INSTITUTE OF TECHNOLOGY
STAFF HANDBOOK
Approved
Board of Trustees
September 24, 1998
Last Update 02/11/2016
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
Rose-Hulman Policy for Civil Rights Equity for All Faculty, Students, and Employees .. 10
Nepotism ............................................................................................................................. 10
Tobacco Use Policy ............................................................................................................ 10
Drug Free Workplace Policy .............................................................................................. 11
Employment of Minors ....................................................................................................... 11
GENERAL EMPLOYMENT PRACTICES ................................................................... 11
Employee Orientation ......................................................................................................... 11
Employee Identification Cards ........................................................................................... 11
Keys .................................................................................................................................... 12
Parking ................................................................................................................................ 12
Facilities and Services......................................................................................................... 12
ATM Machines ........................................................................................................................................................ 12
Athletic Facilities ..................................................................................................................................................... 12
Bookstore ................................................................................................................................................................. 12
Computing Center.................................................................................................................................................... 13
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 ................................................................................................................................................................. 15
Part-Time (benefits eligible) .................................................................................................................................... 15
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 ................................................................................................... 17
Position Reclassification ..................................................................................................... 18
Personnel Records ............................................................................................................... 18
Retention of Corrective Action Records ................................................................................................................ 199
Changes in Employee Information .......................................................................................................................... 19
3.16 Release of Employment Information .................................................................................. 19
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EMPLOYEE COMPENSATION AND TIME RECORDS ............................................ 20
4.01 Pay Periods.......................................................................................................................... 20
Monthly ................................................................................................................................................................... 20
Bi-Weekly................................................................................................................................................................ 20
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Direct Deposit ..................................................................................................................... 20
Pay Deductions ................................................................................................................... 20
Pay Advances ...................................................................................................................... 20
Pay Increases ....................................................................................................................... 20
Overtime Pay ...................................................................................................................... 20
Time Off.............................................................................................................................. 21
On-Call and Emergency Call In .......................................................................................... 21
Holiday Pay......................................................................................................................... 21
Inclement Weather ............................................................................................................. 21
Time Records ...................................................................................................................... 22
Exempt Positions ..................................................................................................................................................... 22
Non-exempt Positions.............................................................................................................................................. 22
Hourly Positions ...................................................................................................................................................... 23
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EMPLOYEE BENEFITS ................................................................................................ 24
Health Insurance Plan ......................................................................................................... 24
Dental/Vision Plan .............................................................................................................. 24
Section 125 Flexible Spending Plan ................................................................................... 24
Life Insurance ..................................................................................................................... 25
Long Term Disability Insurance ......................................................................................... 25
Retirement Plan ................................................................................................................... 25
Optional Early Retirement Plan .......................................................................................... 26
Eligibility ................................................................................................................................................................. 26
Election Period ........................................................................................................................................................ 26
5.08 Tuition Assistance............................................................................................................... 26
Dependent Children Tuition .................................................................................................................................... 26
Tuition Exchange ..................................................................................................................................................... 27
Employee Courses for Credit................................................................................................................................... 28
5.09 Independent Colleges of Indiana Moving Contract ............................................................ 29
5.10 Statutory Benefits................................................................................................................ 29
Social Security and Medicare .................................................................................................................................. 29
Unemployment Insurance ........................................................................................................................................ 29
Worker’s Compensation Insurance .......................................................................................................................... 30
5.11 Leaves of Absence .............................................................................................................. 30
Vacation Leave ........................................................................................................................................................ 30
Sick Leave ............................................................................................................................................................... 32
Family and Medical Leave ...................................................................................................................................... 33
Funeral/Bereavement Leave .................................................................................................................................... 36
Military/Reserve Service Leave .............................................................................................................................. 34
Jury Duty ................................................................................................................................................................. 35
Leave of Absence Without Pay ............................................................................................................................... 35
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CODES OF CONDUCT .................................................................................................. 35
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6.01 Attendance .......................................................................................................................... 35
6.02 Personal Appearance and Dress .......................................................................................... 36
6.03 Confidential Information .................................................................................................... 36
6.04 Solicitation/Distribution Policy .......................................................................................... 36
6.05 Personal Telephone Use ...................................................................................................... 36
6.06 Electronic Mail and Computer Use..................................................................................... 36
6.07 Audio or Video Recording of Employee Communications ................................................ 36
6.08 Firearms, Explosives, and Weapons Policy……………………………………………….36
7.00 FAIR TREATMENT PRACTICES POLICY ..................................................................... 38
FAIR TREATMENT PRACTICES POLICY FLOWCHART .................................................... 40
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CORRECTIVE ACTION PROCEDURE ....................................................................... 41
CORRECTIVE ACTION TREATMENT PROCEDURES FLOWCHART ............................... 44
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SEPARATION ................................................................................................................ 45
9.01 Resignation ......................................................................................................................... 45
9.02 Termination ......................................................................................................................... 45
9.03 Reduction in Force .............................................................................................................. 45
9.04 Exit Procedures ................................................................................................................... 45
Return of Institute Property ..................................................................................................................................... 45
Final Payment .......................................................................................................................................................... 46
9.05 Extension of Benefits .......................................................................................................... 46
COBRA Continuation Coverage ............................................................................................................................. 46
Retirement Account Accumulations ........................................................................................................................ 46
9.06 Retirement Plan ................................................................................................................... 46
9.07 Optional Early Retirement Plan .......................................................................................... 46
APPENDIX 1-CAMPUS MAP .................................................................................................... 48
APPENDIX 2-ORGANIZATIONAL CHART ............................................................................ 49
APPENDIX 3-INTELLECTUAL PROPERTY POLICY ............................................................ 50
APPENDIX 4-ROSE-HULMAN POLICY FOR CIVIL RIGHT EQUITY FOR ALL
FACULTY, STUDENTS, AND EMPLOYEES .......................................................................... 62
INCIDENT REPORT FORM ....................................................................................................... 72
APPENDIX 5-DRUG FREE WORKPLACE POLICY ............................................................... 74
APPENDIX 6-PERFORMANCE APPRAISAL .......................................................................... 79
APPENDIX 7-SNOW POLICY ................................................................................................... 84
APPENDIX 8-WORKER'S COMPENSATION INSURANCE .................................................. 87
APPENDIX 9-POLICY OF RESPONSIBLE USE OF ROSE-HULMAN COMPUTING
FACILITIES
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APPENDIX 10-FIREARMS, EXPLOSIVES, AND WEAPONS ............................................... 94
APPENDIX 11-MAJOR ACTS OF MISCONDUCT .................................................................. 95
APPENDIX 12-PERSONNEL ACTION NOTIFICATION FORM ............................................ 96
APPENDIX 13-KEY AND ELECTRONIC ACCESS CONTROL POLICY ............................. 97
APPENDIX 14-INDIANA/VIGO COUNTY CLEAN INDOOR AIR ORDINANCE ............. 101
APPENDIX 15-CONFLICT OF INTEREST POLICY ............................................................. 105
CONFLICT OF INTEREST DISCLOSURE ............................................................................. 108
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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 RoseHulman 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
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the Nation's first chemical engineer. In the early 1890s a strong 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 199495 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. 04/04/15)
The Staff Representative is a professional/exempt staff member who is elected by the staff
and serves a two year term effective July 1st. 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.

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.

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. 07/01/14)
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. Rose-Hulman will
not discriminate against any employee, applicant for employment, student or applicant for
admission on the basis of race, religion, sex, pregnancy, ethnicity, national origin (including
ancestry), citizenship status, physical or mental disability, age, sexual orientation, gender,
gender identity or expression, veteran or military status (including special disabled veteran,
Vietnam-era veteran, or recently separated veteran), predisposing genetic characteristics, or
any other protected category under applicable local, state or federal law, including
protections for those opposing discrimination or participating in any complaint process on
campus or within the Equal Employment Opportunity Commission or other human rights
agencies.
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 15 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.,
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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 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 Discrimination, Harassment and Sexual Misconduct (REV. 07/01/14)
In accordance with Title VII of the Civil Rights Act of 1964 and Title IX, the Institute has established
a Policy for Civil Rights Equity (See Appendix 4). Any employee who believes that he or she has
been the subject of discrimination, harassment, or sexual misconduct (See Appendix 4 for definitions)
should comply with the reporting procedures set forth in the Rose-Hulman Policy for Civil Rights
Equity Complaint Resolution. A report of the discrimination, harassment, or sexual misconduct
should be made promptly to one of the Title IX Co-Coordinators, as stated in the attached policy.
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 Tobacco Use Policy (REV. 03/01/16)
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.
Tobacco is defined as all tobacco-derived or containing products, including and not limited to,
cigarettes (e.g., clove, bidis, kreteks), electronic cigarettes, cigars and cigarillos, hookah smoked
products, pipes, and oral tobacco (e.g., spit and spitless, smokeless, chew, snuff) and nasal tobacco.
It also includes any product intended to mimic tobacco products, contain tobacco flavoring, or
deliver nicotine other than for the purpose of cessation.
The Institute complies with the Indiana Vigo County Clean Indoor Air Ordinance which prohibits
smoking in all enclosed interior areas including offices. In addition, to comply with the Indiana
Smoke Free Air Law and 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.
The Institute has taken the additional steps of designating the academic core tobacco free. The
tobacco free area is bordered by the roadway encompassing all academic buildings. To assist
tobacco users in this area, a designated smoking area has been selected in the northwest corner of
the Moench Hall parking lot and marked by signage. Please click here to view the map.
To meet our goal of providing a healthy campus environment, the Institute also commits to provide
a tobacco free campus as of July 1, 2017.
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It is the responsibility of each individual area department head and/or director, in conjunction with
the Director of Environmental Health and Safety and the Office of Public Safety, to ensure faculty,
staff, visitors, contractors, etc. are appropriately informed of this policy.
It is the residence life staff’s responsibility to ensure students, parents, guests, etc. are appropriately
informed of this policy.
For violations and penalties, see Appendix 14 or Clean Indoor Air Ordinance, Section 3-58-8.
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-theWoods College libraries.
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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.
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 13).
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.
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Computing Center
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 Rose-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
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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 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
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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.
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). FullTime 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
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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.
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
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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 SelfAppraisal questionnaire to complete prior to the performance appraisal discussion with the
supervisor. The employee should bring the completed self-appraisal 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 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
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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 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.
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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
• 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, sick hours
and observed holidays paid within the work week will be considered as hours worked.
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4.07 Time Off
In certain circumstances, time off, is an alternative to overtime pay for staff in non-exempt/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.
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.
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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 pretax 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 copayment. 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 pretaxed 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 parttime (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 (REV. 07/01/2014)
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 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 thirty (30) days prior to the effective date of retirement.
For further information regarding the Retirement Plan contact Human Resources.
5.07 Optional Early Retirement Plan (REV. 07/01/2014)
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. 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 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.
All staff are expected to submit their intent to retire in writing to Human Resources and their
immediate supervisor at least one month prior to the planned retirement.
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.
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
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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)
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
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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 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
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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 Rose-Hulman 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.
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.
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Worker’s Compensation Insurance (REV. 09/01/2014)
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. FMLA will run concurrent with a
worker’s compensation claim when a work related injury requires any time off from work
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 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
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
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Fourth Year – Fifth Year
Fifth and subsequent Years
Part-Time Employees
Length of Service
First Year
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
Second Year
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
Third- Fourth Year
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
Fifth and
Subsequent Years
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).
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• 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.
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 non-exempt 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."
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.
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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
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
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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.
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).
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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 non-school business, or
commercial enterprises, etc.) Before sending a campus-wide mailing, please consult the Institute’s
responsible computing use 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. 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, refer to the general guidelines
published in the Institute’s Policy for Responsible Use of Rose-Hulman Computing Facilities (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, Explosives, and Weapons Policy (REV. 02/2015)
Rose-Hulman Institute of Technology holds a zero tolerance regarding the possession and/or use of
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firearms, explosives or weapons (hereafter referred to as “weapons”) on or in property, real and
personal, owned or controlled by the Institute. All members of the Rose-Hulman community and all
visitors (excluding law enforcement personnel), are prohibited from possessing weapons on the
premises of the Institute regardless of whether a federal or state license to possess the same has been
issued to the possessor. (See Appendix 10)
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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. This policy does not apply to and will not replace the RoseHulman Policy for Civil Rights Equity Complaint Resolution for complaints relating to
discrimination, harassment, or sexual misconduct. Employees should still report complaints relating
to discrimination, harassment, or sexual misconduct as stated in the Policy for Civil Rights Equity
Complaint Resolution. The Fair Treatment Practices Policy applies to all other conflicts 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 Rose-Hulman.” 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 11 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.
In consultation with Human Resources, Supervisor completes Personnel Action Notification
Form documenting issue(s) and suggestions for resolution discussed during the meeting.
(See Appendix 12 for Personnel Action Notification Form).
Supervisor and employee sign form. Human Resources or Supervisor distributes as follows:
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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 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; copy- Supervisor.
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If employee refuses to sign documentation, refusal to sign will be noted.
Termination for Major Act of Misconduct (REV. 07/01/14)
Immediate termination is possible for any act deemed by the Institute to be a major act of misconduct
(See Appendix 11 for examples of Major Acts of Misconduct).

The Rose-Hulman Policy for Civil Rights Equity Complaint Resolution shall apply to major
acts of misconduct relating to discrimination, harassment, or sexual 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 12 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 12).
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.
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
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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.
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
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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.
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
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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:
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
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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
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
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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)
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..
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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:
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:
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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.
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
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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 support of
Engenius Solutions). RHIT does claim IP rights unless explicitly exempted by the PLC
committee.
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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
POLICY: EQUAL OPPORTUNITY, HARASSMENT AND NONDISCRIMINATION
Rose-Hulman affirms its commitment to promote the goals of fairness and equity in all aspects of the
educational enterprise. All policies below are subject to resolution using the Rose-Hulman Complaint
Resolution Procedure for Civil Rights Equity posted at: https://www.rosehulman.edu/media/1464715/title-ix-procedure.pdf. The equity complaint process is applicable regardless
of the status of the parties involved, who may be members or non-members of the campus community,
students, student organizations, faculty, administrators and/or staff. Rose-Hulman reserves the right to act
on incidents occurring on-campus or off-campus, when the off-campus conduct could have an on-campus
impact or impact on the educational mission of Rose-Hulman.
Kristen Loyd, Director of Student Affairs and Hulman Memorial Union, and Kimberly Miller, Director of
Human Resources serve as the Title IX Coordinator(s) for Rose-Hulman. They oversee implementation of
Rose-Hulman Equity and Equal Opportunity program, disability compliance and the Rose-Hulman policy
on equal opportunity, harassment and nondiscrimination. Reports of discrimination, harassment and/or
retaliation should be made to the Title IX Coordinator(s) or Assistant Coordinator(s) promptly, but there is
no time limitation on the filing of complaints, as long as the responding party remains subject to RoseHulman jurisdiction. All reports are acted upon promptly while every effort is made by the Institute to
preserve the privacy of reports. Anonymous reports may also be filed using the reporting form posted at
http://www.rose-hulman.edu/media/1464707/incident-report-form.pdf. Reporting is addressed more
specifically in Section 7. Reports of discrimination by the Title IX Coordinator(s) should be reported to
the Institute President, James Conwell (office - Hadley Hall 200, email - conwell@rose-hulman.edu,
phone - 812-877- 8009).
This policy applies to all discriminatory behaviors that take place on the campus, at Institute-sponsored
events and may also apply off-campus and to actions online when the Title IX Coordinator(s) determines
that the off-campus conduct affects a substantial Rose-Hulman interest. A substantial Rose-Hulman
interest is defined to include:
a) Any action that constitutes criminal offense as defined by federal or Indiana law. This includes,
but is not limited to, single or repeat violations of any local, state or federal law committed in
the municipality where Rose-Hulman is located;
b) Any situation where it appears that the responding party may present a danger or threat to the
health or safety of self or others;
c) Any situation that significantly impinges upon the rights, property or achievements of self or
others or significantly breaches the peace and/or causes social disorder; and/or
d) Any situation that is detrimental to the educational interests of Rose-Hulman.
Inquiries about this policy and procedure may be made internally to:
Kristen Loyd
Director of Student Services and Hulman Memorial Union
Title IX Coordinator
Office of Student Affairs
Hulman Memorial Union 244
(812) 877-8484
loyd1@rose-hulman.edu
Kimberly Miller
Director of Human Resources
Title IX Coordinator
Office of Human Resources
Moench Hall A113A
(812) 877-8176
millerk@rose-hulman.edu
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APPENDIX 4
Kyle Rhodes
Associate Dean of Residence Life
Assistant Title IX Coordinator
Office of Student Affairs
Hulman Memorial Union 153
(812) 877-8651
rhodeska@rose-hulman.edu
Kimberly Campbell
Associate Director of Human Resources
Assistant Title IX Coordinator
Office of Human Resources
Moench Hall A113B
(812) 877-8245
campbel5@rose-hulman.edu
Inquiries may be made externally to:
Office for Civil Rights (OCR)
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-1100
Customer Service Hotline #: (800) 421-3481
Facsimile: (202) 453-6012
TDD#: (877) 521-2172
Email: OCR@ed.gov
Web: http://www.ed.gov/ocr
Equal Employment Opportunity Commission (EEOC)
Contact: http://www.eeoc.gov/contact/
1. Rose-Hulman Policy on Nondiscrimination
Rose-Hulman adheres to all federal and state civil rights laws banning discrimination in private
institutions of higher education. Rose-Hulman will not discriminate against any employee, applicant for
employment, student or applicant for admission on the basis of race, religion, sex, pregnancy, ethnicity,
national origin (including ancestry), citizenship status, physical or mental disability, age, sexual
orientation, gender, gender identity or expression, veteran or military status (including special disabled
veteran, Vietnam-era veteran, or recently separated veteran), predisposing genetic characteristics, or any
other protected category under applicable local, state or federal law, including protections for those
opposing discrimination or participating in any complaint process on campus or within the Equal
Employment Opportunity Commission or other human rights agencies.
This policy covers nondiscrimination in employment and in access to educational opportunities.
Therefore, any member of the campus community, guest or visitor who acts to deny, deprive or limit the
educational, employment, residential and/or social access, benefits and/or opportunities of any member of
the campus community on the basis of their actual or perceived membership in the protected classes listed
above is in violation of Rose-Hulman policy on nondiscrimination. When brought to the attention of
Rose-Hulman, any such discrimination will be appropriately remedied by Rose-Hulman according to the
procedures below.
2. Rose-Hulman Policy on Accommodation of Disabilities
Pursuant to the Americans with Disabilities Act (ADA) and the Americans with Disabilities Amendments
APPENDIX 4
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Act (ADAAA), Rose-Hulman Institute of Technology does not discriminate against employees with
disabilities and, when needed, the Institution will provide reasonable accommodations to employees so
that they may perform the essential job duties of their position. Furthermore, it is the policy of RoseHulman to comply with all federal, state and local laws concerning the employment of persons with
disabilities and act in accordance with regulations and guidance issued by the Equal Employment
Opportunity Commission (EEOC). It is our policy not to discriminate against employees with disabilities
in regard to application procedures, hiring, advancement, discharge, compensation, training or other terms,
conditions and privileges of employment.
Rose-Hulman will reasonably accommodate employees with a disability so that they can perform the
essential functions of their job unless doing so causes a direct threat to these individuals or others in the
workplace and the threat cannot be eliminated by reasonable accommodation and/or if the accommodation
creates an undue hardship to Rose-Hulman. Reasonable accommodation includes any changes to the work
environment and may include making existing facilities readily accessible to and usable by employees
with disabilities, job restructuring, modified work schedules, acquisition or modification of equipment or
devices, appropriate adjustment or modifications of training materials, and providing qualified readers or
interpreters. An employee with a disability is responsible for requesting an accommodation in writing to
the Director of Human Resources and provides appropriate documentation. The Director of Human
Resources will work with the employee’s supervisor and the Director of Disability Services or other
appropriate individuals to identify which essential functions of the position are affected by the employee’s
disability and what reasonable accommodations could enable the employee to perform their job duties.
a. Students with Disabilities
Rose-Hulman is committed to providing qualified students with disabilities with reasonable
accommodations and support needed to ensure equal access to the academic programs and activities of
Rose-Hulman.
All accommodations are made on a case-by-case basis. A student requesting any accommodation should
first contact the Director of Disability Services who coordinates services for students with disabilities.
The director reviews documentation provided by the student and, in consultation with the student,
determines which accommodations are appropriate to the student’s particular needs and academic
programs.
b. Employees with Disabilities
Pursuant to the ADA, Rose-Hulman will provide reasonable accommodation(s) to all qualified employees
with known disabilities, where their disability affects the performance of their essential job functions,
except where doing so would be unduly disruptive or would result in undue hardship.
An employee with a disability is responsible for requesting an accommodation in writing to Director of
Disability Services and provide appropriate documentation. The Director of Disability Services will work
with the employee’s supervisor to identify which essential functions of the position are affected by the
employee’s disability and what reasonable accommodations could enable the employee to perform those
duties.
3. Rose-Hulman Policy on Discriminatory Harassment
Students, staff, administrators, and faculty are entitled to a working environment and educational
APPENDIX 4
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environment free of discriminatory harassment. Rose-Hulman harassment policy is not meant to inhibit or
prohibit educational content or discussions inside or outside of the classroom that include germane, but
controversial or sensitive subject matters protected by academic freedom. The sections below describe the
specific forms of legally prohibited harassment that are also prohibited under Rose-Hulman policy.
a. Discriminatory and Bias-Related Harassment
Harassment constitutes a form of discrimination that is prohibited by law. The Institute will remedy all
forms of harassment when reported, whether or not the harassment rises to the level of creating a hostile
environment. When harassment rises to the level of creating a hostile environment, the Institute may also
impose sanctions on the harasser. The Institute’s harassment policy explicitly prohibits any form of
harassment, defined as unwelcome conduct on the basis of actual or perceived membership in a protected
class, by any member or group of the community.
A hostile environment may be created by oral, written, graphic, or physical conduct that is sufficiently
severe, persistent/pervasive and objectively offensive that it interferes with, limits or denies the ability of
an individual to participate in or benefit from educational programs or activities or employment access,
benefits or opportunities.1
Offensive conduct and/or harassment that does not rise to the level of discrimination or that is of a generic
nature not on the basis of a protected status may not result in the imposition of discipline under Institute
policy, but will be addressed through civil confrontation, remedial actions, education and/or effective
conflict resolution mechanisms. For assistance with conflict resolution techniques, employees should
contact the Director of Human Resources and students should contact the Dean of Student Affairs.
The Institute condemns and will not tolerate discriminatory harassment against any employee, student,
visitor or guest on the basis of any status protected by Institute policy or law.
b. Sexual Harassment
Both the Equal Employment Opportunity Commission and the State of Indiana regard sexual harassment
as a form of sex/gender discrimination and, therefore, as an unlawful discriminatory practice. The
Institute has adopted the following definition of sexual harassment, in order to address the special
environment of an academic community, which consists not only of employer and employees, but of
students as well.2
Sexual harassment is:

unwelcome, sexual or gender-based verbal, written, online and/or physical conduct.3
1
This definition of hostile environment is based on Federal Register / Vol. 59, No. 47 / Thursday, March 10, 1994: Department Of Education Office For Civil
Rights, Racial Incidents And Harassment Against Students At Educational Institutions Investigative Guidance. The document is available at
http://www.ed.gov/about/offices/list/ocr/docs/race394.html.
2 Also of relevance is the Office of Civil Rights 2001 statement on sexual harassment, “Revised Sexual Harassment Guidance: Harassment Of Students By
School Employees, Other Students, Or Third Parties, Title IX,” which can be found at http://www2.ed.gov/legislation/FedRegister/other/2001-1/011901b.html,
as well as the April, 2011 Dear Colleague Letter on Campus Sexual Violence, which can be found at:
http://www.whitehouse.gov/sites/default/files/dear_colleague_sexual_violence.pdf
3
Some examples of possible Sexual Harassment include:
 A student repeatedly sends sexually oriented jokes around on an email list s/he created, even when asked to stop, causing one recipient to avoid the sender
on campus and in the residence hall in which they both live.
 Explicit sexual pictures are displayed in a professor’s office or on the exterior of a residence hall door
 A professor engages students in her class in discussions about their past sexual experiences, yet the conversation is not in any way germane to the subject
matter of the class. She probes for explicit details, and demands that students answer her, though they are clearly uncomfortable and hesitant.
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APPENDIX 4
Anyone experiencing sexual harassment in any Institute program is encouraged to report it immediately to
the Institute’s Title IX Coordinator(s).
Sexual harassment creates a hostile environment, and may be disciplined when it is:

sufficiently severe, persistent/pervasive and objectively offensive that it,
o has the effect of unreasonably interfering with, denying or limiting employment
opportunities or the ability to participate in or benefit from the Institute’s educational,
social and/or residential program, and is
o based on power differentials (quid pro quo), the creation of a hostile environment or
retaliation.
POLICY EXPECTATIONS WITH RESPECT TO CONSENSUAL RELATIONSHIPS4
There are inherent risks in any romantic or sexual relationship between individuals in unequal positions
(such as faculty and student, supervisor and employee). These relationships may be less consensual than
perceived by the individual whose position confers power. The relationship also may be viewed in
different ways by each of the parties, particularly in retrospect. Furthermore, circumstances may change,
and conduct that was previously welcome may become unwelcome. Even when both parties have
consented at the outset to a romantic or sexual involvement, this past consent may not remove grounds for
a later charge of a violation of applicable sections of this policy. Rose-Hulman does not wish to interfere
with private choices regarding personal relationships when these relationships do not interfere with the
goals and policies of Rose-Hulman. For the personal protection of members of this community,
relationships in which power differentials are inherent (faculty-student, staff-student, administratorstudent) are generally discouraged.
Consensual romantic or sexual relationships in which one party maintains a direct supervisory or
evaluative role over the other party are unethical. Therefore, persons with direct supervisory or evaluative
responsibilities who are involved in such relationships must bring those relationships to the timely
attention of their supervisor, and will likely result in the necessity to remove the employee from the
supervisory or evaluative responsibilities, or shift a party out of being supervised or evaluated by someone
with whom they have established a consensual relationship. This includes Resident Assistants and
students over whom they have direct responsibility. While no relationships are prohibited by this policy,
failure to self-report such relationships to a supervisor as required may result in disciplinary action for an
employee.
c. Sexual Misconduct
Rose-Hulman is committed to providing support services to victims of discrimination, harassment, sexual
assault, and retaliation. Individuals victimized by sexual assault generally experience profound emotional
 An ex-girlfriend widely spreads false stories about her sex life with her former boyfriend to the clear discomfort of the boyfriend, turning him into a social
pariah on campus
 Male students take to calling a particular brunette student “Monica” because of her resemblance to Monica Lewinsky. Soon, everyone adopts this nickname
for her, and she is the target of relentless remarks about cigars, the president, “sexual relations” and Weight Watchers.
This section is offered as an optional inclusion, as some campuses prefer to include this policy elsewhere, such as a faculty handbook or employee manual.
We include it here to inform students, not just employees, of our expectations.
4
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trauma which severely impacts their daily functioning. Common responses include feelings of shock and
disbelief, intense fears about personal safety, preoccupation with recurrent and intensive thought about the
assault, sleep disturbances, anxiety, impaired concentration, mood swings, depression, feelings of anger,
shame, and self-blame. These reactions are called "post-traumatic stress" or "rape trauma syndrome".
State law defines various violent and/or non-consensual sexual acts as crimes. Additionally, Rose-Hulman
has defined categories of sexual misconduct, as stated below, for which action under this policy may be
imposed. Generally speaking, Rose-Hulman considers Non-Consensual Sexual Intercourse violations to
be the most serious, and therefore typically imposes the most severe sanctions, including suspension or
expulsion for students and termination for employees. However, Rose-Hulman reserves the right to
impose any level of sanction, ranging from a reprimand up to and including suspension or
expulsion/termination, for any act of sexual misconduct or other gender-based offenses, including intimate
partner or relationship (dating and/or domestic) violence, non-consensual sexual contact and stalking
based on the facts and circumstances of the particular complaint. Acts of sexual misconduct may be
committed by any person upon any other person, regardless of the sex, gender, sexual orientation and/or
gender identity of those involved. Violations include:
i.
Sexual Harassment (as defined in section b above)
ii.
Non-Consensual Sexual Intercourse
Defined as:
 any sexual penetration or intercourse (anal, oral or vaginal)
 however slight
 with any object
 by a person upon another person
 that is without consent and/or by force
Sexual penetration includes vaginal or anal penetration by a penis, tongue, finger or object, or oral
copulation by mouth to genital contact or genital to mouth contact.
iii.
Non-Consensual Sexual Contact5
Defined as:
 any intentional sexual touching
 however slight
 with any object
 by a person upon another person
 that is without consent and/or by force
Sexual touching includes any bodily contact with the breasts, groin, genitals, mouth or other bodily
orifice of another individual, or any other bodily contact in a sexual manner.
5
The state definition of sexual battery states that the crime is committed when: “A person who, with intent to arouse or satisfy the person's own sexual desires
or the sexual desires of another person: (1) touches another person when that person is: (A) compelled to submit to the touching by force or the imminent
threat of force; or (B) so mentally disabled or deficient that consent to the touching cannot be given; or (2) touches another person's genitals, pubic area,
buttocks, or female breast when that person is unaware that the touching is occurring.” The level of the felony is increased if “(1) it is committed by using or
threatening the use of deadly force; (2) it is committed while armed with a deadly weapon; or (3) the commission of the offense is facilitated by furnishing the
victim, without the victim’s knowledge, with a drug or controlled substance or knowing that the victim was furnished with the drug or controlled substance
without the victim’s knowledge.” This definition is applicable to criminal prosecutions for sexual battery in Indiana, but may differ from the definition used on
campus to address policy violations.
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iv.
Staff Handbook.
Sexual Exploitation
Sexual Exploitation refers to a situation in which a person takes non-consensual or abusive sexual
advantage of another, and situations in which the conduct does not fall within the definitions of
Sexual Harassment, Non-Consensual Sexual Intercourse or Non-Consensual Sexual Contact.
Examples of sexual exploitation include, but are not limited to:
 Sexual voyeurism (such as watching a person undressing, using the bathroom or engaged in
sexual acts without the consent of the person observed)
 Taking pictures or video or audio recording another in a sexual act, or in any other private
activity without the consent of all involved in the activity, or exceeding the boundaries of
consent (such as allowing another person to hide in a closet and observe sexual activity, or
disseminating sexual pictures without the photographed person’s consent)
 Prostitution
 Sexual exploitation also includes engaging in sexual activity with another person while
knowingly infected with human immunodeficiency virus (HIV) or other sexually transmitted
disease (STD) and without informing the other person of the infection, and further includes
administering alcohol or drugs (such as “date rape” drugs) to another person without his or her
knowledge or consent
v.
Consent
Consent is knowing, voluntary and clear permission by word or action, to engage in mutually
agreed upon sexual activity. Since individuals may experience the same interaction in different
ways, it is the responsibility of each party to make certain that the other has consented before
engaging in the activity. For consent to be valid, there must be a clear expression in words or
actions that the other individual consented to that specific sexual conduct.
A person cannot consent if he or she is unable to understand what is happening or is disoriented,
helpless, asleep or unconscious for any reason, including due to alcohol or other drugs. An
individual who engages in sexual activity when the individual knows, or should know, that the
other person is physically or mentally incapacitated has violated this policy.
It is not an excuse that the individual responding party of sexual misconduct was intoxicated and,
therefore, did not realize the incapacity of the other.
Incapacitation is defined as a state where someone cannot make rational, reasonable decisions
because they lack the capacity to give knowing consent (e.g., to understand the “who, what, when,
where, why or how” of their sexual interaction). This policy also covers a person whose incapacity
results from mental disability, involuntary physical restraint and/or from the taking of
incapacitating drugs.
Consent to some sexual contact (such as kissing or fondling) cannot be presumed to be consent for
other sexual activity (such as intercourse). A current or previous dating relationship is not
sufficient to constitute consent. The existence of consent is based on the totality of the
circumstances, including the context in which the alleged incident occurred and any similar
previous patterns that may be evidenced. Silence or the absence of resistance alone is not consent.
A person can withdraw consent at any time during sexual activity by expressing in words or
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actions that he or she no longer wants the act to continue, and, if that happens, the other person
must stop immediately.
In Indiana, a minor (meaning a person under the age of 16 years) cannot consent to sexual activity.
This means that sexual contact by an adult with a person younger than 16 years old may be a
crime, as well as a violation of this policy, even if the minor wanted to engage in the act.
4. Other Civil Rights Offenses, When the Act is Based Upon the Status of a Protected Class







Threatening or causing physical harm, extreme verbal abuse or other conduct which threatens or
endangers the health or safety of any person on the basis of their actual or perceived membership in a
protected class
Discrimination, defined as actions that deprive other members of the community of educational or
employment access, benefits or opportunities on the basis of their actual or perceived membership in a
protected class. Discrimination can also involve treating an individual less favorably because of his or
her connection with an organization or group that is generally associated with people of a certain
protected class.
Intimidation, defined as implied threats or acts that cause an unreasonable fear of harm in another on
the basis of actual or perceived membership in a protected class
Hazing, defined as acts likely to cause physical or psychological harm or social ostracism to any
person within Rose-Hulman community, when related to the admission, initiation, pledging, joining,
or any other group-affiliation activity (as defined further in the hazing policy) on the basis of actual or
perceived membership in a protected class; hazing is also illegal under Indiana law and prohibited by
Rose-Hulman policy
Bullying, defined as repeated and/or severe aggressive behavior likely to intimidate or intentionally
hurt, control or diminish another person, physically or mentally on the basis of actual or perceived
membership in a protected class
Violence between those in an intimate relationship to each other on the basis of actual or perceived
membership in a protected class (this includes romantic relationships, dating, domestic6 and/or
relationship violence)7
Stalking8, defined as a course of conduct directed at a specific person on the basis of actual or
perceived membership in a protected class that is unwelcome and would cause a reasonable person to
feel fear9
6
The state definition of domestic violence is conduct that is a sex crime under IC 35-42 or a threat to commit a sex crime “by a person against a person who:
(1) is or was the spouse of; (2) is or was living as if a spouse of; (3) has a child in common with; (4) is a minor subject to the control of; or (5) is an
incapacitated individual under the guardianship or otherwise subject to the control of; the other person regardless of whether the act or threat has been reported
to a law enforcement agency or results in a criminal prosecution.” This definition is applicable to criminal prosecutions for domestic violence in Indiana, but
may differ from the definition used on campus to address policy violations.
7
Examples:

Employee A has been in an intimate relationship with Employee B for over a year; Employee A punches Employee B in the face during an argument
(Dating Violence).

Student A has been in an intimate relationship with Student B for over a year; Students A & B live together. During an argument, Student A shoves
Student B to the ground (Domestic Violence).
8
The state definition of stalking is “a knowing or an intentional course of conduct involving repeated or continuing harassment of another person that would
cause a reasonable person to feel terrorized, frightened, intimidated, or threatened and that actually causes the victim to feel terrorized, frightened, intimidated,
or threatened,” which is applicable to criminal prosecutions for stalking in Indiana, but may differ from the definition used on campus to address policy
violations.
9
Examples

Employee A recently ended an intimate relationship with Employee B. For the past three weeks, B has been sending A 100 text messages per day and
waits by A’s car at the end of each day to beg and plead with her to take him back. When she refuses, he loses control, makes threatening gestures, and
tells her she will regret this. Employee A indicates she is fearful of what B might do to her (Stalking).
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
Staff Handbook.
When a violation of any other Rose-Hulman rule is motivated by the actual or perceived membership
of the victim on the basis of sex or gender or in a protected class, it may be pursued using this policy
and process.
Sanctions for the above-listed “Other Civil Rights Behaviors” behaviors range from reprimand up through
and including expulsion (students) or termination of employment.
5. Retaliation
Retaliation is defined as any adverse action taken against a person participating in a protected activity
because of their participation in that protected activity. Retaliation against an individual for alleging
harassment, supporting a party bringing a complaint or for assisting in providing information relevant to a
claim of harassment is a serious violation of Rose-Hulman policy and will be treated as another possible
instance of harassment or discrimination. Acts of alleged retaliation should be reported immediately to the
Title IX Coordinator(s) or to a member of the Equity Resolution Panel and will be promptly investigated.
Rose-Hulman is prepared to take appropriate steps to protect individuals who fear that they may be
subjected to retaliation.
6. Remedial Action
Rose-Hulman will implement initial remedial and responsive and/or protective actions upon notice of
alleged harassment, retaliation and/or discrimination. Such actions could include but are not limited to: no
contact orders, providing counseling and/or medical services, academic support, living arrangement
adjustments, providing a campus escort, academic or work schedule and assignment accommodations,
safety planning, referral to campus and community support resources.
Rose-Hulman will take additional prompt remedial and/or disciplinary action with respect to any member
of the community, guest or visitor who has been found to engage in harassing or discriminatory behavior
or retaliation. Procedures for handling reported incidents are fully described below. Deliberately false
and/or malicious accusations of harassment, as opposed to complaints which, even if erroneous, are made
in good faith, are just as serious an offense as harassment and will be subject to appropriate disciplinary
action.
7. Confidentiality and Reporting of Offenses Under This Policy
Rose-Hulman officials, depending on their roles at Rose-Hulman, have varying reporting responsibilities
and abilities to maintain confidentiality. In order to make informed choices, one should be aware of
confidentiality and mandatory reporting requirements when consulting campus resources. On campus,
some resources may maintain confidentiality, offering options and advice without any obligation to inform
an outside agency or individual unless you have requested information to be shared. Other resources exist
for you to report crimes and policy violations and these resources will take action when you report
victimization to them. Most resources on campus fall in the middle of these two extremes; neither RoseHulman, nor the law, requires them to divulge private information that is shared with them, except in rare
circumstances. The following describes the three reporting options at Rose-Hulman:
a. Confidential Reporting
If a reporting party would like the details of an incident to be kept confidential, the reporting party may
speak with on-campus counselors, campus health service providers, Equity Resolution Panel advocates,
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off-campus local rape crisis counselors, domestic violence resources, local or state assistance agencies, or
on or off-campus members of the clergy/chaplains who will maintain confidentiality except in extreme
cases of immediacy of threat or danger or abuse of a minor. Campus counselors are available to help
students free of charge and can be seen on an emergency basis during normal business hours and will
submit anonymous statistical information for Clery Act purposes unless they believe it would be harmful
to the student. Additionally safe and anonymous reports, which do not trigger investigations, can be made
by victims and/or third parties using the reporting form posted at http://www.rosehulman.edu/media/1464707/incident-report-form.pdf.
b. Private Reporting
Those seeking to report misconduct may seek advice from certain resources who are not required to
initially tell anyone else your private, personally identifiable information unless there is a pattern of abuse,
cause for fear for your safety or the safety of others. These resources include employees without
supervisory responsibility or remedial authority to address discrimination, harassment, retaliation and/or
sexual misconduct, such as resident assistants (RAs), non-supervisory faculty members, advisors to
student organizations, career services staff, admissions staff, student activities personnel, athletic trainers,
and many others. If a reporting party is unsure of someone’s duties and ability to maintain privacy, ask
them before talking to them. They will be able to explain and help a reporting party to make decisions
about who is in the best position to help. All these resources, such as RAs, are instructed to share incident
reports with their supervisors, but they do not share any personally identifiable information about the
report unless the reporting party gives permission, except in the rare event that the incident reveals a need
to protect the reporting party and/or other members of the community. If personally identifiable
information is shared, it will be shared with as few people as possible and all efforts will be made to
protect privacy to the greatest possible extent.
c. Formal Reporting Options
Party bringing a complaint is encouraged to speak to Rose-Hulman officials, such as the Title IX
Coordinator(s), ERP members, Dean of Students, Dean of Student Affairs, or Public Safety Officers to
make formal reports of incidents of sexual misconduct. Party bringing a complaint have the right, and can
expect, to have complaints taken seriously by Rose-Hulman when formally reported, and to have those
incidents investigated and properly resolved through these procedures. Formal reporting still affords
privacy to the reporter, and only a small group of officials who need to know will be told. Information will
be shared as necessary with investigators, witnesses and the responding party. The circle of people with
this knowledge will be kept as tight as possible to preserve a party bringing a complaint’s rights and
privacy.
8. Federal Timely Warning Obligations
Victims of sexual misconduct should be aware that Rose-Hulman administrators must issue timely
warnings for incidents reported to them that pose a substantial threat of bodily harm or danger to members
of the campus community. Rose-Hulman will make every effort to ensure that a victim’s name and other
identifying information is not disclosed, while still providing enough information for community members
to make safety decisions in light of the potential danger.
This policy was implemented in July, 2014.
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NOTICE OF VIOLATION OF THE POLICY ON EQUAL OPPORTUNITY, HARASSMENT
AND NONDISCRIMINATION REPORT FORM
Rose-Hulman has an expectation that employees will share information they receive about possible
violations of the Institute’s Policy on Equal Opportunity, Harassment, and Nondiscrimination. This form
is intended to convey information needed to track the Institute’s response to campus incidents being
reported, as well as to assess the danger the incident represents to the campus community. Annual
statistical information will be based on this report, as will the need to make timely warnings to the campus
community, for the protection of those who may be at risk.
Instructions: Fill in all fields that apply. Report only one incident per form. Take more space than is
given on this form, as necessary, to complete the descriptions. You are to return this form to the Title IX
Coordinator(s) or Assistant Coordinator(s) within 24 hours of becoming aware of any report.
Your name:______________________________ Position/Dept.:_______________________________
Phone:__________________________ E-mail: ______________________________________________
Reported to you by: (circle one) victim witness third-party anonymous
Date of Report:_______________ Date of incident:_______________
Time of
incident:_____________
Where did the incident occur?________________________________________If you wish to avoid
specifics, circle one of the following: On-Campus
Residence Hall
Public Property Off-campus
Other
(Please see descriptions of these four categories on reverse of this page, for proper classification)
Please described the incident in as much detail as possible
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Do you have reason to believe this incident represents a present threat of harm or danger to the victim or
other member(s) of the community? yes___ no____ if yes,
why:_________________________________________________________________________________
________________________________________________
Was a weapon involved yes___ no____
Number of assailants/perpetrators:____________________
If a single assailant/perpetrator, describe: gender:_____ race:_____ age:____ height:_____
weight:_____
Role of assailant/perpetrator(s) on campus: student__ faculty___staff___ no campus role___unknown___
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Name of alleged
assailant(s):*__________________________________________________________________
Was there any evidence that this incident was motivated by the victim’s (circle all that apply):
Race
ethnicity
age
gender
sexual orientation religion
Other departments or individuals to whom the victim/reporter has reported this incident
_____________________________________________________________________________________
Name of reporting victim *______________________________________________________________
Names and contact information for any relevant
witnesses*______________________________________________________________________
______________________________________________________________________________
* Any field denoted with an asterisk is a field that may be left blank by you if you intend for this report
not to serve as actual notice to the Institute of harassment, discrimination, sexual assault or other civil
rights violation for which notice will trigger an obligatory investigation by the Institute. Some employees
are required to complete this form in full, while others may withhold from the fields designated with a *,
depending on your role. Training has been provided on what you are required to report, but if you are
unsure, please consult with your supervisor. The term 'campus' means:
“any building or property owned or controlled by an institution of higher education within the
same reasonably contiguous geographic area of the institution and used by the institution in
direct support of, or in a manner related to, the institution's educational purposes, including
residence halls; and
property within the same reasonably contiguous geographic area of the institution that is
owned by the institution but controlled by another person, is used by students, and supports
institutional purposes (such as a food or other retail vendor).”
If an incident occurred on-campus in a residence hall, please circle both
“On-Campus” and “Residence Hall” on the front side of this form.
*
The term 'off-campus’ means:
“any building or property owned or controlled by a student organization recognized by the
institution; and
any building or property (other than a branch campus) owned or controlled by an institution of
higher education that is used in direct support of, or in relation to, the institution's educational
purposes, is frequently used by students, and is not within the same reasonably contiguous
geographic area of the institution.”
*
The term 'public property' means...
“...all public property that is within the same reasonably contiguous geographic area of the
institution, such as a sidewalk, a street, other thoroughfare, or parking facility, and is adjacent
to a facility owned or controlled by the institution if the facility is used by the institution in
direct support of, or in a manner related to the institution's educational purposes.''
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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
symptoms normally associated with being under the influence, such as staggered gait, slurred
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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 over-thecounter 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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Staff Handbook.
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:
 Encourages employees to seek assistance if they are concerned that they or their family members
may have a drug and/or alcohol problem.
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

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Staff Handbook.
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?
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
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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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3.
Staff Handbook.
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
(list the general factor category which needs
improvement)
General Factor
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:




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
STAFF PAY POLICIES FOR INCLEMENT WEATHER CLOSINGS (REV. 01/29/14)
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.
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Additional vacation hours will be added to each non-exempt staff vacation accrual bank for those who
worked during the closing as follows:

If non-exempt “essential personnel” worked less than eight (8) hours inclement weather overtime
(ICO), an additional four (4) hours of vacation will be added to their vacation accrual bank for each
day of campus closing they worked.

If non-exempt “essential personnel” worked at least eight (8) hours inclement weather overtime
(ICO), an additional eight (8) hours of vacation will be added to their vacation accrual bank for each
day of campus closing they worked.

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
Worker’s Compensation coverage provides financial compensation to employees* when they are injured
on the job due to a work related injury that arises out of and due to the employees employment
responsibilities. Compensation is in the form of loss wages and medical costs. Rose-Hulman obtains
Worker’s Compensation insurance coverage from an insurance carrier. An injury "arises out of the
employment" when there is a relationship between the injury sustained and the duties or services
performed by the employee. Ind. Code §22-3-6-1(e).
*For Worker’s Compensation purposes; an employee is an individual classified by Rose-Hulman as a
FT/PT employee and obtains a monthly or bi-weekly wage/payroll statement and W2 from Rose-Hulman.
W/C Packets-Site Coordinators
Site Coordinators are trained on how to file a First Report of Injury in the event of a work related injury.
Employees can receive their Work Comp packet and instructions from the Site Coordinator or their
immediate supervisor. The Site Coordinator and the immediate supervisor are first contacts in the event of
a work related injury. Employees are only permitted to seek initial treatment from the medical providers or
locations listed within the packet. Any referrals to another physician or location (unless life threatening)
must be pre-approved by the workers compensation carrier. Unapproved referrals for a work related injury
will not be covered by Worker’s Compensation or by the Rose-Hulman group health insurance. Please
follow the process as outlined to avoid any personal financial hardship.
If an employee is traveling, they should seek initial treatment at the closest emergency care or emergency
room and notify their immediate supervisor or site coordinator of their situation immediately.
How to Report an Injury
Step by Step Claim Procedures:
1. Immediately notify your immediate supervisor or Site-Coordinator of the injury.
2. Complete First Report of Injury form.
3. The immediate supervisor or Site-Coordinator must email (preferred method) or hand deliver a
completed First Report of Injury form to Susan Butts within 24 hours of the date of the injury.

A delay in reporting the work comp incident to RM will delay the approval and acceptance time of the
Work Comp carrier-please submit all injury reports ASAP
1. READ the information provided within the “Employee Care Packet” received from your
immediate supervisor or Site-Coordinator.
2. Obtain medical treatment at one of the “Initial Care Physicians” listed within the “Employee Care
Packet” for treatment due to your W/C injury. Injured employees are not authorized to receive
medical treatment from any locations other than those listed on the “Initial Care Physician” form
without prior approval from our Worker’s Compensation carrier, unless for a life threatening
injury.
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3. Employee will be subject to a drug and alcohol screening at time of medical treatment/s.
4. During the initial visit, provide the medical care provider with the Medical Provider Report that is
located within the Employee Packet.
5. Return to work and provide your supervisor or Site-Coordinator, as well as Risk Management,
with the Medical Release or Return-To-Work form that you receive from the medical care
provider.
NOTE: If your injury requires any work restrictions or time off from work, please notify your
immediate supervisor and Risk Management as soon as possible.
You are not permitted to seek medical treatment or be referred to another medical care provider
(unless life threatening) without the approval of the insurance carrier.
Additional Information
Prescription Coverage
Prescription coverage is provided by our Workers Compensation carrier when the employee’s injury
requires medication. Employees are not permitted to use their RHIT prescription card for prescriptions
related to their worker’s compensation injury. A temporary prescription card is located within each SiteCoordinator/Work Comp packet. Once the claim has been assigned to an insurance adjuster, additional
information related to prescriptions will be provided to the employee by the insurance carrier.
Return to Work Program (RTW)
In the event an employee suffers an injury which was caused by and due to their job responsibilities, and
such injury requires work restrictions, Rose-Hulman will work with the immediate supervisor to
determine if the restrictions will prohibit the employee from performing their normal job functions.
If the injury prohibits the employee from performing their normal job functions, we will look for other
work available within the employee’s immediate department. If there is no work available within the
employee’s immediate department, the Institute will temporarily place the injured employee in an
alternative department on or off campus. The employee will remain in the alternative department until the
light duty work is no longer available or until the employee’s work restrictions are changed by the
physician. While working within the alternate department, that department’s supervisor will oversee the
supervision of the temporarily placed employee. Any time away from work (medical appointments,
vacation, sick time and etc...) will be coordinated through the temporary department supervisor as well as
Risk Management. The work hours while on light duty (restricted work) may be different than the
employees normally scheduled hours or shift.
If there is no light duty or alternative work available, the employee will remain off work until their work
restrictions are changed by the work comp physician, until light duty becomes available or until the
employee is released to return to work, whichever comes first.
Rose-Hulman will provide, when available, light duty work for a maximum period of no longer than 180
days, per injury. After 180 days, or when such restrictions cannot be accommodated, the employee will be
released from the RHIT RTW program and will remain off work until they are released from Work Comp,
or no longer have work restrictions. After the waiting period has been satisfied and all work comp
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requirements have been met, the employee will be paid a salary through the work comp carrier at a rate of
66 2/3% of the employees “average weekly wage.”
Worker’s Compensation Insurance policy and forms site

Policy- http://www.rose-hulman.edu/offices-and-services/insurance-risk-management/workerscompensation.aspx

Forms- http://www.rose-hulman.edu/offices-and-services/insurance-risk-management/forms.aspx
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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 Enterprise Information Technology (EIT) 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 EIT regulation. To aid
users in moderating their resource consumption, EIT 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, EIT
may restrict your access to these resources. Public equipment is maintained by EIT, and
problems with said equipment should be reported to EIT. 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 EIT. 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 EIT.
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 EIT 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, EIT will make its best effort to notify the owner of the
system before the action occurs. However, in cases requiring immediate solution, EIT
reserves the right to take action without notice. In such cases, EIT 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 EIT. 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
FIREARMS, EXPLOSIVES AND WEAPONS POLICY
(REV. 02/2015)
Policy Statement:
Rose-Hulman Institute of Technology holds a zero tolerance regarding the possession and/or use of firearms,
explosives or weapons (hereafter referred to as “weapons”) on or in property, real and personal, owned or
controlled by the Institute. All members of the Rose-Hulman community and all visitors (excluding law
enforcement personnel), are prohibited from possessing weapons on the premises of the Institute regardless
of whether a federal or state license to possess the same has been issued to the possessor.
Reason for Policy/Purpose:
Rose-Hulman is committed to providing a safe and secure environment to conduct educational activities.
This policy is a proactive step towards reducing the risk of injury or death associated with intentional or
accidental use of weapons.
Who needs to know this policy:
Faculty, staff, students and visitors
Possession of Weapons Prohibited:
The possession, storage, and carrying (concealed or otherwise) of weapons on or in property, real and
personal, owned or controlled by the Institute is prohibited except as follows:
 A weapon stored in the custody and control of Institute’s Department of Public Safety (transportation
of weapons to and from the Department of Public Safety Office for the purpose of storage provided
student or employee has obtained written permission from the Dean of Students or the Director of
Human Resources to store weapons). This option shall only be available to students actively enrolled
at the Institute and residing in Institute owned or controlled housing.
Enforcement:

Students in violation of this policy are subject to discipline under the Student Conduct Code, including
without limitation expulsion or suspension. Students in violation of this policy may also be referred to law
enforcement for prosecution.

Employees in violation of this policy are subject to discipline, including without limitation, termination of
employment, and may also be referred to law enforcement for prosecution.

Any other persons (excluding law enforcement personnel) found in violation of this policy are subject to
being barred from Institute property and may also be referred to law enforcement for prosecution.
APPENDIX 11
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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 12
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 13
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 EIT 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 14
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 15
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 regulations10 concerning objectivity in research and err on the side of avoiding (even the
appearance of) a conflict of interest by requiring investigators 11 to disclose “significant financial interest”12 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;
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. 13
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
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.
11
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.
12
“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)
13
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.
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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:
14
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.14
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.
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.
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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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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