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Intellectual Property Policy
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.
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.
1.2 Patents and Patent Rights
A patent is a grant issued by the U.S. Patent and Trademark Office giving an inventor the right to exclude all others from making, using, or selling the invention within the United States, its territories and possessions, for a period of 17 years from the date of the patent grant.
Patents may also be granted in foreign countries; procedures for filing, requirements for patentability, and term of patent grant vary considerably from country to country.
To be patentable in most countries, an invention must be new, useful, and non obvious. In the U.S., a grace period of 12 months from the date of the first written public disclosure, public use or offer for sale of an invention is allowed to file a patent application. In many foreign countries, an invention is un-patentable unless the application is filed before any public disclosure occurs anywhere. However, if one has filed in the U.S. prior to such disclosure, the applicant has 12 months from the U.S. filing date to file in most non-U.S. countries without losing filing rights.
In addition to more traditional forms of inventions, the patentability of inventions implemented in computer software is well established in the U.S. A computer software invention generally will be patentable if it meets the tests of novelty and non obviousness and if its application is as part of a process or machine. A software invention will be automatically disqualified from U.S. patent protection only if it is purely a mathematical equation or formula with no other applications.
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.
1.5 Mask Works
A mask work is defined as a series of related images representing a predetermined, three-dimensional pattern of metallic, insulating, or semi conducting layers of a semiconductor chip product. Under the Semiconductor Chip Protection Act of 1984, mask work protection extends for ten years and gives the owner of the qualifying mask work exclusive rights to its exploitation. Mask works are registered with the United States copyright office.
Failure to apply for registration within two years of the initial commercial exploitation results in the termination of the exclusive rights.
1.6 Tangible Research Property
The term "tangible research property" refers to those research results that are in a tangible form as distinct from intangible property. Examples of tangible research property include integrated circuit chips, computer software, biological organisms, engineering prototypes, engineering drawings, and other property which can be physically distributed.
Although tangible research property may often have intangible property rights associated with it, such as biological organisms which may be patented or computer software which may be either patented or copyrighted, RHIT and/or the inventor/author may choose to distribute the research property without securing intellectual property protection by using some form of contractual agreement, such as formal contract, loan agreement, letter agreement, or user license as further set forth in this document.
1.7 RHIT Units
RHIT departments, centers established for special purposes, or other such bodies which may generate inventions or materials.
II. Principles of Ownership
2.1 General Policy Statement
The prompt and open dissemination of the results of RHIT research and the free exchange of information among scholars is essential to the fulfillment of RHIT's obligations as an institution committed to excellence in education and research. Matters of ownership, distribution, and commercial development, nonetheless, arise in the context of technology transfer, which is an important aspect of the institute's commitment to public service. Technology transfer is, however, subordinate to education and research; and the dissemination of information should normally, therefore, not be delayed beyond the minimal period necessary to define and protect the rights of the parties.
2.2 Patent Policy Statement
Rights in inventions made or conceived or first reduced to practice by RHIT faculty, students, staff, and others participating in RHIT programs are as follows:
- Not subject to the terms of agreements with research sponsors or other third parties under (a) below, and
- Do not involve the significant use of RHIT administered resources under (b) below.
RHIT acquires ownership or other rights in inventions as follows:
- Inventions subject to the terms of a sponsored research or other agreement are treated in accordance with the terms of the applicable agreement.
- Inventions involving the significant use of funds, equipment or facilities administered by RHIT are the property of RHIT, subject to any obligations to third parties in connection with such support.
2.2.1 Sponsored Research and Other Agreements
Grants and contracts applicable to research sponsored by the federal government are subject to statutes and regulations under which RHIT acquires title in inventions conceived or first reduced to practice in the performance of the research. RHIT ownership is subject to a nonexclusive license to the government and the requirement that RHIT retain title and take effective steps to develop the practical applications of the invention by licensing and other means.
In contacts with industry and non-government sponsors, RHIT's policy requires that RHIT retain ownership of all patents and other intellectual property rights. Infrequent exceptions to that policy are negotiated on a case by case basis.
The terms of such agreements apply not only to inventions made by faculty and staff, but also to those made by students and visitors, whether or not paid by RHIT, who participate in performing research supported by such agreements. It is essential, therefore, that all individuals participating in the research be made aware of their obligation to assign rights to RHIT and sign intellectual property agreements.
2.2.2 Significant Use of RHIT Administered Resources
RHIT does not construe the payment of salary from unrestricted funds nor the provision of office or library facilities as constituting significant use of RHIT funds or facilities.
When an invention involving the significant use of RHIT administered resources is made by an RHIT student, with the approval of the laboratory/center director or department chair, may elect to waive its rights except where the invention is subject to a sponsored research or other agreement. At the discretion of the laboratory/center director or department chair, RHIT may retain a right to use such invention for purposes of education and research. In addition, a student's rights to such invention may be subject to the terms of any financial aid received, including scholarships, fellowships, traineeships, theses expenses, or other assistance, whether or not administered by RHIT.
Individuals who are both staff members and students shall be considered to be staff members with respect to patentable inventions which arise during the course of employment.
Disputes arising under this section with respect to significant use shall be arbitrated by the Committee on Patents, Licensing and Copyrights whose recommendations shall be forwarded to the Board of Managers, who retains final authority.
2.3 Copyright Policy Statement
Copyright ownership of material (including software) created by RHIT faculty, students, staff and others participating in RHIT programs, is as follows:
The author acquires copyright ownership in materials (including computer software) which are:
- Not developed in the course of a sponsored research or other agreement under (a) below.
- 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.
- 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.
- Student thesis as provided under section 2.3.5.
RHIT acquires ownership or other rights in copyrightable material (including computer software) as follows:
- 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.
- 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.
- 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 novels, poems, musical compositions, sculpture or other works of artistic imagination which are created by the personal effort of faculty, staff and students independent of employment tasks and which do not make significant use of RHIT administered resources.
Furthermore, in those situations where copyright to such scholarly or artistic work resides in RHIT under the terms of a sponsored research or other agreement, or by operation of the copyright law or otherwise as a result of this policy, RHIT will, upon the author's request and to the extent consistent with the intent of the sponsor, convey copyright to the author of such work as further provided under this policy. Where appropriate, the approval of the center director or department chair will be required.
2.3.4 Significant use of RHIT Administered Resources
RHIT does not construe the provision of office or library facilities as constituting significant use of RHIT space or facilities, nor construe the payment of salary from unrestricted accounts as constituting significant use of RHIT funds, except in those situations where the funds were paid specifically to support the development of material.
Textbooks, class notes and related materials developed in conjunction with class teaching are also excluded from the "significant use" category, unless such textbooks were developed using RHIT administered funds paid specifically to support the textbook development.
RHIT does not acquire rights to independently created software which has been developed using conventional RHIT resources such as personal computers. RHIT does, however, consider RHIT organized software development projects as significant use.
However, student authors who make significant use of RHIT resources to develop software will retain ownership of such software subject to a royalty-free, nonexclusive license granted to RHIT to use the software for purposes of education and research.
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.
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III. Equities of Participating Parties
3.1 General Policy
Licensing, sale or use of technology and intellectual property in which RHIT has a proprietary interest shall be preceded by a written agreement between RHIT and the author or producer specifying the conditions of use, and including provisions protecting the right of the author to revise written or visual materials periodically. Disputes concerning the terms of the agreement shall be determined by the "Committee" subject to the right of appeal under Section 4.2.2.
If technology or intellectual property are used through licensing or sale or other arrangement, the author or producer will share in any income received as may be determined under the general principles of division set forth in Paragraph III) 3.2.2..
RHIT reserves the right to refuse to develop, license, sell, patent, copyright or utilize any technology whether owned by RHIT or others, in which event waiver of rights under paragraph 4.2.1 iii) will be considered.
3.2 Determination of Equities
3.2.1 Determination of the Committee on Patents, Copyrights and Licensing ("Committee")
The Committee shall determine when the rights in and to technology and intellectual property belong to RHIT in accordance with the provisions of this policy, subject to the right of appeal under Section 4.2.2.
3.2.2 General Principle of Division
RHIT shall establish a royalty account for any technology or intellectual property for which it anticipates receiving royalties or other income, and all expenses and income relating to that item shall be recorded therein. Where more than one such item is licensed together for a common fee or royalty, a common royalty account may be established for all of the related items and proceeds allocated in accordance with the Committee's determination.
Income to each royalty account shall, in the absence of other contracts, be distributed as follows:
- 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.
- 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:
Net Royalty Income
Inventor or Creator
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.
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.
- 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.
- The Committee has the authority to recommend when RHIT will pursue intellectual property rights for technology in which RHIT has an interest.
- 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.
- 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.
- 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.
- The Committee has the authority to advise the President of the Institute on matters concerning intellectual property and technology and to review the policy document from time to time. After submission to the faculty & senior staff (the Institute meeting) for review and comment, the Committee will recommend to the Board of Trustees changes that seem advisable.
4.2.2 Appeal Procedure
Subject to additional provisions regarding determinations of rights, privileges and duties under this policy as set forth in other provisions of this policy, the “Committee" shall first determine (by a majority thereof) after receiving such information as it deems appropriate, all questions regarding the interpretation of the terms of this policy, and all questions and disputes which may arise regarding the implementation of this policy and the rights, duties and privileges of those affected by the terms of this policy. Any interested party (which shall be deemed to include the RHIT personnel creating or producing any technology or intellectual property, the President or any single member of the "Committee") may appeal any determination of the Committee for review and determination by the President of the Institute. Any such interested party as above defined who is dissatisfied with the determination of the President may appeal the determination to the Board of Trustees of RHIT for final decision. (Any act or power which may be exercised by the Board of Trustees under this policy may also in lieu thereof be exercised by the Executive Committee of the Board of Trustees). The decision of the Board of Trustees (or its Executive Committee) shall be final and conclusive upon all interested parties. Any appeal to the President or to the Board of Trustees under the procedures set forth in this paragraph must be made in writing, and shall be delivered to the President or the Chairman or Vice-Chairman of the Board of Trustees (in the case of an appeal from the President's decision to the Board of Trustees) within fourteen (14) days following the determination of the "Committee" or the President, as the case may be. (Otherwise, the determination not appealed within said time period shall be deemed final and conclusive). If the President is a direct participant in the creation or development of the technology or intellectual property involved, the Committee's initial decision may be appealed by any such interested party directly to the Board of Trustees.
4.3 Development of Commercial Property
4.3.1 RHIT, unless modified by contractual agreement, will have the sole right to develop commercially any technology or intellectual property owned by RHIT.
4.3.2 RHIT personnel who wish to pursue the development of their independently owned technology or intellectual property may seek assistance from RHIT in developing commercially these inventions and materials.
RHIT personnel are equally free to choose some other mechanism for commercializing their independently owned technology or intellectual property, but prior to such commercialization should make sure that they do not fall under the terms of a sponsored research, or are otherwise subject to the terms of this policy.
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.
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)
- 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.
- 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.
- 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.
- 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.
- 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.
POLICY: Equal Opportunity, Harassment and Nondiscrimination (REV. 07/01/2015)
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.rose-hulman.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 Services 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 Rose-Hulman 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 - email@example.com, 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:
Director of Student Services and Hulman Memorial Union
Title IX Coordinator
Office of Student Affairs
Hulman Memorial Union 244
Director of Human Resources
Title IX Coordinator
Office of Human Resources
Moench Hall A113A
Associate Director of Residence Life
Assistant Title IX Coordinator
Office of Student Affairs
Hulman Memorial Union 153
Associate Director of Human Resources
Assistant Title IX Coordinator
Office of Human Resources
Moench Hall A113B
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
Equal Employment Opportunity Commission (EEOC)
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
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 Rose-Hulman 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 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.
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.
Sexual harassment is:
- unwelcome, sexual or gender-based verbal, written, online and/or physical conduct.
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,
- has the effect of unreasonably interfering with, denying or limiting employment opportunities or theability to participate in or benefit from the Institute’s educational, social and/or residential program, and is
- based on power differentials (quid pro quo), the creation of a hostile environment or retaliation.
POLICY EXPECTATIONS WITH RESPECT TO CONSENSUAL RELATIONSHIPS
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, administrator-student) 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 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
- 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 Contact
- 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.
iv. 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)
- 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
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 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, domestic and/or relationship violence)
- Stalking, 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 fear
- 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.
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 Rose-Hulman, 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, 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.rose-hulman.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.
 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.
 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.
- 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.
 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.
 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.
- 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).
 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.
- 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).
Notice of Violation of the Policy On Equal Opportunity, Harassment and Nondiscrimination Form (REV. 07/01/2014)
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.
- Controlled substances/drugs – include, but are not limited to:
- narcotics, such as opium, heroin, morphine and synthetic substitutes;
- depressants, such as chloral hydrate, barbiturates, and methaqualone;
- stimulants, such as cocaine (and any derivatives) and amphetamines;
- hallucinogens, such as LSD, mescaline, PCP, peyote, psilocybin, Ecstasy, and MDMA;
- cannabis, such as marijuana and hashish; and
- any chemical compound added to federal or state regulations and denoted as a controlled substance.
- Covered Individuals
- 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.
- 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
- Any building or land owned, leased, or used by the Institute.
- Institute vehicle
- Any vehicle owned, leased or operated by the Institute.
- Criminal drug statute conviction
- 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
- 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 speech, reddened eyes, unkempt look or extreme drowsiness or directly observed drinking alcohol (when unauthorized) or using drugs).
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.
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-the-counter medications will be responsible for consulting the prescribing physician or pharmacist to ascertain whether the medication may interfere with safe performance of his/her job. If the use of a medication could compromise their safety or the safety of others, it is the employees and covered individuals responsibility to use appropriate Institute procedures, as applicable (i.e.: call in sick, use accrued leave time, request change of job duty or notify supervisor) to avoid unsafe workplace practices.
The illegal or unauthorized use of prescription drugs is prohibited. It is a violation of our Drug-Free Workplace Policy to intentionally misuse and/or abuse prescription medications. Appropriate disciplinary action will be taken if job performance deteriorates and/or other accidents occur.
C. Notification of Office of Public Safety
Any individual observed unlawfully manufacturing, distributing, dispensing, using, or possessing alcohol or illegal drugs on Institute premises is to be reported immediately to the Office of Public Safety.
D. Shared Responsibility
- Office of Human Resources Responsibilities
- 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.
- Provide access to training for supervisors and managers.
- 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.”
- Refer and provide appropriate support for employees after drug testing and/or substance abuse treatment.
- Department Responsibilities
- 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.
- Take corrective action as appropriate after consultation with the Director of Human Resources.
- 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.
- Provide appropriate supervision for employees in accordance with return-to-work agreements.
- Employee and Other Covered Individuals Responsibilities
- 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.
- Report any dangerous behavior of the individual to the supervisor immediately.
- 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.
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.
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.
- 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.
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 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.
Performance Appraisal Forms
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)
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.
- 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.
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.
Worker's Compensation Insurance
Worker's Compensation is a law mandated by the State of Indiana to provide insurance coverage for all employees who may be injured on the job. The purpose is to help the work-injured employee recover to pre-injury status and return to the workplace.
Step by Step Claim Procedures
- Immediately notify your immediate supervisor or Site-Coordinator of the injury.
- Complete the First Report of Injury, form if injury is not life threatening.
- The immediate supervisor or Site-Coordinator must deliver or fax to extension 8032 the completed First Report of Injury form to the Risk Management Coordinator within 24 hours of the date of the injury.
- The injured employee should READ the Employee Packet received from their immediate supervisor or Site-Coordinator.
- Go to one of the medical care providers listed within your employee packet for treatment due to your work related injury.
- During your first visit, provide the medical care provider with the Medical Provider Report that is located within your employee packet.
- Return to work and provide your immediate supervisor or Site-Coordinator with the Medical Release or Return-To-Work form that you received from the medical care provider.
- If a prescription is required, due to your work related injury, DO NOT use your Rose-Hulman prescription card. You must do one of the following:
- Pay for the prescription and bring the cash register receipt for the prescription, along with your prescription information, to the Risk Management Coordinator in Moench Hall, room DL111. These charges will be submitted to our insurance carrier for reimbursement to the employee. You cannot be reimbursed for prescription charges without a cash register receipt.
- Contact the Risk Management Coordinator extension 8457; during office hours and she will make arrangements to have your prescription filled at a local pharmacy at no out of pocket cost to the employee.
Failure to follow these procedures by seeking your own medical care will result in non-payment of medical bills and you will be responsible for the incurred medical costs.
Note: Worker's Compensation wages are non-taxable. For additional information on Worker's Compensation, please contact the Risk Management Coordinator extension 8457.
Return to Work Program
In the event your injury requires work restrictions, the Institute will contact your immediate supervisor to determine if the restrictions would prohibit you from performing your essential job functions.
If the work restrictions prohibit you from performing your essential job functions, and if there is no other work available within your department, the Institute will temporarily place you with another department where alternative work may be available or applicable. You will remain in that department until your work restrictions are changed or until the alternative work is no longer available.
If there is no alternative work available on campus, you will then be required to remain off work until your work restrictions are changed or until you are released to return to work, whichever comes first.
Worker’s Compensation Insurance forms site
Policy of Responsible use of Rose-Hulman Computing Facilities
A. GENERAL GUIDELINES
- Computing resources and facilities are provided by the Rose-Hulman Institute of Technology (RHIT) for the following uses:
- Support and enhance the educational mission of the Institute
- Support and enhance the educational experience of every student
- Assist the faculty, staff, and students in their academic, research, and professional activities
- 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
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.
All illegal behavior is fundamentally unethical and therefore violates this policy; such behavior may result in both disciplinary and legal repercussions.
- 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.
- 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.
- 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.
- 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.
- 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 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.
- 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.
- 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).
- 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.
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.
- 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.
- Malicious Behavior or Use
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.
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.
- The Academic Rules and Procedures specify the procedures to be followed for resolving disputes and hearing appeals of decisions for violations of this policy.
- 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.
Firearms, Explosives, and Weapons Policy
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.
- 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.
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:
- 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 co-worker
- 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
Personnel Action Notification Form
Download the form
Key and Electronic Access Control Policy
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.
2.1 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.
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
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
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.
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.
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.
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.
3.28 Requests for secure area keying will be evaluated by the Review Team.
Indiana / Vigo County Clearn Indoor Air Ordinance
Smoking in Public Places and Places of Employment Chapter 58
3-58-1 Findings of fact and statement of purpose
- The Vigo County Board of Health finds the following facts to exist:
- 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
- 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
- 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.
For the purpose of this Article, the following words and phrases shall have the meanings given them in this Section.
- 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.
- 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.
- 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;
- 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.
3-58-3 Smoking prohibited in public places; exception
No person shall smoke in any public place except:
- 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:
- 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
- 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
- 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
3-58-4 Responsibilities of owners.
The owner and the on-site person in charge of a restaurant subject to this chapter shall:
- 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.
- 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.
- 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:
- 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
- That the fine may be contested in the Vigo County Circuit Courts
- 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.
- 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
- Smoking where prohibited. It is a violation for any person to smoke in an area where smoking is prohibited by this ordinance.
- 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.
- Penalties. A person who violates any provision of this ordinance shall be subject to the following penalties:
- A fine of one hundred dollars ($100.00) for the first offense
- A fine of two hundred fifty dollars ($250.00) for the second offense
- A fine of five hundred dollars ($500.00) for the third and each subsequent offense
- 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
- 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.
- Each calendar day during which the violation occurs shall constitute a separate and distinct offense.
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.
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.
Conflict of Interest Policy
A. It is the policy of the Institute:
- 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;
- 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;
- 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;
- 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;
- To comply with federal regulations1 concerning objectivity in research and err on the side of avoiding (even the appearance of) a conflict of interest by requiring investigators2 to disclose “significant financial interest”3 that would reasonably appear to be affected by the research for which funding is sought or “significant financial interest” in entities whose financial interest would reasonably appear to be affected by the research for which funding is sought;
- 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.
- To fully comply with reporting obligations imposed by federal agencies.4
- To maintain records of conflict of interest disclosure and subsequent actions recommended and taken for a period of three years. Sponsored project conflict of interest disclosure records and action taken to resolve conflicts shall be retained for a period of at least three years after termination or completion of a sponsored project or resolution of any civil, government or Institute action involving the records;
- 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:
- 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.
- 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.
- These designated reviewers will review all collected conflict of interest disclosure forms, determine whether a conflict exists, and work with the appropriate individual(s) to design a plan to manage, reduce, or eliminate the conflict in a manner consistent with the best interest of the Institute and the rights of the individual, while maintaining the highest ethical standards.5
- 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.
- If the designated reviewers are unable to recommend a resolution to a given conflict of interest case, it shall be referred as follows:
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- “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)
- 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.
- 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
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, Associate Vice President for Finance and Controller (812) 244-4017.