteen (16) years of age), mentally disabled persons and those
who are incapacitated as a result of alcohol or other drug use (voluntary or involuntary) or those who are
unconscious, unaware or otherwise physically helpless. Consent that is obtained through the use of fraud
or force (actual or implied) whether that force is physical force, threats, intimidation, or verbal coercion,
is not effective consent.
Any student who believes that he or she has been subject to harassment or sexual misconduct should
promptly report the incident in writing* by completing a Harassment/Sexual Misconduct Resolution
Form and submitting it to one of the following persons:
o
o
o
o
o
o
Dean of Students
Title IX Coordinator (Associate Dean for Student Affairs or designee)
Assistant Title IX Coordinator (Director of Human Resources or designee)
Academic Advisor
Residence Hall Staff
Student Affairs Staff
*While it is preferable to have the complaint in writing, a verbal complaint will also be acted upon in the
same manner.
It is the Institute’s policy to investigate promptly all complaints of harassment or sexual misconduct and,
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APPENDIX 4
where appropriate, to take prompt remedial action Reports of alleged sexual harassment or sexual
misconduct will be investigated as discreetly as the circumstances permit and without recrimination.
After appropriate investigation, any individual who is found to have engaged in sexual harassment or
sexual misconduct will be subject to appropriate sanctions up to and including suspension/expulsion from
school for a student or termination for an employee. Additionally, any person who discriminates or takes
adverse action against another person because that person complains of harassment or assists in an
investigation of a harassment complaint will also be subject to disciplinary action, up to and including
expulsion from school or the termination of employment.
While the investigation’s duration will depend on the nature of the alleged act, generally, a standard
investigation, without an appeal process, will take approximately 60 calendar days.
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APPENDIX 4
HARASSMENT/SEXUAL MISCONDUCT RESOLUTION FORM
(REV. 12/19/11)
This form should be completed in the presence of the issuing Institute representative and immediately
returned to that person afterward. It has been designed to collect facts for resolving workplace and sexual
harassment or sexual misconduct concerns in the Institute.
Please answer each question to the best of your ability restricting your response to the focus of each
question. The last question allows you the freedom to comment on any facts not requested previously.
Remember, this procedure has been designed to protect all students and employees from general and
sexual harassment and sexual misconduct and from being subjected to wrongful accusations of
harassment or sexual misconduct as outlined in the Institute’s Harassment and Sexual Misconduct Policy.
Therefore, resolution will focus on verifiable facts. Hearsay and innuendo are not verifiable facts.
It is the expectation of the Institute that all parties involved in the resolution process be treated
courteously and with respect. This expectation holds true for students, employees and management
personnel. Regardless of their degree of personal frustration, no individual within the organization is
exempt from this exception. The Institute will not tolerate inconsiderate or disruptive behavior as a
substitute for a rational resolution process.
1. Please summarize what happened? Who was involved? Where it took place? When it took place? Please be
specific including names, dates, times, etc.
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________
2. What were your feelings about it?
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
______________________________________________________________________________________
3. What did you do?
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
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APPENDIX 4
4.
What is the background of the incident?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
5.
What documentation do you have?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
6.
Did anyone else see or hear the incident?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
7.
Did you talk with anyone else about it?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
8.
Do you know if this person has harassed anyone else? If so, who? Do you have verifiable facts?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
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APPENDIX 4
9. How did it affect your studies/work?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
10. What would you like the Institute to do about what happened?
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
11. Other comments?
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
________________________________________________________________________________________
_____________________________
Employee or Student Signature
___________________
Date
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APPENDIX 5
DRUG FREE WORKPLACE POLICY
Purpose and Goal
Rose-Hulman Institute of Technology is committed to protecting the safety, health and well-being of
students, employees and visitors in our workplace. We recognize that alcohol abuse and illegal drug use
pose a significant threat to our goals.
We have established a drug-free workplace program that balances our respect for individuals with the
need to maintain an alcohol and drug-free environment.
The Institute encourages employees to voluntarily seek assistance with drug and alcohol problems.
A. Definitions
 Controlled substances/drugs – include, but are not limited to:
o narcotics, such as opium, heroin, morphine and synthetic substitutes;
o depressants, such as chloral hydrate, barbiturates, and methaqualone;
o stimulants, such as cocaine (and any derivatives) and amphetamines;
o hallucinogens, such as LSD, mescaline, PCP, peyote, psilocybin, Ecstasy, and MDMA;
o cannabis, such as marijuana and hashish; and
o any chemical compound added to federal or state regulations and denoted as a controlled
substance.

Covered Individuals
o Any individual who conducts business for the organization, is applying for a position or is
conducting business on the organization's property is covered by our Drug-Free Workplace
Policy.
o Our policy includes, but is not limited to the Cabinet, department heads, directors,
managers, supervisors, full-time employees, part-time employees, off-site employees,
contractors, volunteers, interns and applicants.

Institute premises
o Any building or land owned, leased, or used by the Institute.

Institute vehicle
o Any vehicle owned, leased or operated by the Institute.

Criminal drug statute conviction
o When an employee is convicted of or pleads guilty to a drug statute conviction as defined
by State or Federal Law.

Testing for Reasonable Suspicion
o Testing for a specific cause conducted immediately after there is significant evidence of
using or being under the influence of drugs or alcohol while at work, (i.e.: aroma of alcohol
on breath, exhibiting behavior markedly different from their normal behavior including
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symptoms normally associated with being under the influence, such as staggered gait,
slurred speech, reddened eyes, unkempt look or extreme drowsiness or directly observed
drinking alcohol (when unauthorized) or using drugs).
B. Applicability
Our Drug-Free Workplace Policy is intended to apply whenever a person is representing or conducting
business for the Institute. Therefore, this policy applies during all working hours and while on call or paid
standby.
Prohibited Behavior
It is a violation of our Drug-Free Workplace Policy for Institute employees and covered individuals to use,
possess, sell, trade, and/or offer for sale alcohol, illegal drugs or intoxicants while on Institute premises;
while conducting Institute business off campus or while driving Institute vehicles on or off-campus.
Employees may not be at work under the influence of alcohol or while unlawfully using controlled
substances.
The consumption of alcohol at events where the Institute has authorized such use is
permitted. Only individuals of legal drinking age may consume alcohol at these events.
Prescription and over-the-counter medications are not prohibited when taken in standard dosage and/or
according to a physician's prescription. Any employee or covered individuals taking prescribed or overthe-counter medications will be responsible for consulting the prescribing physician or pharmacist to
ascertain whether the medication may interfere with safe performance of his/her job. If the use of a
medication could compromise their safety or the safety of others, it is the employees and covered
individuals responsibility to use appropriate Institute procedures, as applicable (i.e.: call in sick, use
accrued leave time, request change of job duty or notify supervisor) to avoid unsafe workplace practices.
The illegal or unauthorized use of prescription drugs is prohibited. It is a violation of our Drug-Free
Workplace Policy to intentionally misuse and/or abuse prescription medications. Appropriate disciplinary
action will be taken if job performance deteriorates and/or other accidents occur.
C. Notification of Office of Public Safety
Any individual observed unlawfully manufacturing, distributing, dispensing, using, or possessing alcohol
or illegal drugs on Institute premises is to be reported immediately to the Office of Public Safety.
D. Shared Responsibility

Office of Human Resources Responsibilities
o The Institute will inform all employees of the Drug-Free Workplace Policy upon employment
at New Employee Orientation and annually through usual employee communication
mechanisms.
o Provide access to training for supervisors and managers.
o If notified that an employee may be under the influence, the supervisor will talk with, and
observe, the employee to get the employee’s explanation of what is occurring. If there is a
legitimate explanation for the behavior, then the supervisor may need to provide follow-up,
especially if the reason is due to a medical issue such as diabetes. If there is no legitimate
explanation, then the Director of Human Resources will make a determination on drug testing
due to “reasonable suspicion.”
o Refer and provide appropriate support for employees after drug testing and/or substance abuse
treatment.
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Department Responsibilities
o Supervisors with reasonable suspicion that a substance abuse problem may be resulting in
unsatisfactory work performance should review those problems with the next level supervisor
and the Director of Human Resources. Workplace performance issues should always be
documented.
o Take corrective action as appropriate after consultation with the Director of Human Resources.
o When there is a suspension of responsibilities directly related to drug or alcohol use, upon
authorization to return to work, an individual return-to-work agreement should be written in
consultation with the Director of Human Resources.
o Provide appropriate supervision for employees in accordance with return-to-work agreements.
Employee and Other Covered Individuals Responsibilities
o Employees and other covered individuals are expected to refrain from illegally using drugs or
illegal substances at all times and refrain from being under the influence of alcohol while at
work or representing the Institute. There may be special occasions where alcohol is being
served on behalf of the Institute which would constitute an “authorized” event. If it is observed
that the individual may be under the influence, by exhibiting symptoms such as staggered gait,
slurred speech, reddened eyes, unkempt look or extreme drowsiness, then arrangements will be
made to drive the individual home safely.
o Report any dangerous behavior of the individual to the supervisor immediately.
o Support co-workers and other covered individuals who are seeking assistance.
E. Notification of Convictions
Any employee who is convicted of a criminal drug violation in the workplace must notify the Institute in
writing within five calendar days of the conviction. The Institute will take appropriate action within 30
days of notification.
F. Consequences
One of the goals of our drug-free workplace program is to encourage employees to voluntarily seek
assistance with alcohol and/or drug problems. If, however, an individual violates the policy, the
consequences are serious.
In the case of applicants, if he or she violates the policy, the offer of employment may be withdrawn. The
applicant may reapply after six months and must successfully pass a pre-employment drug test to be
considered for employment.
If an employee violates the policy, he or she may be subject to disciplinary action and may be required to
enter a rehabilitation program. An employee required to enter a rehabilitation program but refuses to do so
or fails to successfully complete the program, and/or repeatedly violates the policy, will be terminated
from employment. This policy does not prohibit the employee from being disciplined or discharged for
other violations and/or performance issues.
G. Assistance
Rose-Hulman Institute of Technology recognizes that alcohol and drug abuse and addiction are treatable
illnesses. We also realize that early intervention and support improve the success of rehabilitation. To
support our employees, our Drug-Free Workplace Policy:
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Encourages employees to seek assistance if they are concerned that they or their family members
may have a drug and/or alcohol problem.
Encourages employees to utilize the services of qualified professionals in the community to assess
the seriousness of suspected drug or alcohol problems and identify appropriate resources for
assistance.
Ensures the availability of a current list of qualified community professionals.
Allows the use of accrued paid leave while seeking professional treatment.
Allows for treatment of drug or alcohol issues through the Institute health insurance plan.
However, the ultimate financial responsibility for recommended treatment belongs to the
employee.
H. Confidentiality
All information received by the Institute through the drug-free workplace program is confidential
communication. Access to this information is limited to those who have a legitimate need to know in
compliance with relevant laws and management policies.
Frequently Asked Questions
Q. How will I know at an Institute sponsored event that the Institute is providing the
alcohol?
A. If you are at an Institute sponsored event, alcohol may be available through an open or cash bar.
Generally, if it is an open bar, ARAMark is providing the alcohol on behalf of the Institute. Each
employee is accountable for ensuring they do not drive while under the influence of alcohol. If you
feel that you are intoxicated, ask a colleague for a ride or call a cab.
Q. What does “under the influence” mean? Drinking one beer or glass of wine?
A. Being under the influence of alcohol occurs at the point one reaches a blood-alcohol
content of .08 percent, the maximum legal limit for intoxication in Indiana. The
number and types of drinks consumed are not an accurate measure of blood alcohol
content, largely because of variations in weight, gender and body fat.
Q. Does the policy apply if I am driving my vehicle on Institute business?
A. If you are driving your own vehicle on Institute business, then your insurance carrier
is primary. Depending on the circumstances, the Institute’s liability insurance could cover if you go
over your liability limit; however, if you were drinking prior to driving, the Institute’s carrier would
not accept responsibility.
Q. If I am at a conference giving a speech in the afternoon, can I have an alcoholic
beverage at lunch?
A. If you are acting in your capacity as an employee of Rose-Hulman, you should refrain from having an
alcoholic beverage until the conclusion of the conference.
Q. If I am at a Rose-Hulman event off campus (banquet, reception, golf outing, alumni
event, track event, etc.) can I consume alcohol? What if I am at dinner interviewing a candidate?
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A. If you are acting in an official capacity as an employee of Rose-Hulman, then you will have to use
good judgment when consuming alcohol. You may want to cease drinking at least one hour before
the end of an event. You do not want to leave the event and drive while legally “under the influence”.
If you know you are under the influence, then ask a colleague for a ride or call a cab.
Q. If I am traveling overseas with students, should I allow them to drink if they are of legal drinking age?
A. If they are of legal drinking age, you are not “allowing” them to drink – they are making their own
decision to drink. If you are buying them alcohol, then it will be your personal liability if a tragedy
occurs. You should refrain from purchasing alcohol for students and you should never purchase
alcohol with Institute funds.
Q. If I am on-call, can I have an alcohol beverage at home?
A. Those employees on paid “on-call” or “standby” status should refrain from consuming alcohol
during this period. Not being able to report to work because of being “under the influence” could result in
disciplinary action.
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APPENDIX 6
ROSE-HULMAN INSTITUTE OF TECHNOLOGY
Office of Human Resources
PERFORMANCE APPRAISAL
To:
Return completed Performance Appraisal to
the Office Of Human Resources, CM 24
no later than ___________________________
Office of Human Resources
From:
Date:
PERFORMANCE APPRAISAL
Employee Name:
Department:
Title:
Reason for Review:  Annual  Initial Review Period  Unsatisfactory Performance  Other
Employee hire date
Date of last appraisal
Due date of this appraisal
Instructions: Carefully evaluate employee’s work performance in relation to current job requirements. Rate employee’s
overall performance in comparison to essential job functions and responsibilities. Mark the appropriate performance rating
with an X inside the box for each general factor.
DEFINITION OF PERFORMANCE RATINGS
Exceeds Expectations – Overall performance consistently exceeds expectations.
Meets Expectations – Overall performance consistently meets expectations.
Needs Improvement – Overall performance consistently does not meet expectations; improvement is needed.
A Performance Improvement plan must be completed for each general factor that is rated as “Needs Improvement”
N/A - Not applicable (e.g. too soon to evaluate or does not apply to this employee).
GENERAL FACTORS
1.
Adherence to Policy – The extent to which an employee follows and observes Institute and departmental policies, such
as, but not limited to, appearance, attendance, confidentiality, ethical conduct and safety
Exceeds Expectations
Meets Expectations
Needs Improvement
N/A
Comments:
2.
Effectiveness/Quality of Work – The extent to which an employee demonstrates qualities, such as, but not limited to,
creativity, flexibility, productivity, organizational and multi-tasking skills; achieves results, such as, but not limited to,
producing work that is accurate, thorough and complete.
Exceeds Expectations
Meets Expectations
Needs Improvement
Comments
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Job Knowledge – The extent to which an employee possesses the practical/technical knowledge required on the job.
Exceeds Expectations
Meets Expectations
Needs Improvement
N/A
Comments:
4.
Judgment/Decision-Making – The extent to which an employee demonstrates the ability to make sound decisions.
Effectively considers all relevant facts, takes action and/or offers recommendations to resolve challenges.
Exceeds Expectations
Meets Expectations
Needs Improvement
N/A
Comments:
5.
Leadership – The extent to which an employee demonstrates qualities such as, but not limited to, encouraging
excellence, fostering commitment, mentoring others, and serving as a positive role model; demonstrates
professionalism, independence, and initiative to support the Institute and departmental missions.
Exceeds Expectations
Meets Expectations
Needs Improvement
N/A
Comments:
6.
Managerial Ability – The extent to which an employee demonstrates effective resource management. Effectively
directs, encourages, and supports others. Is able to prioritize and organize work to ensure assignments are completed
and objectives are met in a timely manner.
Exceeds Expectations
Meets Expectations
Needs Improvement
N/A
Comments:
7.
Professional Relationships – The extent to which an employee demonstrates the appropriate attitude and ability to
cooperate, communicate, and work with internal and external constituents.
Exceeds Expectations
Meets Expectations
Needs Improvement
Comments
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PROFESSIONAL DEVELOPMENT PLAN
1.
Review of prior year’s professional development activities, goals and accomplishments. Include any other new skills
or abilities acquired since last review:
Comments:
2.
Recommendations for goals for the upcoming year:
Comments:
3.
Recommendations for professional development activities for the upcoming year (i.e. seminars, training, schooling,
etc.)
Comments:
Employee Comments:
Employee’s Signature*
Date:
*Signature indicates that the Performance Appraisal has been reviewed with me and does not
necessarily imply that I agree with this Performance Appraisal
Supervisor’s Signature*
Date:
Next Performance Appraisal:  30 Days  60 Days  90 Days  Anniversary Date  Other ____________
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ROSE-HULMAN INSTITUTE OF TECHNOLOGY
Office of Human Resources
PERFORMANCE IMPROVEMENT PLAN
Employee Name
Department
General Factor
(list the general factor category which needs improvement)
Performance Issue: (describe in detail the performance issue, citing examples)
Specific Improvements: (describe specific improvements needed)
Action Plan: (list in detail the steps needed to make these improvements)
Follow-Up Review
Date:
Employee’s
Signature*
Date:
*Signature indicates the Performance Improvement Plan has been review with employee.
Supervisor’s
Signature*
Date:
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PERFORMANCE IMPROVEMENT PLAN
FOLLOW-UP REVIEW
General Factor
Employee has achieved the required improvement(s) as described on the Performance
Improvement Plan, no further action is necessary.
Employee has made some progress as described on the Performance Improvement Plan, but
improvement(s) are still needed. Additional follow-up review is necessary.
Performance Issue: (describe in detail the performance issue, citing examples)
Next Follow-Up Review
Date:
Employee has made no improvement(s) as described on the Performance Improvement
Plan, further action is necessary. This section should be reviewed with the Human Resources
Office prior to completing.
Specific Improvements: (describe specific improvements needed)
Next Follow-Up Review
Date:
Comments:
Employee’s
Signature*
Date:
*Signature indicates the Performance Improvement Plan has been review with
employee.
Supervisor’s
Signature
Date:
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APPENDIX 7
SNOW POLICY
Any decision to cancel classes and close the school is made by the President or, in his absence, by
another Executive Officer of the Institute. In considering such a decision, the fundamental premise is that
we want to keep the school open and are not looking for a reason to close. This viewpoint does not reflect
the desire to simply keep going when other institutions are closing. It reflects, rather, our seriousness of
purpose and our unique situation.
First, we take our educational mission seriously. While everyone enjoys a holiday, we also
recognize how much learning has to be accomplished in a short period of time. Students are paying their
tuition for the classes and laboratories we provide. This is the major focus of their lives and--while we
know they would probably forgive us for canceling a class or assignment--they also depend on us to give
them the education they have contracted for.
Second, our situation is different. The first question to be asked in thinking about a school closure
is, “Can the students get here?” Since 60% of our students reside on campus, the answer to that is almost
always “Yes.” That doesn’t mean we ignore the other 40%, but we know we will have people in the
classroom if we decide to hold class. Thus, while companies or schools that draw their people from all
over the Wabash Valley may be well advised to close in bad weather, we have the “luxury” of remaining
open. The other questions we have to ask are not as easily answered:

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
Can off-campus students get here?
Can faculty and staff members get here?
If students, faculty members, and staff members can get to campus, will its roads and
walkways be reasonably clear?
Would the wind-chill put students or employees in serious jeopardy if they become
stranded while trying to get to campus?
To answer questions one and two, we look at the condition of the main arteries: I-70, Wabash,
Ohio, Poplar, etc. If they are passable then a significant portion of the employees and off-campus students
can probably get here because they live reasonably close to those streets. We realize that a portion of our
faculty and staff members live in rural areas that are inaccessible even in modestly bad weather, but we
will plan to hold classes as long as we’re sure the majority can be here. If we did otherwise, we would be
closed a large portion of the time. The answers to the latter questions all depend on someone evaluating
the particular situation and making the final decision.
After the school has made its best decision, employees and off-campus students must make theirs.
We expect them to have some commitment to the goals and purposes of the school and to make a
reasonable effort to get here even if it is somewhat inconvenient. On the other hand, people should not
take unreasonable risks with their lives or their property to be here. Ultimately, each of us must decide the
advisability of trying to reach the campus when the weather is inclement. Only you know your particular
situation, and you will not be criticized if your best judgment tells you not to venture out.
The school hopes this policy seems reasonable and welcomes your suggestions about how this
decision-making process might be improved. (See Section 4.10 Inclement Weather)
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APPENDIX 7
PAY POLICIES FOR INCLEMENT WEATHER CLOSINGS
Any decision to cancel classes and close campus is made by the President or designee (another Cabinet
member) in the President’s absence.


If campus remains open, staff are expected to report to work.
If campus is closed prior to staff reporting for their scheduled work day/shift, they will be paid for
regular scheduled hours.
EXEMPT STAFF
If campus remains open and adverse weather conditions develop during the work day, exempt staff
may request to leave early and take vacation time.
If campus remains open and exempt staff are unable to report to work due to adverse weather
conditions, they will be required to take vacation time to be paid; if exempt staff have no vacation
accrual, their pay will be docked for the full day.
Exempt staff who left work due to the campus closing will receive regular pay from the time of the
closing through the end of their regular scheduled work day.
Exempt staff who were not at work at the time of the campus closing because they were scheduled to
use vacation or sick hours, will report vacation or sick hours taken.
NON-EXEMPT/HOURLY STAFF

If campus remains open and adverse weather conditions develop during the work day, non-exempt
staff may request to leave early and take vacation time to be paid.

If campus remains open and non-exempt staff are unable to report to work due to adverse weather
conditions, they will be required to take vacation time to be paid; if non-exempt staff have no
vacation accrual, their pay will be docked for their regular scheduled shift.

Non-exempt staff who left work due to the campus closing will receive regular pay from the time
of the closing through the end of their regular scheduled shift.

Non-exempt staff who were not at work at the time of the campus closing because they were
scheduled to use vacation or sick hours, will report vacation or sick hours taken.

Non-exempt staff determined to be “essential personnel” based on their immediate job functions
and/or as required by their supervisor, and who reported to work or continued to work past the
time of campus closing, will be paid one and one-half times all hours worked during the closing
period; plus an additional eight (8) hours of vacation will be added to their vacation accrual bank.
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Special schedules not worked will not be paid; for example, those staff who had planned to work
extra hours, but left due to closing, will not be paid for anticipated extra hours – only through the
end of their regularly scheduled shift.

Hours worked during closing periods require pre-approval of the employee’s supervisor.

Non–benefit eligible staff, including student workers and temporary workers, receive pay only for
hours actually worked, even if those hours occurred after the Institute is closed.

If circumstances require the closing of the Institute to extend beyond 48 hours, work schedules and
pay procedures will be determined as needed.
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APPENDIX 8
WORKER'S COMPENSATION INSURANCE (REV. 09/01/03)
Worker's Compensation is a law mandated by the State of Indiana to provide insurance coverage for all
employees who may be injured on the job. The purpose is to help the work-injured employee recover to
pre-injury status and return to the workplace.
Step by Step Claim Procedures
1. Immediately notify your immediate supervisor or Site-Coordinator of the injury.
2. Complete the First Report of Injury, form if injury is not life threatening.
3. The immediate supervisor or Site-Coordinator must deliver or fax to extension 8032 the completed
First Report of Injury form to the Risk Management Coordinator within 24 hours of the date of the
injury.
4. The injured employee should READ the Employee Packet received from their immediate
supervisor or Site-Coordinator.
5. Go to one of the medical care providers listed within your employee packet for treatment due to
your work related injury.
6. During your first visit, provide the medical care provider with the Medical Provider Report that is
located within your employee packet.
7. Return to work and provide your immediate supervisor or Site-Coordinator with the Medical
Release or Return-To-Work form that you received from the medical care provider.
8. If a prescription is required, due to your work related injury, DO NOT use your Rose-Hulman
prescription card. You must do one of the following:
a. Pay for the prescription and bring the cash register receipt for the prescription, along with your
prescription information, to the Risk Management Coordinator in Moench Hall, room DL111.
These charges will be submitted to our insurance carrier for reimbursement to the employee. You
cannot be reimbursed for prescription charges without a cash register receipt.
OR
b. Contact the Risk Management Coordinator extension 8457; during office hours and she will
make arrangements to have your prescription filled at a local pharmacy at no out of pocket cost to
the employee.
Failure to follow these procedures by seeking your own medical care will result in non-payment of
medical bills and you will be responsible for the incurred medical costs.
Note: Worker's Compensation wages are non-taxable. For additional information on Worker's
Compensation, please contact the Risk Management Coordinator extension 8457.
Return to Work Program
In the event your injury requires work restrictions, the Institute will contact your immediate supervisor to
determine if the restrictions would prohibit you from performing your essential job functions.
If the work restrictions prohibit you from performing your essential job functions, and if there is no other
work available within your department, the Institute will temporarily place you with another department
where alternative work may be available or applicable. You will remain in that department until your
work restrictions are changed or until the alternative work is no longer available.
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APPENDIX 8
If there is no alternative work available on campus, you will then be required to remain off work until
your work restrictions are changed or until you are released to return to work, whichever comes first.
Worker’s Compensation Insurance forms site
http://www.rose-hulman.edu/Users/groups/AdminSvcs/html/forms/index.htm
Risk Management site
http://www.rose-hulman.edu/Users/groups/AdminSvcs/html/insurance/index.htm
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APPENDIX 9
POLICY FOR RESPONSIBLE USE OF ROSE-HULMAN COMPUTING FACILITIES
GENERAL GUIDELINES
A. GENERAL GUIDELINES
o Computing resources and facilities are provided by the Rose-Hulman Institute of
Technology (RHIT) for the following uses:
o Support and enhance the educational mission of the Institute
o Support and enhance the educational experience of every student
o Assist the faculty, staff, and students in their academic, research, and professional
activities
o Provide administrative support for the Institute
All RHIT computing resources and facilities (computers and file servers, internet access, internal
network access, printing services, public lab computers, etc.) are shared among all faculty, staff,
and students. Individual users are expected to ensure that their activity does not preempt or
hinder some other user's activity. Furthermore, all use must be responsible (ethical and legal),
based on criteria outlined in this document.
Misuse of the RHIT computing resources harms every member of the RHIT community. The
general policy of the Institute published in the Student Handbook offers excellent guidance
about responsible use of Institute computing resources and facilities:
The Institute values its reputation for moral leadership as much as its reputation for academic
excellence and expects all persons associated with it to maintain the reputation. The Institute's
Code of Ethics is simple and direct: Rose-Hulman expects its students to be responsible adults
and to behave at all times with honor and integrity.
The Institute, whenever possible, gives all legitimate users the discretion to determine how best
to shape their own use of the computing resources and facilities within the guidelines of this
policy. Users are responsible for their actions, the consequences of those actions, and the
consequences of negligent inaction. As such, users whose judgment leads to activities
inconsistent with the guidelines of this policy risk disciplinary action and possible imposition of
restrictions to enforce the guidelines of this policy.
The guidelines set forth in this policy are not a comprehensive list of what is or is not allowed but
rather a guide to help individuals exercise good judgment and responsible system use. No one
should assume that any system use not specifically excluded by this policy is legitimate or that it
will be treated as such. Any use that endangers or degrades the computing facilities or has the
potential to do so is contrary to this policy. The Institute enforces the principles in this document
as well as the specific guidelines enumerated below.
While responsible incidental personal use (personal email, network browsing, game playing, etc.)
of the computing system is acceptable, the primary purpose for its existence is to support the
educational and academic missions of the Institute. Incidental personal use must not interfere
with the educational mission of the Institute or the incidental personal use being exercised by
other users.
B. SPECIFIC GUIDELINES
1. Applicability
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This policy applies to all Institute computing facilities (equipment, networks, network
connections, and software) and services. In some cases, it may be superseded or
modified by policies of departments with their own computing facilities. However,
where departmental facilities are used for tasks that involve facilities or services
provided by the office of Instructional, Administrative and information Technology
(IAIT) this policy will apply.
2. Illegality
All illegal behavior is fundamentally unethical and therefore violates this policy; such
behavior may result in both disciplinary and legal repercussions.
3. Negative Impacts on Others
The use of computing facilities, either intentionally or through reckless system use, to
harm or negatively impact another's legitimate use of computing facilities is unethical.
4. Limited Resources
Due to resource limitations, priority is given to purely academic and administrative
tasks when resource needs are in conflict. Users whose consumption is excessive during
times when resources are critically limited may be subject to IAIT regulation. To aid
users in moderating their resource consumption, IAIT makes available information and
statistics regarding individual consumption of resources.
5. Public Equipment
Public equipment (workstations, terminals, printers, etc.) is provided by the Institute for
use by all students, faculty, and staff. This equipment is provided as a shared resource.
If your use of the equipment adversely affects its availability to the community, IAIT
may restrict your access to these resources. Public equipment is maintained by IAIT,
and problems with said equipment should be reported to IAIT. Under no circumstances
should you attempt to move, repair, or service the equipment.
6. Account Responsibility
User accounts, like computing facilities, are provided and owned by the Institute. Use of
Institute accounts is a privilege, and users are responsible for any unauthorized use
made of their accounts or of material stored in their accounts. The intentional attempt to
gain unauthorized access to any account is unethical. Because unscrupulous users may
still attempt such behavior, users should be aware that no email, files, or data, are
perfectly secure.
7. Intellectual Property Theft and Tampering
Viewing or using private files, programs or data without authorization is an invasion of
privacy, even if that material appears to be legally and/or electronically unprotected.
Copying, providing, receiving, using copyrighted material in ways inconsistent with
valid licensing agreements is a violation of this policy. Due diligence must be exercised
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by the creators and users of networks or services which enhance or facilitate file access
and/or sharing capabilities beyond those of the core Institutional computer services in
order to ensure that copyrighted materials are not copied, provided, received, shared, or
used in ways inconsistent with valid licensing agreements. Users must realize that
unauthorized access or use of computing resources may be a criminal or civil offense.
8. Electronic Communications
Sending fraudulent, harassing or obscene messages and/or materials is unethical, and
may be illegal. When in doubt about appropriate message content, consult the general
statement published in the Student Handbook and given under the general guidelines
above.
9. Information Services
Public information services available to users beyond Rose-Hulman campus are not
within the jurisdiction of IAIT. Faculty or staff questions and concerns about providing
such services in a legal and ethical manner should be directed to the Department of
Development and External Affairs (DEA); student questions should be directed to the
Rose-Hulman Student Government Association (SGA).
10. Commercial Use
Use of Institute computer resources for non-Institute commercial purposes in a manner
that places a disproportionate draw on aggregate Institute resources requires written
authorization and arrangement for suitable compensation to the Institute. Arrangement
of such authorization and compensation falls under the jurisdiction of, and should be
arranged with, the Vice President of IAIT.
11. Disclaimer
To provide opportunities for intellectual and personal development campus
organizations may offer computer access to material on a variety of topics. However,
the availability of material on the server does not imply that RHIT approves or endorses
its content. Material is neither censored nor reviewed and therefore may be offensive,
inaccurate or simply untrue. Users should apply the skepticism of a responsible adult
when accessing such material. Users must be aware that material available through these
services may be objectionable to others.
C. ENFORCEMENT
1.
Access Restriction
Systems that are incorrectly configured or compromised by a third party can have
adverse effects on the Rose-Hulman network. In these cases IAIT may be forced to
restrict that system's access to the Rose-Hulman network until the problem is remedied.
2.
Malicious Behavior or Use
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Malicious behavior or use will not be tolerated. If a system is being used to commit such
acts, it will be immediately removed from the network.
3.
Notification
In situations where a system must be removed from the network, or its access to the
network must be restricted, IAIT will make its best effort to notify the owner of the
system before the action occurs. However, in cases requiring immediate solution, IAIT
reserves the right to take action without notice. In such cases, IAIT will notify the owner
of the system as soon after the action as possible.
D. PROSECUTION AND REDRESS
Violations of this policy are treated as disciplinary infractions. Normally, the Dean of
Students (or a designated representative from the office of Student Affairs) will first
discuss an alleged violation with the individual involved. In the case of disputes, the
case will be referred to the Computer Use Policy Advisory Committee for a hearing that
will result in a recommendation to the Dean of Students. Then, if necessary, the Dean of
Students will take action in accordance with the disciplinary policy of the Institute (see
the Discipline and Suspension section of the Academic Rules and Procedures).
Actions can result in disciplinary probation, suspension, expulsion, and/or legal action.
Institute disciplinary actions may be taken in addition to or regardless of the results of
legal action.
2. The Academic Rules and Procedures specify the procedures to be followed for
resolving disputes and hearing appeals of decisions for violations of this policy.
3. Users who observe any instance of unethical or illegal computer should take the
appropriate action, up to and including notifying the office of IAIT. Failure to do so
could be viewed as an admission of shared responsibility for such actions and their
results. The longer violations of the Computer Use Policy continue, the more harm they
do to the Rose-Hulman community.
1.
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APPENDIX 10
Major Acts of Misconduct
It is not possible to describe all conduct which would constitute a major act of misconduct.
Therefore, the following list is not exhaustive.
A major act of misconduct may include but is not limited to the following:

Theft

Gross Insubordination-(e.g.:, glaringly noticeable behavior which is disruptive, rebellious,
uncontrollable or unruly)

Dishonesty-(e.g.:, behavior which is fraudulent and/or lacks integrity)

Release of Confidential Institute Data or Information without Proper Authorization

Inappropriate Use or Possession of Alcohol or Drugs on Institute Premises

Abusive Behavior-(e.g.:, fighting, aggravated workplace and/or sexual harassment)

Discriminatory Practices in any Form

Intentional Destruction of the Institute’s Property

Intentional Destruction of Another Employee’s Property

Possession of a weapon or explosives

Job Abandonment

Falsification of any record

Conviction of a crime, the nature of which would render you undesirable as an associate or coworker

Gross negligence in the performance of employment duties

Conduct that brings the Institute into disrepute

Transfer, use or possession of explosives, fireworks, firearms, dangerous chemicals or any
lethal weapon
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APPENDIX 11
PERSONNEL ACTION NOTIFICATION FORM
Employee_________________________________________________________________
Supervisor________________________________
Date of Action________________
The following action is being initiated in accordance with Institute
policies and will be entered into your central employee personnel file.
________Written Communication
_________Probation
_______Suspension
_________Termination
Employee signature indicates he/she has been provided a copy of this notification. It does not necessarily indicate agreement
with the content. The employee has the right to respond in writing. The response will be kept with this document. The presence
of Human Resources and/or an Ombudsman or member of the Employee Relations Committee during the corrective action
process is intended to ensure the staff member is treated fairly and Institute policies are followed. Therefore, any fair treatment
practices issue which arises in the corrective action process must be dealt with in the corrective action process.
_________________________________________
(Employee)
_________________________________________
(Immediate Supervisor)
_________________________________________
(Human Resources)
09/01/98
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APPENDIX 12
KEY AND ELECTRONIC ACCESS CONTROL POLICY
1.0 PURPOSE
1.1
Rose-Hulman Institute of Technology established a Keys and Electronic Access policy to promote the
safety and security of the Institute. The safety and security of our campus is dependent upon adherence
to and enforcement of this policy.
2.0 DEFINITIONS
2.1
Institute Keys/Electronic Access: Keys and electronic access system which opens property or assets
owned, leased, rented, or temporarily controlled by the Institute.
2.2
Central Key Control File: Records maintained by the Facilities Operations Department and the Office
of Public Safety that identifies electronic access and keys by number and function and signatures of
personnel having possession of campus keys.
2.3
Access Control Manager: The Senior Director of Facilities Operations is responsible for the
management and maintenance of the keying and electronic access systems.
2.4
Lock Shop: An office in the Facilities Operations Department where the Locksmith is located.
2.5
Review Team: Representatives from Facilities Operations, the Office of Public Safety and the
authorizing department of the affected area will jointly evaluate all safety and security concerns.
2.6 Authorized Requestors: The individuals given the authority and responsibility for the adherence to and
implementation of this policy. Authorized requestors are responsible for authorizing all individual door
key and electronic reader access requests for their area of responsibility.
3.0 POLICY
Administration of Institute Keys/Electronic Access
3.1
The Senior Director of Facilities Operations administers regulations and procedures consistent with
Institute policy to control campus keys and electronic access associated with assets owned, leased,
rented, or temporarily controlled by the Institute and their occupants. The Senior Director of Facilities
Operations may delegate administration of the keying and electronic access system.
3.2
In no case shall the issuance of a key or keys be authorized by the same person to whom the key or keys
are to be issued.
3.3
The Review Team will review requests not addressed in this policy.
3.4
The Facilities Operations Department alone will authorize and direct the installation of access control
hardware for the Institute.
Eligibility for Keys
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3.5
Institute keys will be issued to key recipients only when authorized by a Vice President, Department
Head or their designated representative.
3.6
The Institute President may authorize the issuance of master keys to Institute employees other than the
Vice Presidents or Department Heads.
Responsibilities of Vice Presidents & Department Heads
3.7
Vice Presidents are the overall authority to assure this policy is fully implemented within their
respective areas and are responsible for the safety and security for their assigned space or
building.
3.8
Vice Presidents/Department Heads will grant authority to Authorized Requestors within their
respective areas with the responsibility for requesting keys and electronic access on behalf of
the department. The Vice Presidents/ Department Heads will forward written verification to the
Lock Shop identifying the Authorized Requestor(s) for their areas. Requests from individuals
not authorized in writing by a Vice President or Department Head will be denied.
Responsibilities of Facilities Operations’ Senior Director of Facilities Operations
3.9
The Senior Director of Facilities Operations is responsible for the administration of Key /Electronic
Access which includes the following:






Approves all new access control systems and modifications to existing systems.
Directs Lock Shop employees’ activities.
Ensures the involvement of representatives from the IAIT Department with the design and
planning of new and modified access control systems.
Establishes service programs for access systems.
Reviews departmental key/access activity annually.
Prioritizes the installation of all lock work on Institute facilities and properties.
Responsibilities of Facilities Operations’ Lock Shop Staff
3.10 The Locksmiths are responsible for the administration of Key /Electronic Access which includes the
following:







Manages the keying/access system for Institute facilities.
Maintains current and accurate access control files.
Fabricates keys and combinates cores.
Responsible for the operating software and hardware of the electronic access system.
Manages electronic access privileges and door lock/unlock schedules.
Ensures all assigned keys are returned prior to due date or upon transfer / termination.
Maintains confidentiality of all records.
Responsibilities of Authorized Requestors
3.11 Authorized Requestors will approve the issuance of keys for their respective areas of
responsibility and provide approval for electronic access to buildings and spaces via
established lock shop procedures.
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3.12 Authorized Requestors and Human Resources will notify the lock shop staff when key holders
terminate employment or transfer to another department.
3.13 Authorized Requestors will ensure keys are returned by established expiration dates.
3.14 Authorized Requestors will confirm assigned key inventories annually with the lock shop staff.
Responsibilities of Key/Electronic Access Card Recipients
3.15 Key recipients will sign a key receipt form. Key recipients will maintain possession and security of all
Institute keys and/or electronic access cards.
3.16 Key recipients will immediately report loss or theft of Institute keys or electronic access cards to their
Vice President or Department Head, the lock shop staff and the Office of Public Safety.
3.17 Key recipients will return keys issued by the locksmith by the due date.
Building Access
3.18 Building exterior doors will be locked/unlocked on a predetermined schedule. Faculty and Staff have
building access after buildings have been secured, through badge readers located on exterior doors, of
the building where their primary work station is located.
Note: The Office of Public Safety has access to all Institute facilities and is on duty 24/7. They can be
contacted for emergency or approved access at any time by calling 877-8590.
3.19 Non-Institute owned or unauthorized locks will be removed by Facilities Operations and/or the Office of
Public Safety.
3.20 The Office of Student Affairs will issue electronic access cards and maintain responsibility for
the management of keys and electronic door schedules for all residence halls.
Lost or Otherwise Un-Returned Keys
3.21 In the event of a lost or otherwise un-returned key the employing department is
responsible for the cost of the key(s) if the Institute is unable to secure payment from the
former key holder.
3.22 Lost or un-returned individual key: $20.00 per each lost key and $50.00 for each re-core.
3.23 Replacement keys will only be issued after the submission of a new, completed Key Request Form, and
after payment of lost key charges. Should re-keying be necessary, the cost is the responsibility of the
authorizing department.
3.24 Charges for lost or stolen keys are established by Facilities Operations and approved by the Vice
President and Chief Administrative Officer. Charges are reviewed annually and adjusted as deemed
necessary.
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3.25 When keys are unaccounted for (lost, stolen, unreturned, etc.) the affected rooms, areas, or
buildings will be re-keyed. The Review Team will investigate each instance of compromised
areas. The Vice President may request in writing the applicability of the mandatory re-keying
policy to the affected area.
Duplication of Keys/Electronic Access Cards
3.26 Duplication of keys by anyone other than Facilities Operations is prohibited.
3.27 Replacement electronic access cards are issued by the Office of Student Affairs.
Security Keying
3.28 Requests for secure area keying will be evaluated by the Review Team.
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APPENDIX 13
SMOKING IN PUBLIC PLACES AND PLACES OF EMPLOYMENT
Chapter 58
3-58-1 Findings of fact and statement of purpose
a)
3-58-2
The Vigo County Board of Health finds the following facts to exist:
1). Tobacco smoke is a major contributor to indoor air pollution, and breathing second hand smoke is a
cause of disease, including lung cancer, in nonsmokers. At special risk are children, elderly people,
individuals with cardiovascular disease and individuals with impaired respiratory function, including
asthmatics and those with obstructive airway disease. Many of these individuals cannot go into public
places with second hand smoke due to their respiratory or allergenic handicap; and
2). Health hazards induced by breathing second hand smoke include, but are not limited to, lung
cancer, heart disease, respiratory infection and allergic reactions function; and
3). The simple separation of smokers and nonsmokers within the same air space may reduce, but does
not eliminate, the exposure of nonsmokers to environmental tobacco smoke for which there is no know
safe level of exposure.
Definitions
For the purpose of this Article, the following words and phrases shall have the meanings given them in this Section.
a).
Bar. Bar means any building, room or area used primarily for the sale of alcoholic beverages for
consumption by guests on the premises, and where only guests that are at least 18 years of age may
legally enter the establishment.
b).
Place of employment. Place of employment means any enclosed area under the control of a public or
private employer which employees normally frequent during the course of employment, including, but
not limited to, work areas, private offices, employee lounges and restrooms, conference and classrooms,
employee cafeterias and hallways. A private residence is not a “place of employment” unless it is used
as a childcare, adult day care or health care facility.
c). Public conveyance. Public conveyance means any air, land or water vehicle used for the transportation of
persons for compensation, including but not limited to airplanes, trains, buses, boats and taxis;
d).
e)
f)
g)
h)
i)
Public place. Public place means any enclosed, indoor area used by the general public, including, but not
limited to, restaurants, retail stores, offices and other commercial establishments, public conveyances,
bars, hospitals, auditoriums, arenas, common areas of hotels and motels.
Restaurant. Restaurant means any coffee shop, cafeteria, sandwich stand, private and public school
cafeteria, and any other eating establishment which gives or offers for sale food to the public, guests, or
employees, as well as kitchens in which food is prepared on the premises for serving elsewhere,
including catering facilities.
Retail store. Retail store means that portion of a commercial occupancy used for the transaction of
business or the rendering of a service directly to the public, including shops, convenience stores, retail
food stores, laundries or laundromats and department stores;
Room. Room means any indoor area bordered on all sides by a floor to ceiling wall. The sides must be
continuous and solid except for closeable doors for entry and exit;
Private Room. Private room means any room that is rented for private entertainment or lodging. Private
room means any indoor area bordered on all sides by a floor to ceiling wall. The sides must be
continuous and solid except for closeable doors for entry and exit;
Smoking. Smoking includes possessing or carrying a lighted cigar, cigarette, pipe or any other lighted
smoking equipment.
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3-58-3 Smoking prohibited in public places; exception
No person shall smoke in any public place except:
a)
b)
c)
d)
e)
f)
3-58-4
Established restaurants must have a designated smoking area in a separate room enclosed on all sides by
continuous floor-to-ceiling walls, interrupted only by closeable doors by July 1, 2007.
Restaurants established after the clean indoor air ordinance is signed in as record must have a separate
designated smoking room enclosed on all sides by continuous floor-to-ceiling walls, interrupted only by
closeable doors, and separately ventilated to the outside with negative air pressure.
Bars as defined by section 2 (exempt from amendments or addendums to ordinance for five years after
July 1, 2007)
The bar area of a bar/restaurant:
1) The bar area must be separately enclosed on all sides by continuous floor-to-ceiling walls,
interrupted only by closeable doors by July 1, 2007; and
2) The bar area of restaurant/bar established after the clean indoor air ordinance is signed in as record
must be enclosed on all sides by continuous floor-to-ceiling walls, interrupted only by closeable doors,
separately ventilated, with negative air pressure in relation to dining areas; and
3) Minors are not permitted in the bar area at any time;
A civic organization, service club, fraternal or patriotic organization or similar private membership
organization, when admission to the organization is limited to members and members’ guests, provided
that this exception shall not apply to any organization established to avoid compliance with this
ordinance.
Private Room as defined by section 2
Responsibilities of owners.
The owner and the on-site person in charge of a restaurant subject to this chapter shall:
a)
b)
c)
Post NO SMOKING signs or the international “NO SMOKING” symbol (consisting of a pictorial
representation of a burning cigarette enclosed in a red circle with a red bar across it) clearly and
conspicuously in every public place and place of employment where smoking is prohibited by this
ordinance;
Ensure that ashtrays, lighters and matchbooks are not provided in areas where smoking is prohibited;
Ask in a reasonable and timely manner any person who smokes in areas where smoking is prohibited to
refrain from smoking and, if the person does not refrain from smoking after being asked to do so, ask
the person to leave;
3-58-5 Retaliation prohibited.
No person or employer shall discharge, refuse to hire, penalize, discriminate against or in any manner
retaliate against, any employee, applicant for employment or customer because the employee, applicant or
customer exercises any right to a smoke free environment afforded by this ordinance or other law.
3-58-6 Other applicable laws.
This ordinance is intended to complement the Indiana Clean Indoor Air Law
IC 16-41-37, as amended from time to time. Nothing in this ordinance authorizes smoking in any location
where smoking is restricted by other applicable laws.
3-58-7 Enforcement
a) Enforcement of this subchapter shall be implemented by the Vigo County Health Department, and all
other city and county governmental agencies responsible for building inspections, which board and/or
departments shall certify in writing that any establishments being inspected is complying with the terms
of the subchapter. This may be done by noting compliance to this subchapter on any form already used
for building inspections.
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b) Upon findings that any provision of this ordinance has been violated, the enforcement designee(s) shall
issue a Notice of Violation to the person(s) responsible for the violation. The Notice of Violation shall
be in writing and shall be served upon the person(s) responsible for the violation by one or more of the
following methods: delivery in person or first class mail. The Notice of Violation shall state:
(1)
(2)
(3)
(4)
The location of the violation;
The nature of the violation;
The fine assessed for the violation;
That the fine is paid at the clerks office
(5) That the fine may be contested in the Vigo County Circuit Courts
c) Owners, operators, managers or other persons having control over a restaurant or enclosed area where
smoking is prohibited and any citizen who desires to register a complaint under this subchapter may
initiate enforcement by calling the city or county governmental agencies responsible for building
inspections.
d) The owner, operator, or manager of a business shall not be responsible for violations of this subchapter
within their premises by patrons or citizens, provided that such patrons or citizens have been adequately
informed in a timely manner that their actions may be in violation of the subchapter.
3-58-8 Violation and penalties
a) Smoking where prohibited. It is a violation for any person to smoke in an area where smoking is
prohibited by this ordinance.
b) Owners. It is a violation for the owner or the on-site person in charge of any premises subject to this
ordinance to fail to comply with the requirements of this ordinance, or to retaliate against an employee,
applicant for employment or customer, as prohibited by Section 6.
c) Penalties. A person who violates any provision of this ordinance shall be subject to the following
penalties:
(1) A fine of one hundred dollars ($100.00) for the first offense
(2) A fine of two hundred fifty dollars ($250.00) for the second offense
(3) A fine of five hundred dollars ($500.00) for the third and each subsequent offense
(4) Persons who smoke in an area where smoking is prohibited and who refuse to extinguish their
smoking material when asked, may be required to leave the premises, and shall be subject to
prosecution for trespass if they do not leave when asked
d) Private right of action. In addition to the penalties, any person injured by a repeated or continuing
violation of the Article may bring a civil action against the owner or other person in charge of a public
place to enjoin further violations.
e) Each calendar day during which the violation occurs shall constitute a separate and distinct offense.
3-58-9 Severability
If any portion of this ordinance, or its application to any circumstances, is held invalid, the remaining provisions
shall be considered severable, and shall be given effect to the maximum extent possible.
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3-58-10 Effective Date
This Ordinance has been passed and adopted this 20th day of June, 2006, by the Vigo County
Board of County Commissioners and shall become effective on July 1, 2007.
Vigo County Board of Commissioners
Signatory, ______________________
Signatory, ________________________
Signatory, ________________________
ATTEST:
Signatory, ________________________
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APPENDIX 14
ROSE-HULMAN INSTITUTE OF TECHNOLOGY (RHIT)
Conflict of Interest Policy and Procedures
(Draft a of January 14, 2004)
A. It is the policy of the Institute:
1.
To expect its trustees, faculty and staff, while acting for or engaging in an activity affecting the Institute, to do
so with loyalty to the Institute and maintenance of the highest standards of ethics and awareness of conflicts of
interest , both in fact and appearance;
2.
To respect the rights of its trustees, faculty and staff to engage in activities outside the normal scope of their role
at the Institute, provided such activities do not conflict with or reflect adversely on the Institute’s interest, or
deprive the Institute of an appropriate measure of their time and effort (conflict of commitment); this policy, while
generally applicable to all affairs relative to the Institute, shall not be construed so as to unreasonably or unfairly
curtail the Institute policy on academic freedom as stated in the Faculty Handbook;
3.
To require every member of the Board of Trustees, faculty, and staff to identify and avoid where possible
situations involving ethical, legal, financial, or other conflicts of interest, such as (but not limited to):
 financial dealings that are contrary to the Institute’s best interests,
 membership or employment relationships that may be in conflict, or;
 acceptance of favors, money or other considerations which might obligate the recipient to take
actions adverse to the Institute’s interest;
4.
To require a written conflict of interest disclosure to be completed by each trustee, faculty and staff member at
least annually as well as immediately upon the identification of any apparent or implied conflict;
5.
To comply with federal regulations1 concerning objectivity in research and err on the side of avoiding (even the
appearance of) a conflict of interest by requiring investigators2 to disclose “significant financial interest”3 that
would reasonably appear to be affected by the research for which funding is sought or “significant financial
interest” in entities whose financial interest would reasonably appear to be affected by the research for which
funding is sought;
Public Health Service (PHS) policy is entitled “Objectivity in Research”; National Science Foundation (NSF) policy is
entitled “Investigator Financial Disclosure Policy. Contact the Sponsored Programs Office with questions.
2
An “investigator” includes principal investigator, co-investigator, or a person involved in a substantive way in the design,
conduct, or reporting of sponsored research funded or proposed for funding. When disclosing interests investigators must
include the significant financial interests of their spouse and dependent children.
3
“Significant financial interests” means anything of monetary value, including but not limited to:
 Salary or other payments for services (e.g., consulting fees or honoraria) expected to exceed $10,000 in the next twelve
months (when aggregated for you, your spouse and dependent children);
 An equity interest (e.g. stock, stock options, etc) with a fair market value over $10,000 or which represents more than a 5%
ownership in any single entity (when aggregated for you, your spouse, and dependent children);
 Intellectual property rights (e.g., patents, copyrights and royalties from the rights)
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6.
To review each “significant financial interest” and conflict of interest disclosure, carefully weigh the nature of
each conflict and determine if a potential conflict or appearance of such, in fact, exists, and implement a plan to
either manage, reduce or eliminate the conflict prior to the expenditure of any funds under an award.
7.
To fully comply with reporting obligations imposed by federal agencies. 4
8.
To maintain records of conflict of interest disclosure and subsequent actions recommended and taken for a
period of three years. Sponsored project conflict of interest disclosure records and action taken to resolve
conflicts shall be retained for a period of at least three years after termination or completion of a sponsored
project or resolution of any civil, government or Institute action involving the records;
9.
To circulate this policy at least annually and to new faculty and staff upon hiring or new Trustees upon election
to the Board, and to provide procedures for its implementation and administration;
B. The following procedures have been adopted to carry out the conflict of interest policy:
4
1.
The Chairman of the Board of Trustees shall designate the person(s) responsible for collecting an annual conflict of
interest disclosure form from the Board of Trustees, the President, and Vice Presidents. The VP for Academic
Affairs and the VP for Business and Finance are responsible for collecting all annual conflict of interest disclosure
forms from all faculty and staff respectively.
2.
On an annual basis, The Chairman of the Board of Trustees shall also designate the person(s) responsible for
reviewing these collected forms. No reviewer shall simultaneously (1) serve as collector nor (2) be a direct report of
another reviewer.
3.
These designated reviewers will review all collected conflict of interest disclosure forms, determine whether a
conflict exists, and work with the appropriate individual(s) to design a plan to manage, reduce, or eliminate the
conflict in a manner consistent with the best interest of the Institute and the rights of the individual, while
maintaining the highest ethical standards. 5
4.
During the course of reviewing and investigating a potential conflict or appearance of conflict of interest, the
designated reviewers may request additional confidential information from the discloser, other Trustees, officers,
faculty, and staff. It is understood that at this stage these individuals will share confidential information only as
necessary to resolve the conflict or as required by law.
5.
If the designated reviewers are unable to recommend a resolution to a given conflict of interest case, it shall be
referred as follows:
a. For a Trustee, the President or a Vice President - to the Audit Committee of the Board of Trustees.
Conflicts unresolved by the Audit Committee shall be referred to the Executive Committee of the Board of
Trustees.
b. For Faculty and Staff- to the President of the Institute. Conflicts unresolved by the President shall be
referred to the Chairman of the Audit Committee.
6.
The President, Audit Committee, or its Chairman, and/or the Executive & Planning Committee of the Board of
Trustees shall resolve conflict of interest matters referred to it by determining a course of action that will follow the
Policy as stated in Section “A” above, best serve the Institute’s interests and be in accordance with the highest
ethical standards.
Currently, PHS requires reporting of the existence of any identified conflict of interest and assurance that the conflict has
been managed, reduced, or eliminated before expenditure of award funds. NSF currently requires reporting of any conflict
which the Institute has been UNABLE to manage, reduce or eliminate.
5
Conditions or restrictions that may be used to manage, reduce, or eliminate conflicts include:
 Appropriate public disclosure of interests
 Adoption of review or monitoring (by independent reviewers) procedures for funded research projects or other
activities to ensure the conflicting interests do not violate the RHIT Conflict of Interest Policy or the integrity of the
design, conduct or reporting of a funded research project.
 Withdrawal of the investigator or individual from the project or activity with whom the conflict exits
 Divestiture of financial interests
 Severance of the relationships that create actual or potential conflicts
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7.
In the case of sponsored programs (funded or potentially funded research projects), investigators will be asked to
certify their familiarity with the RHIT conflict of interest policy and disclosure requirements for each proposal
submitted to an external funding source. If there is an apparent conflict to be disclosed, the investigator must
complete the disclosure form and forward it to the VP for Academic Affairs prior to the submission of the proposal
to the external funding source. The VP of Academic Affairs will notify the Director of Sponsored Programs when
the conflict has been resolved and provide sufficient information to the Director to meet reporting requirements of
external funding agencies.
8.
Failure to disclose conflicts of interest in a timely manner or refusal to cooperate in the management, reduction, or
elimination of conflicts of interest will be grounds for disciplinary action consistent with the RHIT Staff Handbook
or Faculty Handbook or Executive Committee of the Board of Trustees, as appropriate.
9.
Designated reviewers will prepare a summary report of all disclosures reviewed, as well as specific actions
recommended and taken, to be distributed to the President, the Audit Committee and the Executive Committee at
least annually (for all outstanding conflict situations) and at every Audit Committee meeting (for newly disclosed
and reviewed situations). This report is intended to be for information purposes only.
10. Records will be maintained in the Institute’s secured, confidential files in the Office of Business and Finance.
Sponsored project conflict of interest disclosure records and action taken to resolve conflicts shall be retained by the
VP for Academic Affairs for a period of at least three years after termination or completion of a sponsored project or
resolution of any civil, government or Institute action involving the records.
Trustees and employees involved in activities with Rose-Hulman Ventures (RHV) should refer to “Additional Policies
and Procedures Regarding Conflict of Interest with Respect to Rose-Hulman Ventures,” a copy of the policy may be
obtained from Matthew Davis, Controller (812) 244-4017.
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ROSE-HULMAN INSTITUTE OF TECHNOLOGY
CONFLICT OF INTEREST DISCLOSURE
Confidential
1.
I am/my spouse is a director, trustee, officer, or policy-influencing partner or manager of a
corporation, partnership, proprietorship, firm, association, organization, or other entity that is
affiliated with RHIT or otherwise involved in a business relationship with RHIT.
YES
NO
Check one box (Attach additional sheets as needed)
If yes, please identify the corporation or other entity, the nature of the affiliation or RHIT business
relationship, titles held, or functions of position:
2.
I and/or my spouse and/or my dependent children own controlling interest in a corporation,
partnership, proprietorship, firm, association, organization, or other entity that is affiliated with RHIT
or otherwise involved in a business relationship with RHIT.
YES
NO
Check one box (Attach additional sheets as needed)
If yes, please identify the corporation or other entity, the nature of the affiliation or RHIT business
relationship, titles held, or functions of position:
3.
I and/or my spouse are involved in outside activities not identified above which may give the
appearance of a conflict of interest.
YES
NO
Check one box (Attach additional sheets as needed)
If yes, please briefly describe the outside activities and identify the corporation or other entity, titles
held, or functions of position:
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4.
Staff Handbook.
I am an investigator (principal investigator, co-investigator, or other key personnel) on an active, pending, or
planned external funded grant/contract or other agreement.
YES
NO
Check one box (Attach additional sheets as needed)
If yes, please check one of the following:
(a) To the best of my knowledge, I and/or my spouse and/or my dependent children do
not have “Significant Financial Interests” required to be disclosed according to the RHIT Conflict of
Interest Policy.
(b) I and/or my spouse and/or my dependent children do have “Significant Financial
Interests” required to be disclosed according to the RHIT Conflict of Interest Policy.
If you checked (b) above, please attach a separate written explanation for each such Significant Financial
Interest.
Describe the nature and the general value of the interest and any other information you think would be helpful to
the RHIT designated reviewer to determine whether a conflict of interest exists. Also, please list those specific
sponsored research projects that could reasonably appear to affect or be affected by these Significant Financial
Interests.
Note: You are not required to disclose the following:
 Salary, royalties, or other compensation from RHIT
 Income from seminars, lectures, or teaching sponsored by public or nonprofit entities
 Income from service on advisory committees or review panels for public or nonprofit entities
 Income from mutual funds
 Ownership interests in businesses funded under the Small Business Innovation Research Program
By signing this disclosure form, I (1) acknowledge I have read and understand the Conflict of Interest Policy of
Rose-Hulman Institute of Technology (RHIT) and to the best of my knowledge my activities are consistent with
this policy; (2) agree to comply with any conditions or restrictions imposed by the Institute to manage, reduce, or
eliminate identified conflicts of interest; and (3) understand and agree to update this disclosure form should my
conflicts of interest (and/or those of my spouse/dependent children) change before the next disclosure period.
Signature:
Printed Name:
Title and Department (if applicable):
Date:
PLEASE RETURN THIS FORM TO THE APPROPRIATE DESIGNATED REVIEWER
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