This staff handbook has been prepared to serve as a reference publication on employment related issues for staff members of Rose-Hulman Institute of Technology. It is intended as a general guide to policy, practice, and conditions of employment. Detailed policies and additional documents are included in the appendix and referenced throughout the text.

Due to the dynamic nature of the organization, and the legal and regulatory environments, the Institute reserves the right to change provisions in this handbook when deemed to be in the best interest of the Institute and its staff members.

This handbook and its provisions are not a contract or guarantee of continuous employment between the Institute and employees. Additionally, by Indiana law, all employees of Rose-Hulman Institute of Technology are employees at will. As an “at will” employee, each employee has the right to separate employment at any time with or without reason or notice and the employer has the right to terminate an employee at any time with or without reason or notice.

1.02 Mission Statement

To provide students with the world’s best undergraduate education in engineering, mathematics, and science in an environment of individual attention and support.

1.03 History of the Institute

In September of 1874, Chauncey Rose, a respected Terre Haute businessman and philanthropist, founded the Terre Haute School of Industrial Science. Mr. Rose, a native of Connecticut, came to Terre Haute to seek his fortune some sixty (60) years earlier. By a combination of luck and drive, Rose became the Wabash Valley’s foremost industrialist and entrepreneurial capitalist, amassing a fortune from railroads, oil, real estate, and lumber. Seeing a serious need for better educated mechanics and draftsmen, Rose envisioned a school to prepare young men for the mechanical and design demands and opportunities of the Industrial Revolution. In a mood of great celebration according to accounts in local newspapers, the cornerstone of the large Gothic main building was laid on September 11, 1875 at 13^th and Locust Streets. Over Rose’s strenuous objections, the Board of Managers changed the name of the school to Rose Polytechnic Institute to honor its founder.

Eight years later in March of 1883, with a secure endowment, substantial buildings and laboratories, and a carefully selected faculty of seven under the leadership of Charles O. Thompson, the school opened for the instruction of twenty-five men. All were enrolled in the Department of Mechanical Engineering. Included in their numbers were three “upperclassmen” who would constitute the first graduating class of June 1885.

In succeeding years, new majors were added as the demands of industry and the interests of students changed. For example, in 1887 the civil engineering major was fully established, and two years later Walter Wiley earned a degree from the Chemical Department, becoming the Nation's first chemical engineer. In the early 1890s a strong interest in electrical engineering swept the student body. In fact, all but two in the class of 1893 made the switch to electrical engineering amid the excitement of this new source of power and energy.

From the beginning, the students worked and studied long hours. For many years, the curriculum was basically taught on a six day basis (half days on Saturday). The faculty met weekly to evaluate the academic progress and social behavior of each and every student. But, students being students, they found outlets for extra energy and creativity. The first social fraternity, Alpha Tau Omega, was chartered in 1893, followed by Sigma Nu in 1895, the P.I.E.S. (later Theta Kappa Nu, then Lamda Chi Alpha) in 1900, and Theta Xi in 1907. More recently Triangle, Phi Gamma Delta, Delta Sigma Phi, Pi Kappa Alpha, Chi Omega, and Delta Delta Delta were chartered. The students literally ran athletics, paying a special fee to finance the purchase of equipment and the traveling expenses of the various teams. A field day event in 1889, at which Rose bested Indiana Normal, was the first intercollegiate competition. Other outlets for student time and talent were started, and many of our same clubs and activities like the Modulus, student government, a form of intramurals, drama, chorus, and band were firmly established.

Through wars and national recessions and depressions the school flourished. Even in tough times, students and their families found the resources to pay the expenses of a Rose education. Scholarships were few, but most students found ready employment in the large number of existing factories and mills, particularly during summers. Local boys did have some advantage over those from outside the county. No tuition was charged to Vigo County residents until 1922, when the move to the new school necessitated the change in policy.

As early as 1908 plans to move to a larger location were being discussed. The open fields of 1874 had given way to factories and boarding houses, leaving no room for the school to expand. The opportunity to do so came in 1917 when the Hulman family sold to the Board of Managers 123 acres of farmland east of Terre Haute on the National Road. Later the Hulman’s would donate the purchase price back to the school as part of their contribution to the school’s first national fund drive. On September 13, 1922 (WWI and a major recession had delayed construction) the cornerstone of what would become Moench Hall was laid. For many years it was the sole classroom/laboratory facility on campus. Deming Hall, the first student residence, was added in 1926.

Following WWII, a succession of presidents of vision and intellect built the campus we have today. The growth in the student body led to the construction of four residence halls and married student apartments. Many of the fraternities built houses on the east side of campus. Hulman Union was made possible by the Hulman Foundation in 1966.

Templeton was remodeled in 1969, Crapo Hall built in 1970, and a new library and recreation center were built before the decade ended. In the 1980s Moench Hall was entirely remodeled and Hadley and Olin Halls built. In the 1990s, Hulman Union was

doubled in size, the Olin Foundation provided a major expansion of Olin Hall, the old field house and recreation center gave way to America’s finest small college athletic complex, and a new residence hall.

In addition to all of the growth in the size of the student body and changes in the landscape, Rose Poly was rechristened in 1970. The holdings of the Hulman Foundation were donated to the school in December 1970 and the Board of Managers voted to rename the school the Rose-Hulman Institute of Technology in recognition of the longstanding support of the Hulman family.

The crowning event of the school’s history in the last decade of the century was the decision to become coeducational. The graduate program had long since admitted women, so there were female alums. However, admitting women to the undergraduate student body was a decision not lightly made. All constituencies, students, faculty, staff, Board members, alums, and friends, had to be convinced that it was the right thing to do for the continued success of the Institute. A pioneering group of ISU coeds took classes here during the 1994-95 school year, with plans to transfer in as upper class students when the school officially admitted its first coed class in the fall of 1995.

From its beginnings at 13^th and Locust to its move in 1922 to the former Hulman family farm and rebirth as the Rose-Hulman Institute of Technology in 1970, the school has been devoted to helping young people pursue the very best education possible. From a graduating class of three mechanical engineers, the school has grown to an enrollment over 1500, including graduate students and a hundred plus professors teaching in Applied Optics, Chemical Engineering, Chemistry & Life Sciences, Civil Engineering, Computer Science, Electrical and Computer Engineering, Humanities & Social Sciences, Mathematics, Mechanical Engineering, and Physics.

Today’s students work and study in an environment of high technology, laptops, virtual classrooms, internships and co-ops, and group projects. Mandolin and telegraph clubs have given way to the Solar Phantom and aerial robotics. Students leave the school for employment in a global marketplace possessing a keen commitment to their profession and life-long learning. So, while the mission of Rose-Hulman may have expanded over the years, the same focus on being the best place for an undergraduate education in mathematics, science, and engineering still remains, true to the vision of Chauncey Rose.

1.04 Campus Map

See Appendix 1

1.05 Governing Authority

The ultimate governance of the Institute lies with the Board of Trustees, which is charged with "the management of the business and prudential affairs of the Institute." The Board has 35 members, 32 selected by the Board, two alumni nominated through the Alumni association and elected by the Board, and the President of the Institute. The Board holds three annual meetings: Homecoming, mid‑winter, and Commencement.

1.06 Organizational Chart

See Appendix 2

1.07 Human Resources

The mission of the Office of Human Resources is to coordinate the hiring process, provide continuous employee development by supporting the evolving needs of employees, and to serve as a reliable source of information for faculty and staff. The office provides direction and guidance in administering Institute personnel policies, payroll services, benefits administration, professional development and training

The Office of Human Resources provides various support services to all departments of the Institute to help attract, develop, and retain the human resources needed to effectively accomplish the Institute’s mission. The Office of Human Resources is available to support departments in their administration of the policies set forth in the staff handbook.

1.08 Employee Relations Committee

The Employee Relations Committee is a liaison between the administration and employees (faculty and staff) to facilitate decisions that involve compensation and fringe benefits to promote a smooth running workplace. The committee also is charged to provide a suitable forum for mediating conflict, to facilitate change, and to advocate for a fair and supportive workplace as outlined in the Fair Treatment Practices Policy (See Section 7.0 Fair Treatment Practices Policy). The committee is composed of six faculty members and six staff members (3 from exempt classification and 3 from non-exempt classification) appointed by the President. The Director of Human Resources, Benefits Coordinator and Vice President for Business and Finance serve as ex-officio members. This committee meets regularly during the academic year.

1.09 Staff Representative (REV. 2/1/06)

The Staff Representative to the Board is an elected position and serves a two year term effective July 1^st. The Staff Representative can serve no more than two consecutive terms in office. The Staff Representative serves three primary roles:

· A confidential resource (Ombudsman) to assist staff in matters relating to their job at Rose-Hulman. The Staff Representative is to be open-minded and not pass judgment. The Staff Representative may meet in confidence with the Director of Human Resources to seek ways of resolving conflict. The Staff Representative will reference the Staff Handbook regarding policies and procedures, explain employment practices, listen and offer counsel as required, and attend at the request of the staff member, meetings with the supervisor and/or Director of Human Resources.

· A member of the Ombudsman Committee which provides staff with an additional confidential channel for addressing workplace concerns. The Committee members serve to help staff express needs, identify issues, and explore possible solutions to concerns. The Faculty Representatives are also members of the Ombudsman Committee.

· An ex-officio member of the Business Administration Committee of the Board of Trustees (or other Committee as designated by the Board of Trustees) for the primary purpose of providing communication between the Staff and the Board of Trustees. This Representative may, when invited, attend meetings of the Board of Trustees and the President’s Cabinet.

The Staff Representative will serve as “Staff Teller” at the conclusion of his/her two year term. The Staff Teller, in conjunction with the Director of Human Resources, will conduct the voting process for election of the new Staff Representative.

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1.10 Ombudsman Committee

The Ombudsman Committee provides staff with a confidential and informal channel for addressing workplace concerns. The committee members help staff express needs, identify issues, and explore possible solutions to concerns. The members consist of the elected faculty and staff representatives to the Board of Trustees. The President may appoint additional persons to the committee to ensure diversity.

2.00 GENERAL EMPLOYMENT POLICIES

Employment at Rose-Hulman Institute of Technology is based on the ability to perform the services required with or without reasonable accommodations in compliance with the Americans with Disabilities Act (ADA) (See Section 2.02 Americans with Disabilities Act). Work expectations and responsibilities will be explained by the supervisor during the interview process and also during employment.

2.01 Equal Employment Opportunity (REV. 09/01/02)

Rose-Hulman Institute of Technology is an equal opportunity employer. It is the Institute’s policy to treat all employees and applicants equally according to their individual qualifications, abilities, experiences and other employment standards. There is to be no discrimination because of race, religion, color, national origin, sex, age, citizenship status, disability, veteran status or sexual orientation. It is also the practice of the Institute to comply with all applicable federal, state, and local laws.

2.02 Americans with Disabilities Act (ADA)

The Americans with Disabilities Act of 1990 (ADA), prohibits employers from discriminating against a qualified individual with a disability in the employment process. The Institute will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in an undue hardship. The Equal Employment Opportunity Commission is charged with enforcing the employment discrimination elements of the ADA.

2.03 Conflict of Interest (REV. 09/01/04)

It is the policy of the Institute to expect its staff, while acting for or engaging in an activity affecting the Institute, to do so with loyalty to the Institute and maintenance of the highest standards of ethics and awareness of conflicts of interest, both in fact and appearance; to respect the rights of staff to engage in activities outside the normal scope of their role at the Institute, provided such activities do not conflict with or reflect adversely on the Institute's interest, or deprive the Institute of an appropriate measure of their time and effort (conflict of commitment); this policy shall not be construed so as to unreasonably or unfairly curtail the Institute policy on academic freedom. Every staff member will complete a written Conflict of Interest Disclosure form (See Appendix 14 Conflict of Interest Policy and Procedures) during new employee orientation and annually thereafter. Records will be maintained in the Institute's secured, confidential files in the Office of Business and Finance

2.04 Intellectual Property

The Intellectual Property Agreement described in the Intellectual Property Policy dated February 24, 1989 (See Appendix 3) relates to technology developed by current faculty, staff, students, and others participating in Institute programs. The term “technology” is broadly defined and includes technical innovations, improvements, inventions and discoveries, as well as writings, computer software, and other information in various forms. The policy defines the ownership, distribution, and commercialization rights associated with such technology in the form of intellectual property; (e.g., patents, copyrights, trademarks, and mask works, and also defines policies and procedures which govern use and distribution of the technology in its tangible form; (e.g., integrated circuit chips, computer software, biological organisms, engineering prototypes, engineering drawings, and other property which can be physically distributed).

The policy also sets forth a distribution formula for royalties received by the Institute from technology/intellectual property licenses. Employees are requested to sign “Exhibit-A”, Intellectual Property Agreement, during employee orientation to indicate compliance with the Institute’s policy.

2.04 Harassment and Sexual Misconduct Policy (REV. 12/19/11)

In accordance with Title VII of the Civil Rights Act of 1964 and Title IX, the Institute has established a Harassment and Sexual Misconduct Policy (See Appendix 4). Any employee who believes that he or she has been the subject of harassment or sexual misconduct (See Appendix 4 for definitions and resolution form) should complete a Harassment and Sexual Misconduct Resolution Form and file it immediately with one of the following: his/her supervisor, area Vice President/Dean, Director of Human Resources, or a member of the Ombudsman Committee. Reports of alleged harassment or sexual misconduct will be investigated as discreetly as the circumstances permit and without recrimination. After appropriate investigation, an individual who is found to have engaged in sexual harassment will be subject to appropriate sanctions up to and including termination.

2.06 Nepotism

Relatives will not normally be hired or transferred into positions where they directly or indirectly supervise or are supervised by another close family member. In the rare instance in which there is such a hire or transfer, appropriate action should be taken to minimize potential conflict. The hiring of two individuals of the same family in the same department is permissible.

2.07 Smoking Policy (REV. 12/05/11)

The Institute is dedicated to providing a healthy, comfortable, and productive environment for all students, faculty, staff and guests on the campus. The Institute recognizes the health hazards associated with using smokeless and smoking tobacco products and the adverse effects of exposure to second hand smoke by nonsmokers.

The Institute complies with the Indiana Vigo County Clean Indoor Air Ordinance which prohibits smoking in all enclosed interior areas including offices. In addition, in order to preserve this environment in all interior areas, smoking is also not permitted within a 30 foot radius of the exterior of any building entrance. This is to avoid the unintended consequence of smoke drifting into the building via opened entrances or air intakes.

It is the responsibility of each individual area department head and/or director, in conjunction with the Manager of Environmental Health and Safety and the Office of Public Safety, to ensure faculty, staff, visitors, contractors, etc. are appropriately informed of this policy and the underlying City/County Ordinance.

It is the residence life staff's responsibility to ensure students, parents, guests, etc. are appropriately informed of this policy and the underlying City/County Ordinance.

For violations and penalties, see Appendix 13 or Clean Indoor Air Ordinance,, Section 3-58-8.

2.08 Drug Free Workplace Policy

Employees are to comply with all federal, state, and local laws regarding drugs, narcotics, and alcohol while at the workplace. Abuse of drugs and alcohol is dangerous to employees’ health and the safety of the workplace, and the Institute will not tolerate the unlawful manufacture, distribution, dispensing, possession, or use of controlled substances on campus (See Appendix 5).

2.09 Employment of Minors

The Institute must secure an employment certificate before a minor 14-17 years of age is permitted to work. This includes minors who are 16 or 17 years of age and no longer enrolled in school. (Exception: Minors under the age of 18 who have graduated from high school do not require employment certificates). Contact Human Resources for assistance in obtaining an employment certificate.

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3.00 GENERAL EMPLOYMENT PRACTICES

3.01 Employee Orientation

New employees receive specific information from Human Resources and their supervisor to orient them to their new position and the policies and responsibilities of the Institute.

During the first few days of employment, Human Resources conducts orientation which provides an overview of the policies and practices, fringe benefit programs, payroll information, and responsibilities of an employee to the Institute.

In addition, new employees receive information from their supervisors concerning specific job duties, work schedules, performance expectations, and materials or equipment needed to perform job functions.

Finally, new staff and their spouses will be invited to attend the New Faculty, Staff and Spouse Orientation Program in August during the first year of employment. This orientation is conducted by the President with presentations from the area Vice Presidents.

3.02 Employee Identification Cards

Employees must obtain an employee identification card during their first week of employment. The Office of Student Affairs, located in the lower level of the Union Building, is responsible for issuing the identification cards. The identification card serves as a library card, meal card if you are on a meal plan option, and permits initial access to the Sports and Recreation Center. The identification card can also be used to check out publications at the Indiana State University and St. Mary-of-the-Woods College libraries.

Temporary employees are not eligible to receive an employee identification card.

3.03 Keys (REV. 02/08/12)

The Senior Director of Facilities Operations administers regulations and procedures consistent with Institute policy to control campus keys and electronic access associated with assets owned, leased, rented, or temporarily controlled by the Institute and their occupants.

Rose-Hulman Institute of Technology established a Keys and Electronic Access policy to promote the safety and security of the Institute. The safety and security of our campus is dependent upon adherence to and enforcement of this policy. Institute keys will be issued to key recipients only when authorized by a Vice President, Department Head or their designated representative.

Key recipients will sign a key receipt form. Key recipients will maintain possession and security of all Institute keys and/or electronic access cards. Key recipients will immediately report loss or theft of Institute keys or electronic access cards to their Vice President or Department Head, the lock shop staff and the Office of Public Safety. Key recipients will return keys issued by the locksmith by the due date. A personal lock, locking device, or padlock may not be used on any equipment owned, leased, or rented by the Institute without prior approval of the Office of Public Safety. Padlocks are only permitted on athletic lockers and lockers in the Hulman Union.

For further information regarding the Key and Electronic Access Control Policy (See Appendix 12).

3.04 Parking

Employees are allowed to park in various parking lots throughout campus. Vehicles that are driven to work are to be registered with the Office of Public Safety. A parking decal may be obtained, free of charge, by completing a Vehicle Registration Form during new employee orientation. At the time of registration, faculty and staff members will receive a map of designated parking locations. Vehicles without a parking decal or vehicles parked in non-designated areas will be ticketed and may be towed.

3.05 Facilities and Services

ATM Machines

There are two ATM machines from First Financial Bank located on campus. One ATM machine is located in the lower level of the Hulman Memorial Union building and the other is located in the lower level of Moench Hall canteen area.

Athletic Facilities

The Sports and Recreation Center is available for use by all full-time and part-time employees and their families in accordance with the operations manual which is available from the Director of Sports and Recreation Facilities.

Bookstore

The Rose-Hulman Bookstore is located in the lower level of the Hulman Memorial Union building and provides textbooks, office supplies, art supplies, cards, stationery, clothing, gifts and sundry items. Employees may cash personal checks up to $150.00 with proper identification.

Computing Center

Technical Services Center is operated as a complete computational and information processing service for both the academic and administrative functions of the Institute. Questions and/or problems should be reported to the Help Desk Operator in room G-108 by calling extension 8989 or e-mail “helpdesk@rose-hulman.edu.”

Fax Machines, Copiers, Printing, and Telephones

FAX machines and copiers are available throughout the Institute for departmental needs.

The print shop provides full service printing services to meet department needs. Printing services for personal use are also available. Contact the Print Shop Supervisor for rates.

Employees will be provided information regarding the Meridian Voice Mail System utilized throughout campus. Long distance phone calls in accordance with Institute business can only be made using a Personal Security Code (PSC) that can be obtained by calling extension 8518. A Personal Security Code (PSC) can also be obtained for personal use.

Food Services

The Institute provides dining services in the Hulman Memorial Union building through ARAMARK Dining Services. Employees are welcome to eat lunch in the Faculty/Staff dining room during the academic year. During the summer months, employees are welcome to eat lunch in the student dining room. During some school break periods, the dining services are closed. Frequent diners on campus may purchase a meal plan from the various options available or pay on a cash basis.

In addition to the Faculty/Staff dining room, the Worx snack bar in the lower level of the Hulman Memorial Union building is available for dining needs.

Institute Equipment

Various Institute equipment or property is entrusted to each employee to perform work assigned. If the equipment is in need of repair, servicing or cleaning, it is expected that the employee will report it to the supervisor and then follow up to see that such maintenance is accomplished. Equipment entrusted to the employee for use in work responsibility must be returned upon separation from the Institute.

Library

Logan Library has a scientific and technical collection of numerous volumes with a representative sampling from the social sciences and humanities. Employees may use the library. A current employee identification card is needed to check out publications. The Digital Resource Center (DRC) is also located in the library. The focus of the DRC is to provide faculty, staff and students with a resource center for high-level presentation preparation, web page creation, video streaming, and other technologies to enhance the ability to provide the best learning and teaching experience possible.

Mail Services (REV. 10/01/02)

The Mail Distribution Center (MDC) sorts all incoming mail delivered to the Rose-Hulman campus for students, faculty and staff. It is the responsibility of Mail Services to ensure Institute compliance with USPS regulations and any other Institute, local, state, or federal policies relating to mail requirements.

The Mail Processing Center (MPC) handles all outgoing mail and offers a complete line of mail preparation services. The US Postal Services offers postal rate reductions for various classes of mail that require automated mail processing, and the MPC offers a complete line of automated mail preparation services to meet those needs.

For more information, please visit the Administrative Services link on the Rose-Hulman web site http://www.rose-hulman.edu/Users/groups/AdminSvcs/html/mail/index.htm. A Mail Services Guide is available for more complete information on mail piece preparation and processing.

Mileage Reimbursement

Employees are encouraged to reserve an Institute-owned vehicle, if available, when conducting Institute business. If an Institute-owned vehicle is not available, mileage reimbursement will be made at the rate established by the Institute. The employee must submit a Travel and Entertainment/Expense Report requesting reimbursement to Accounts Payable.

Notary Public (REV. 09/01/02)

Notary public services are provided free of charge through the following offices: President, Development and External Affairs, Business and Finance, Student Affairs, Civil Engineering, and Rose-Hulman Ventures.

Uniforms

The Institute supplies either uniforms or a clothing allowance for members of the maintenance, custodial, housekeeping, and public safety staff. Institute provided uniforms are to be returned upon separation of employment while staff members receiving a clothing allowance retain uniforms upon separation.

3.06 Job Description

Prior to hiring a new staff member, a job description is written or revised by Human Resources in conjunction with the supervisor and/or previous incumbent. The job description outlines job functions, education and experience requirements, job requirements, knowledge, skills, and abilities necessary to perform the essential job functions. The job description is used as a guide for staff member job and performance expectations, to assist in professional development opportunities, and to achieve individual or departmental goals and objectives. It is the responsibility of both the supervisor and staff member to update and revise the job descriptions as it becomes outdated or at least annually.

3.07 Job Posting

To ensure equal employment opportunity, hiring departments notify Human Resources to initiate campus-wide posting and external advertising of all open staff positions. The vacancy will be announced through electronic mail and posted in designated display cases located near the mail room and in Human Resources until the position is filled. Human Resources will refer qualified candidates to the hiring department. The hiring department selects candidates to be interviewed and makes the final hiring decision.

Full-time staff are eligible to apply for vacant positions after one year of consecutive service in their current position. This policy may be waived if the new position results in a promotion and is approved by the staff member’s current supervisor (See Section 3.13 Promotions and Transfers). Part-time or temporary staff may apply for full-time or regular positions after successful completion of the initial review period. Interested staff members should contact Human Resources to apply. The hiring department selects candidates to be interviewed and makes the final hiring decision.

3.08 Employment Letters

The Institute issues employment letters to new employees upon hire. These employment letters are generated by Human Resources at the request of the hiring supervisor, and are signed by the President. This employment letter indicates the starting salary, title, designated work hours (if applicable), start date, initial review period (See Section 3.11 Initial Review Period) and summarizes fringe benefits (if applicable). This employment letter is not a contract of employment nor does it guarantee continuous employment. Prior to July 1, continuing employees will receive an employment letter indicating title and salary. Employees are requested to sign the letter as notification to the President of their intent to continue employment.

3.09 Employment Status

A position is classified as exempt or non-exempt based on criteria established by the Fair Labor Standards Act (FLSA) (See Section 3.06 Job Description). The Institute maintains the following position classifications for all staff positions:

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Exempt

Staff members paid on a salaried basis and whose essential responsibilities and job duties are such that the position meets the exemption test as defined by the Fair Labor Standards Act (FLSA) and therefore, the position is exempt from overtime pay requirements.

Non-Exempt/Salaried

Staff members paid on a salaried basis and whose essential responsibilities and job duties are such that the position does not meet the exemption test as defined by the Fair Labor Standards Act (FLSA) and therefore, the position is not exempt from overtime pay requirements. Since the position does not meet the exemption test, the law requires that the staff member be paid at the rate of one and one half (1½) times their regular rate of pay for any and all hours worked in excess of forty (40) hours in a work week.

Non-Exempt/Hourly

Staff members paid on an hourly basis and whose essential responsibilities and job duties are such that the position does not meet the exemption test as defined by the Fair Labor Standards Act (FLSA) and therefore, the position is not exempt from overtime pay requirements. Since the position does not meet the exemption test, the law requires that the staff member be paid at the rate of one and one half (1½) times their regular rate of pay for any and all hours worked in excess of forty (40) hours in a work week.

The employment status of all employees is determined by the Department of Labor pursuant to the Fair Labor Standards Act (FLSA). Within these position classifications are the following employment statuses for all staff positions:

Full-Time

Employees working a minimum of forty (40) hours per week (2080 hours annually). Full-Time employees are eligible for all fringe benefits provided by the Institute.

Part-Time (benefits eligible)

Employees working a minimum of thirty (30) hours per week (1560 hours annually) but not to exceed thirty-nine (39) hours per week . Part-Time (benefits eligible) employees are eligible for all fringe benefits provided by the Institute.

Part-Time

Employees working a minimum of twenty (20) hours per week (1040 hours annually) but not to exceed twenty-nine (29) hours per week. Part-Time employees are eligible for pro-rated fringe benefits provided by the Institute.

Temporary

Employees (employed through the Institute) working for a defined period of time not to exceed 999 hours in a twelve (12) month period. Temporary employees are not eligible for fringe benefits provided by the Institute. Individuals employed through a temporary agency do not qualify for Institute benefits.

3.10 Work Schedules

The Administrative and Academic offices are open Monday through Friday 8:00 a.m. to 5:00 p.m. unless otherwise indicated by the area supervisor. Variable work hours based on department needs are established by the supervisor in conjunction with the next level supervisor.

Staff members are expected to arrive on time for work and to meet all work commitments (See Section 6.00 Codes of Conduct). Any variation from the regular work schedule should be approved in advance by the supervisor.

In reporting an absence, staff members are expected to contact their supervisor as soon as possible. Voice mail messages are discouraged as a means of notification unless the staff member is instructed to do so by the supervisor. The Institute supports flextime in order to accommodate the reasonable requests of staff members for alternative work schedules when consistent with the needs of the departments.

Breaks and Rest Periods

Hourly staff members are permitted two (2) fifteen (15) minute break periods for every eight (8) hours worked. These break periods may be designated for specific times during the shift at the discretion of the supervisor. Occasionally, if the nature of work makes it impractical to observe break periods, the half-hour (½) meal break may be extended with prior supervisory approval.

Hourly staff members are paid for meal breaks and, therefore, are requested to remain on campus during meal breaks in the event a situation arises which requires immediate return to work. Hourly staff may be permitted to leave campus during meal breaks with prior supervisory approval.

Reasonable Breaks for Nursing Mothers (REV 07/01/10)

The recently implemented Healthcare Reform Law amends the Fair Labor Standards Act (FLSA) to require employers to provide non-exempt employees who are nursing mothers with a reasonable break time when they need to express breast milk for the first year following the birth of a child.

To be in compliance, Rose-Hulman has established a lactation room located in the Office of Human Resources in Moench Hall, Room A113D. There is privacy, a chair, electrical outlet and refrigerator for storage of the expressed milk. Employees using the refrigerator for expressed milk will provide their own clearly labeled container with their name. If the employee has a private office, they may prefer to express milk in their office and bring their own storage cooler for storage of their expressed milk.

Supervisors might expect an average employee to need between 15 – 20 minutes of break time every two to four hours to express milk which may vary, depending on the individual employee.

3.11 Initial Review Period

New staff is subject to a ninety (90) calendar day initial review period. This period is designed for the Institute and the employee to evaluate the new employment condition. The supervisor may conduct a performance appraisal with the employee at any time during this period. At the end of this initial review period, the supervisor must complete a written performance appraisal of the employee and recommend one of the following:

• Successful completion of the initial review period; employee changed to full or part-time employment status

• Extension of the review period not to exceed another ninety (90) calendar days

• Termination of employment

Beyond the initial review period, an employee may be placed on probationary status at any time during employment for unsatisfactory conduct or performance (See Section 8.00 Corrective Action Procedure).

3.12 Performance Management (REV. 10/01/02)

The performance management process provides the opportunity to dialogue between the employee and supervisor regarding job performance, professional development opportunities, job responsibilities, and performance expectations. The employee is also provided an Employee Self-Appraisal questionnaire to complete prior to the performance appraisal discussion with the supervisor. The employee should bring the completed self-appraisal form to the performance appraisal discussion meeting. The Job Description and/or Job Analysis Questionnaire is to be reviewed with the employee to ensure the job description accurately reflects the essential job functions. A completed Performance Appraisal form signed by the supervisor and employee, a revised Job Description or Job Analysis Questionnaire, and Employee Self-Appraisal are the products of this performance management process. The employee’s signature on the form indicates the appraisal has been reviewed with them. A copy of the Performance Appraisal and Employee Self-Appraisal is provided to the employee and the original forms, along with the Job Description and/or Job Analysis Questionnaire is returned to Human Resources and incorporated in the employee’s central personnel file. A Performance Improvement Plan must be completed for each general factor that is rated as “Needs Improvement” on the Performance Appraisal form. (See Appendix 6 Performance Appraisal).

A performance appraisal will be conducted for each employee at the end of the initial review period and annually thereafter during the month of the anniversary date of employment.

3.13 Promotions and Transfers

To maintain employees of the highest quality, the Institute provides equal opportunity for the recruitment, professional growth, and advancement of all employees. The Institute encourages promotion and transfer of current employees whenever possible. A promotion occurs when an employee leaves one classified position to go to another of increased responsibility and with higher compensation. This may involve moving from one department to another; however, it may occur within the same department when two separate positions are involved. Full-time staff are eligible to apply for positions after one year of consecutive service in their current position. This policy may be waived if the new position results in a promotion and is approved by the staff member’s current supervisor. Part-time or temporary staff may apply for full-time or regular positions after successful completion of the initial review period. Staff members meeting minimum job qualifications should contact Human Resources to apply. The hiring department selects candidates to be interviewed and makes the final hiring decision. (See Section 3.07 Job Posting) for more information regarding employment opportunities.

3.14 Position Reclassification

Position reclassification occurs when the essential job functions of the position have changed significantly. The current job description is reviewed and revisions are completed by the supervisor and staff member. The new job description will be reviewed by the supervisor and next level supervisor in consultation with Human Resources. The outcome of the position review may result in a title change and/or salary adjustment which is determined by the supervisor and next level supervisor, with final approval by the President.

3.15 Personnel Records

The Institute complies with all applicable Federal laws governing personnel records, their creation, handling, and retention. Human Resources maintains a central personnel file for each employee containing documentation on employment, benefits, compensation, performance appraisals, corrective action, and other pertinent information.

The information in the employee’s central personnel file is considered confidential and is secured when not in use and may be reviewed only by the following:

• The employee who is the subject of the file

• The employee’s supervisor who is considering the employee for promotion, transfer, reassignment, demotion, dismissal, or other personnel actions

• Other supervisory personnel, with the employee’s written authorization

• An attorney or designee of the employee, with the employee’s written authorization

• Controller (payroll information only)

• Human Resources staff

• An attorney representing the Institute in connection with any action threatened or brought against the Institute

• Other persons acting in compliance with Federal, state or local laws such as auditors, wage and hour personnel, equal employment opportunity investigators, etc., or in response to a lawfully issued subpoena or court order (employees will be notified of a subpoena or court order by Human Resources)

The employee’s central personnel file shall be reviewed in Human Resources in the presence of a Human Resources staff member. Employees may take notes, make copies, and notify Human Resources of any incorrect information contained in the file. The information in the central personnel files is the property of the Institute and may not be removed.

Retention of Corrective Action Records

Documentation of corrective action will be retained in the staff member’s central personnel file. After a period of one year, in the event of a positive resolution and continued active employment, the corrective action shall be considered concluded however, documentation will remain in the employee’s central personnel file (See Section 8.00 Corrective Action Procedures).

Changes in Employee Information

In order to ensure accuracy of employment information, employees are required to notify Human Resources of all changes in employee or dependent status within thirty (30) days of the event. A change in employee or dependent status includes, but is not limited to:

• Marriage

• Divorce

• Birth

• Death

• Adoption

• Dependent no longer meets IRS requirements for dependent status

• Dependent reaching age twenty-five (25)

Employees enrolled in the health insurance plan who delay this notification may lose the right for continuation of coverage through the Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA) (See Section 9.05 COBRA Continuation Coverage).

Other changes of status which must be reported to Human Resources for payroll, insurance, and retirement purposes include, but are not limited to the following:

• Name

• Address

• Telephone Number

• Income tax exemptions

• Beneficiary

3.16 Release of Employment Information

Human Resources receive written requests for information concerning employment verification from potential employers, financial institutions, and rental properties. This information will be provided only if the request includes a written authorization and release from the employee. When information is requested by phone, Human Resources will only confirm or deny information given on dates of employment, position held, and employment status.

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4.00 EMPLOYEE COMPENSATION AND TIME RECORDS

4.01 Pay Periods

Monthly

Employees paid monthly are paid on the 25^th of the month for the current month.

Bi-Weekly

Employees paid hourly are paid bi-weekly on a Friday for work completed the prior two weeks according to a bi-weekly pay schedule. The seven (7) day work week for employees paid on an hourly basis begins on Sunday 12:00 a.m. and ends on Saturday 11:59 p.m. If the normal pay date falls on a weekend or Institute holiday, employees will be paid on the last regular business day preceding the weekend or Institute holiday.

4.02 Direct Deposit

Employees are required to arrange for direct deposit of their pay to the financial institution of their choice. Funds may be deposited in up to three accounts. During new employee orientation, appropriate direct deposit authorization forms, along with other payroll information, will be completed (See Section 3.01 Employee Orientation). Any changes to direct deposit authorization forms should be completed and returned to Human Resources.

4.03 Pay Deductions

The Institute is required by Federal law to withhold social security taxes, and Federal, state, and local income taxes from employee payroll. Employees are required to complete withholding tax forms to advise Human Resources of individual tax liability. Each time withholding information changes, the employee must complete and forward new forms to Human Resources. The Institute is required to honor garnishments, wage assignments, and levies to the extent prescribed by law. Other deductions may only be made by written authorization of the employee.

4.04 Pay Advances

The Institute does not authorize pay advances.

4.05 Pay Increases

Employee compensation is reviewed annually by the President and department supervisors. Any annual pay adjustments take into consideration cost of living, job performance and/or available funding and are effective July 1 for staff. Pay adjustments may be made at other times of the year as deemed necessary. Annual pay adjustments are approved by the President. (See Section 3.08 Employment Letters).

4.06 Overtime Pay

According to the Department of Labor, employees in a non-exempt position are entitled to overtime pay for hours worked in excess of forty (40) hours in a work week (See Section 4.01 Pay Periods). Each work week stands alone for the calculation of overtime pay. Overtime pay is calculated at one and one-half (1½) times the regular rate of pay.

Overtime must be approved in advance by the supervisor.

In computing hours worked for overtime pay, the Institute has established that vacation, sick hours and observed holidays paid within the work week will be considered as hours worked.

4.07 Time Off

In certain circumstances, time off, is an alternative to overtime pay for staff in non-exempt/salaried positions. Time off may be taken, at supervisory discretion, in one of two ways:

A). In order to avoid working more than forty (40) hours in a work week, time off at the rate of one hour off for one hour worked may be taken during the same work week so no more than forty (40) hours is worked in that work week.

B). If more than forty (40) hours is worked in one week of a pay period, time off may be taken in the other week of the same pay period at the rate of one and one-half (1 ½) hours off for each hour worked over forty (40), in place of overtime pay.

Time off cannot be banked for future use. The overtime will be paid on the next regularly scheduled pay date.

4.08 On-Call and Emergency Call In

Departments may designate an exempt staff member as “on-call” for handling after hour emergencies. As deemed necessary by the “on-call” staff member, hourly staff may be called in to work. Time worked during the “on-call” time will be paid based on the actual amount of time worked. For hourly staff members not “on-call”, but called to work due to an emergency will be paid a minimum of two (2) hours pay. These hours are counted as hours worked for calculating overtime and are to be recorded on the appropriate time card.

“On-call” responsibilities of exempt staff may be a job function of their position and no additional compensation is given.

4.09 Holiday Pay

All observed holidays for the Institute are found in the Faculty/Staff Directory published in August of each year and on the Human Resources web site. The Institute observes 4-5 holidays during each fiscal year by designating eight (8) days off in observance of these holidays. Full-time staff will receive their regular rate of pay and time off for each holiday. Part-time staff will receive holiday pay and time off only for holidays the employee is regularly scheduled to work, and only for the regularly scheduled number of hours for that day.

Temporary staff and staff on leave of absence are not eligible to receive holiday pay.

Staff scheduled to work on a designated holiday will receive eight (8) hours of holiday pay in addition to the regularly scheduled work hours. An observed holiday will be considered in the calculation of overtime pay.

Example: scheduled to work the Memorial Day holiday employee would be paid:

Forty (40) hours at regular rate of pay

Eight (8) hours holiday pay at one and one-half (1½) times regular rate

If an observed holiday is during a scheduled vacation period, the employee will be paid the holiday pay and the vacation day may be taken at a later date.

4.10 Inclement Weather (REV. 12/19/11)

Any decision to cancel classes and close the school is made by the President or by another Executive Officer of the Institute in the President’s absence. If the Institute remains open, employees are expected to report to work (See Appendix 7). Employees who are considered "essential personnel" based on their immediate job functions and/or are requested by their supervisor, may be required to remain on campus or to report to campus after the campus closing.

4.11 Time Records

Exempt Positions (REV. 10/01/04)

According to the Fair Labor Standards Act (FLSA), staff members in an exempt position are not required to record hours worked However, since the Institute compensates separating staff members for unused vacation leave, and also compensates continuing staff members meeting certain criteria for sick leave (See Section 5.10 Leaves of Absence), staff members are required to record vacation and sick time taken electronically through the Banner Web for Employee “Time Entry” application no later than the tenth work day of the month for the preceding month.

If vacation and sick leave is used in increments of less than one day, the leave should be recorded as hours (e.g.: 4 hours = 4).

Non-exempt Positions

According to the Fair Labor Standards Act (FLSA), staff members in a non-exempt position are required to record hours worked. Hours worked and exceptions to the regular work schedule will be recorded electronically through the Banner Web for Employee "Time Entry" application no later than noon on Monday following the end of the pay period. Hours are computed in fifteen (15) minute increments and entered as decimals (e.g.: 8 ½ hrs=8.50 hours).

Hours are recorded using the following pay codes:

• R Regular

• F Funeral Leave

• FL Family & Medical Leave

• H Holiday

• S Sick

• V Vacation

• Z Unpaid

• OT Overtime (hours in excess of forty (40) hours in one pay week)

• TO Overtime taken off

Hourly Positions

Staff members in an hourly position are required to record hours worked according to the Fair Labor Standards Act (FLSA). Hours worked and exceptions to the regular work schedule will be recorded electronically through the Banner Web for Employee "Time Entry" application no later than noon on Monday following the end of the pay period. Hours are computed in fifteen (15) minute increments and entered as decimals (e.g.: 8 ½ hours=8.50 hours).

Hours are recorded using the following pay codes:

• R Regular

• F Funeral Leave

• FL Family & Medical Leave

• H Holiday

• S Sick

• V Vacation

• Z Unpaid

• OT Overtime (hours in excess of forty (40) hours in one pay week)

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5.00 EMPLOYEE BENEFITS

5.01 Health Insurance Plan (REV. 10/01/04)

The Institute provides a health insurance plan for the employee and eligible dependents. Monthly premiums are shared by the Institute and the employee, with the employee portion deducted on a pre-tax basis through the Section 125 Flexible Spending Account. To be an eligible participant, a person must be an eligible employee. An eligible employee is any individual who is a full-time or part-time (benefits eligible) employee who is regularly scheduled to work at least thirty (30) hours per week.

An employee is eligible for coverage on the date of hire and has thirty (30) days from the date of hire to complete the enrollment form. The enrollment form is to be returned to Human Resources. If the enrollment form is not returned within thirty (30) days from the hire date, the employee cannot enroll in the health plan until the open enrollment period. During the open enrollment period, the employee is subject to the plan provisions limiting coverage for pre-existing conditions. (See Pre-existing Conditions Limitation in the Health Benefits Plan) booklet available from Human Resources.

The plan provides in-network and out-of-network benefits to all participants.

Medical coverage is based on usual and customary charges. Most in-network services are paid at 100%, less co-payment and deductible. Medical services are subject to an annual deductible and co-payment. Out-of-network services are subject to an annual deductible and coinsurance.

A prescription drug program is available through a pharmacy network.

For further information regarding the health insurance plan, refer to the Health Benefits Plan booklet available from Human Resources.

5.02 Dental/Vision Plan (REV. 07/01/01)

Monthly premiums are paid by the employee and deducted on a pre-tax basis through the Section 125 Flexible Spending Account. Preventive dental services are paid at 100% with no deductible. Orthodontia services are paid at 50% with no deductible and have a $1,000 maximum dollar benefit per eligible dependent. Basic services are paid at 80% with a deductible. Major services are paid at 50% with a deductible. Co-payments apply for vision services with no deductible.

For further information regarding the dental/vision insurance plan, refer to the Group Insurance Benefits Plan booklet available from Human Resources.

5.03 Section 125 Flexible Spending Plan

The Institute provides a Flexible Benefits Plan which is available to employees who are regularly scheduled to work at least twenty (20) hours per week. The Flexible Benefits Plan allows the employee to pay for un-reimbursed medical, dental, vision, and dependent care expenses through pre-taxed dollars.

For further information regarding the Flexible Benefits Plan refer to the Flexible Benefits Plan booklet available from Human Resources.

5.04 Life Insurance

The Institute provides a life insurance program to eligible employees. The Institute pays the full premium to the insurance carrier. There is an employee tax liability for insurance coverage over an amount designated by the IRS (address questions to Human Resources). An eligible employee is any individual who is a full-time or part-time (benefits eligible) employee and is regularly scheduled to work at least thirty (30) hours per week. An employee is eligible for coverage on the first of the month following the hire date and has thirty (30) days from the hire date to complete the enrollment form. The enrollment form is returned to Human Resources. If the enrollment form is not returned within thirty (30) days from the hire date, the employee may still enroll in the life insurance plan but is subject to evidence of insurability.

For further information regarding the Life Insurance Plan refer to the Group Life Insurance Benefits Plan booklet available from Human Resources.

5.05 Long Term Disability Insurance

The Institute provides a Long Term Disability Plan to eligible employees. The Institute pays the full premium to the insurance carrier. An eligible employee is any individual who is a full-time or part-time (benefits eligible) employee and is regularly scheduled to work at least thirty (30) hours per week. An employee is eligible for long term disability coverage after one year of service. Coverage is based on sixty (60%) of the monthly salary base of the employee at the commencement of the period of continued total disability to a maximum of $10,000. The maximum benefit of $10,000 includes income payable from Social Security, Worker's Compensation, or any disability benefits payable under any retirement or insurance plan of the Institute.

For further information regarding the Long Term Disability Insurance Plan refer to the Group Long Term Disability Insurance Plan booklet available from Human Resources.

5.06 Retirement Plan

The Institute provides a Defined Contribution Retirement Plan for all benefits eligible employees. An eligible employee is any individual who is a full-time or part-time employee and is regularly scheduled to work at least twenty (20) hours per week.The Institute contributes an amount equal to ten (10%) of the gross wages paid during the month to the retirement plan. Personal contributions may be made to the Institute’s Defined Contribution Retirement Plan or to a Supplemental Retirement Annuity through approved carriers.

The Institute offers an Optional Early Retirement Plan (See Section 5.08 Optional Early Retirement Plan). Employees planning to retire from the Institute should notify their supervisor and Human Resources of their intent to retire at least sixty (60) days prior to the effective date of retirement (Employees at the level of Director and above are requested to give at least six (6) months notice). Upon notification of a planned retirement, the Benefits Coordinator in Human Resources will provide the employee with retirement income options and coordinate payment of this benefit with the appropriate account custodian.

For further information regarding the Retirement Plan contact Human Resources.

5.07 Optional Early Retirement Plan (REV. 10/01/04)

The Institute offers an Optional Early Retirement Plan for employees with at least fifteen (15) years of service* who elect to retire at age sixty-two (62) through age sixty-six (66). Partial benefits are available to employees retiring at age fifty-five (55) through age sixty-one (61). If an employee retires at age sixty-seven (67) or after, they are eligible for the Medicare supplement plan paid by Rose-Hulman for 5 years. Participation in the plan is voluntary.

*One year of service is defined as working 1,000 hours or more during a twelve (12) month period.

Eligibility

Active employees who meet the minimum age and service requirements are eligible to retire under this plan. The following employees are not considered to be “active” employees:

•employees on leave of absence or sabbatical

•employees on layoff status

•employees receiving or eligible to receive disability benefits under the Institute’s Group Disability Insurance Plan

Election Period

Eligible employees must complete a written election form. The enrollment election period begins thirty (30) days prior to the date on which the eligible employee retires or terminates employment. The written election form notifies the Institute of the effective date of retirement. Failure to file the election form during the thirty (30) day election period will disqualify the employee from the plan. The election form is to be returned to the Benefits Coordinator in Human Resources.

However, employees planning to retire from the Institute should notify their supervisor and Human Resources of their intent to retire at least sixty (60) days prior to the effective date of retirement so plans may be made for a replacement (Employees at the Director level and above are requested to give at least six (6) months notice).

The Institute has the right to evoke or amend the plan at any time at its discretion without affecting those already retired under an election.

For election forms and further information regarding the Optional Early Retirement Plan, refer to the policy available from Human Resources.

5.08 Tuition Assistance

Dependent Children Tuition (REV. 09/01/04)

The Institute provides a partial college tuition assistance program to dependent children of eligible employees. An eligible employee is any individual who is a full-time employee or part-time (benefits eligible) employee. After five years of continuous full-time employment at the Institute, a dependent child will be eligible for partial college tuition assistance for programs of study at the baccalaureate level. A dependent child is an unmarried, natural or legally adopted child of eligible employees who is declared as a dependent on the eligible employee’s federal income tax return.

The dependent child must attend an accredited college or university and pursue a program which can be counted toward the completion of an initial baccalaureate degree. The program is designed to provide eligible dependents the opportunity to be enriched by the traditional on-campus experience similar to that which Rose-Hulman provides. Assistance for programs that are exclusively or primarily on-line (e.g.: University of Phoenix Online or similar programs) will not be provided. Benefits will not be provided to dependent children beyond age twenty-five (25).

The amount of the Rose-Hulman award is limited to the lesser of one-half of the current Rose-Hulman Institute of Technology freshman tuition rate per child per year, or the actual tuition and academically related fees charged at the Institution attended up to a maximum total lifetime benefit per family. This maximum total lifetime benefit for the 2002-2003 fiscal year is $31,000 and will increase by $1,000 each year beginning fiscal year 2003-2004 to $40,000 by the year 2012.

After one year continuous full-time employment, full tuition remission is granted if the eligible child attends Rose-Hulman Institute of Technology.

A Tuition Benefit Program Application for tuition assistance must be made to Human Resources for each dependent and each time there is a change in the institution attended. An original invoice of charges from the institution attended must be submitted to Human Resources for each academic period and is the basis for payment.

Dependent children participating in this program may not apply for a TE Scholarship for the same academic year. (See the Tuition Exchange Policy) available from Human Resources.

For those eligible employees hired prior to 1982, please refer to the Tuition Benefit

Program for Dependent Children Plan A policy available from Human Resources.

For application forms and further information regarding the Tuition Benefit Program for Dependent Children refer to the policy available from Human Resources.

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Tuition Exchange (REV. 10/01/03)

The Institute participates in the Tuition Exchange, Inc. (TE) program which provides a national scholarship exchange for dependent children of full-time faculty and staff members and part-time benefits eligible staff members. The definitions of an eligible employee, dependent child and eligibility requirements are the same criteria as noted above in the Dependent Children Tuition section. Rose-Hulman is required to maintain a balance between “exports and imports”. Because of high demand and limited availability, Rose-Hulman cannot assure that all who apply will receive a scholarship.

Access also depends on the importing institution, which will have its’ own criteria for selecting recipients and a limit on the number of scholarships.

The scholarship will cover tuition up to a program maximum of $20,800 per year beginning with the 2004-2005 academic year. This program maximum is adjusted annually based on inflation.

The Tuition Exchange (TE) program Web site is http://www.tuitionexchange.org/. All schools that participate in the Tuition Exchange program are listed here.

A Tuition Exchange Scholarship Application must be submitted to Human Resources during the period October 1 through November 1. Applications will only be accepted for children attending college the following academic year. Early applications will not be accepted. Human Resources will verify eligibility and inform the employee/parent of their priority ranking by December 1. The normal admission process is followed at the school the child would like to attend.

If the number of applicants exceeds the number of available TE Scholarships, applicants will be selected through a priority ranking system.

First priority will be given to renewals: those students already enrolled in a member institution, and who are holding a TE scholarship.

Second priority will be given to applicants based on employment seniority of the employee. In the event of employees with equal seniority, ranking will be on the date of submission of the application. A lottery system will be implemented in the case of employees with equal seniority submitting an application on the same date.

Only one dependent child per family may be enrolled in the TE scholarship program at the same time.

If the dependent child is not awarded a Tuition Exchange Scholarship, he or she is eligible to participate in the Rose-Hulman Tuition Benefit Program for Dependent Children (See Dependent Children Tuition section above).

For application forms and further information regarding the Tuition Exchange Program refer to the policy available from Human Resources.

Employee Courses for Credit (REV. 01/01/01)

The Institute pays for college courses for credit for eligible employees after one year of service provided the course work relates to the employee’s current position. An eligible employee is any individual who is a full‑time or part‑time (benefits eligible) employee and is regularly scheduled to work at least thirty (30) hours per week. The supervisor will review a course syllabus or description to determine if the course relates to the employee’s current position. The supervisor must also approve the employee’s request to take courses held during normal work hours.

An initial Employee Course for Credit Program Application for tuition assistance or subsequent applications must be made to the supervisor. An application is required for each academic period. A copy of the course syllabus or course description must accompany the application, with supervisory approval, and returned to Human Resources. The supervisor, in consultation with the Benefits Coordinator, will determine whether the course is related to the employees’ current position. Only courses deemed related to the employees’ current position will be paid. This process must be completed before class enrollment to be eligible for payment. The employee shall present the bill for tuition and academic related fees to Human Resources. The Institute shall pay the cost of the tuition and academic related fees directly to the institution at which the employee is enrolled.

The Professional Development line of the applicable department budget is to be charged for all courses.

Upon completion of the course, the employee shall provide a copy of the final grade report to Human Resources. Failure to provide a grade report or achieving a final grade of less than "C" requires the employee to reimburse the Institute the entire amount of tuition and academic related fees within 30 days after course completion. If the employee drops the course for any reason prior to course completion, the employee will be responsible to reimburse the Institute the tuition and academic related fees within 30 days of dropping the course. Reimbursement shall be either direct payment or payroll deduction as elected by the employee.

For application forms and further information regarding the Employee Courses for Credit Program, refer to the policy available from Human Resources.

5.09 Independent Colleges of Indiana Moving Contract (REV. 09/01/03)

As a result of Rose-Hulman’s membership in the Independent Colleges of Indiana (ICI), both new and existing Institute faculty and staff can now utilize specific ICI moving contracts for moving their household goods. ICI has negotiated significant discounts with specific carriers for the benefit of all active employees in its membership. The only Rose-Hulman involvement is a requirement to verify employment before services may be provided.

Institute employees should contact the Director of Human Resources, at extension 8176 or by email to Kimberly.Miller@Rose-Hulman.edu, to request use of this service. Human Resources will verify employment with the moving companies and provide them with employee contact information. The moving companies will then contact the employee directly for quotes and all other information, including billing arrangements which will be made exclusively between the employee and the company.

Comments and feedback regarding employee experience with these services should be reported to Human Resources so that Rose-Hulman may keep ICI appropriately informed regarding the value of this service to its membership.

For further information regarding the Independent Colleges of Indiana Moving Contract, refer to the policy available from Human Resources.

5.10 Statutory Benefits

Statutory benefits are those benefits provided on behalf of employees by the Institute as required by Federal law. These statutory benefits include:

Social Security and Medicare

Employees are covered by the Federal Social Security Act. Medicare coverage is a part of this coverage. Social Security pays benefits when employees retire, become disabled, or die. Employees and the Institute pay taxes for this benefit. The employees’ taxes are deducted from their pay, and the Institute matches these taxes dollar for dollar.

The Federal government sets a limit each year on earnings which are subject to social security and the applicable tax rate.

For further information on Social Security benefits and the limits established each year, Human Resources.

Unemployment Insurance

Under state law, unemployment benefits are provided to those employees who are terminated from employment for reasons other than willful misconduct or resignation, or just cause as defined by Indiana law.

Worker’s Compensation Insurance (REV. 09/01/02)

The Institute carries worker’s compensation insurance to cover the cost of an employee’s medical bills and a portion of lost wages due to an injury or illness that arises out of and in the course of employment. Worker’s Compensation guidelines are regulated by the State of Indiana Worker’s Compensation Board.

If the employee has lost wages as a result of a worker’s compensation injury or illness, the worker’s compensation insurance carrier will pay the employee 66 2/3% of gross earnings during the period of temporary total disability. There is a seven (7) calendar day waiting period before the employee will receive compensation through the worker’s compensation insurance carrier. During this seven (7) calendar day waiting period, the employee has the option to use earned sick leave. If the employee has no earned sick leave, the employee has the option of using earned vacation leave or time off without pay.

After the seven (7) calendar day waiting period, the employee will begin receiving payments directly from the worker’s compensation insurance carrier at the rate of 66 2/3% of the employee’s average gross earnings from the previous twelve (12) months.

The employee will have the option to take earned sick and vacation hours after the seven (7) calendar day waiting period at the rate of 1.0 hour per day to bring the net wages to approximately 100%.

After the employee is off work for twenty-one (21) days, the employee’s first seven (7) days of gross earnings will be reimbursed by the worker’s compensation insurance carrier at 66 2/3% of the gross earnings.

If the attending physician recommends returning to work under light duty restrictions (Return to Work Program RTWP), efforts will be made to accommodate the employee if such restricted work is available.

For further information regarding Worker’s Compensation (See Appendix 8).

5.11 Leaves of Absence

Vacation Leave

The Institute encourages staff to utilize vacation leave annually.

• Earning Vacation Leave (REV. 10/01/04)

Vacation leave is earned based on position classification, length of service, and number of hours worked. Employees begin earning vacation leave on the first day of the month following the hire date. If the hire date is the first day of the month, the employee earns vacation for that month. Employees cease to earn vacation leave upon separation of employment. Vacation is earned at the rate of one-twelfth (1/12) of annual leave per month (e.g.: annual leave = 10 days per year = .83 days per month= 6.66 hours per month).

Staff members do not earn vacation days/hours during unpaid leave.

Length of Service Annual Vacation Leave Earned

0 - First Year earn 10 days or 6.66 hours per month

First Year - Second Year earn 10 days

Second Year - Third Year earn 15 days or 10.00 hours per month

Third Year – Fourth Year earn 15 days

Fourth Year – Fifth Year earn 20 days or 13.33 hours per month

Fifth and subsequent Years earn 20 days

Part-Time Employees

Length of Service Hours Worked Annual Vacation Leave Earned

First Year 20-25 hours 6.25 days/50 hours (1/12 per month)

26-29 hours 7.25 days/58 hours

30-35 hours 8.75 days/70 hours

36-39 hours 9.75 days/78 hours

Second Year 20-25 hours 6.25 days/50 hours

26-29 hours 7.25 days/58 hours

30-35 hours 8.75 days/70 hours

36-39 hours 9.75 days/78 hours

Third- Fourth Year 20-25 hours 9.375 days/75 hours

26-29 hours 10.875 days/87 hours

30-35 hours 13.125 days/105 hours

36-39 hours 14.625 days/117 hours

Fifth and

Subsequent Years 20-25 hours 12.5 days/100 hours

26-29 hours 14.5 days/116 hours

30-35 hours 17.5 days/140 hours

36-39 hours 19.5 days/156 hours

Temporary Employees

Temporary staff and staff working less than twenty (20) hours per week are not eligible for vacation leave.

• Maximum Vacation Leave

Employees may accumulate up to a maximum of 40 days or 320 hours vacation leave.

• Utilizing Vacation Leave

Upon completion of the initial review period, employees may take vacation leave as it is earned, however employees may not take vacation leave before it is earned. Vacation leave must be approved by the supervisor prior to use and must be taken in increments of at least four hours for exempt employees, and at least quarter hour increments for non-exempt employees except as defined in (Section 5.10 Worker’s Compensation Insurance).

• Tracking Vacation Leave

Exempt Employees

Vacation and sick leave taken will be recorded electronically through the Banner Web for Employee “Time Entry” application no later than the tenth work day of the month for the preceding month. (See Section 4.11 Time Records)

Non-Exempt Employees

Vacation leave taken will be recorded electronically through the Banner Web for Employee "Time Entry" application no later than noon on Monday following the end of the pay period (See Section 4.11 Time Records).

Hourly Employees

• Unused Vacation Leave

Unused vacation leave will be paid up to 25 days or 200 hours maximum to the employee upon separation or to the designated beneficiary in the event of death of the employee. Unused vacation leave beyond 25 days or 200 hours will be forfeited upon separation or death.

Sick Leave

• Earning Sick Leave

Employees begin earning sick leave on the first day of the month following the hire date. If the hire date is the first day of the month, the employee earns sick leave for that month. Employees may not take sick leave before it is earned. Employees cease to earn sick leave upon separation of employment. Sick leave is to be used for medically related absences for the employee or immediate family members or for extended funeral leave and is also designed to serve as short term disability coverage. Sick leave is not to be used as personal leave.

Employees do not earn sick days/hours during unpaid leave.

Full-Time Employees

Hours Worked per Week Annual Sick Leave Earned

40 hours 12 days /96 hours or 8 hours per month

Part-Time Employees

Hours Worked per Week Annual Sick Leave Earned (1/12 per month)

< 20 hours 0 days/0 hours

20-25 hours 7.5 days/60 hours

26-29 hours 8.7 days/70 hours

30-35 hours 10.5 days/84 hours

36-39 hours 11.7 days/94 hours

Temporary Employees

Temporary employees and employees working less than twenty (20) hours per week are not eligible for sick leave.

• Maximum Sick Leave

Employees may accumulate a maximum of 72 days or 576 hours sick leave.

• Utilizing Sick Leave

Employees may take sick leave during the initial review period; however employees may not take sick leave before it is earned. Sick leave must be approved by the supervisor prior to use and must be taken in increments of at least four hours for exempt employees, and at least quarter hour increments for non-exempt employees except as defined in (Section 5.10 Worker’s Compensation Insurance.) In reporting medically related absences, employees are expected to notify their supervisor as soon as possible. Voice mail messages are not acceptable means of notification unless the employee is instructed to do so by the supervisor.

• Tracking Sick Leave

Exempt Employees (REV. 10/01/04)

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Non-Exempt Employees

Sick leave taken will be recorded electronically through the Banner Web for Employee "Time Entry" application no later than noon on Monday following the end of the pay period (See Section 4.11 Time Records).

Hourly Employees

• Unused Sick Leave

Employees are not compensated for accumulated sick leave upon separation of employment.

Family and Medical Leave (FMLA) (REV. 02/01/08)

In accordance with the Family and Medical Leave Act (FMLA), Rose-Hulman provides eligible employees up to 12 weeks of unpaid leave in a rolling 12-month period measured backward from the date the employee uses any FMLA leave. Service Member Family Leave* may be taken for up to 26 weeks during a single 12-month period. This FMLA leave is a guaranteed period of time eligible employees can be absent from work with job protection. The time off is not paid, unless the employee is taking vacation or sick leave concurrently with FMLA leave. If you choose not to use paid sick and vacation time concurrently with FMLA leave, you will not continue to accrue additional sick and vacation hours, as you will be in an unpaid status. Employees who are on Family and Medical Leave or an approved leave of absence may not engage in any form of self-employment or perform work for any other employer during that leave, except when the leave is for military or public service or when the secondary employment has been approved by the Institute. As an employee of Rose-Hulman Institute of Technology, we are your primary employer. Employees can request or use FMLA leave, or Human Resources may place the employee on FMLA leave, to cover the time they need to be away from work for any of the following purposes:

·To care for a newborn child or a newly adopted or newly placed foster care child, as long as the leave is taken in the year following the child's birth or placement;

·To care for their child, spouse, or parent who has a serious health condition;

·To provide employees time to attend to their own serious health condition that leaves them unable to perform their job.

·To provide the employee with time off arising from the fact that the employee's spouse, child or parent is on active duty or called to active duty in the Armed Forces, and in support of a "contingency operation" (members of the Armed Forces involved in hostilities or which result in a call to active duty).

·Service Member Family Leave is available to employees who are the spouse, parent, child or next of kin of a "covered service member" in need of care. Covered service members include those undergoing treatment or who are on the military's temporary disability retired list due to a "serious injury or illness."

In the event both spouses work for the Institute, only one twelve (12) week leave is granted for the birth, adoption, or placement of a child in foster care. Each spouse is eligible for a twelve (12) week leave in the event of a serious health condition. An employee is not entitled to a total of more than 12 weeks of FMLA leave per year, meaning a “rolling” twelve month period measured back from the date the employee uses any such leave. For those using FMLA under the Service Member Family Leave, the employee can take up to 26 weeks of leave.

To apply for Family and Medical Leave, the employee must obtain and complete a Request for Leave Form from Human Resources. Employees are asked to give thirty (30) days notice of intent to take Family and Medical Leave when possible.

The employee may use earned sick and vacation days to be paid during Family and Medical Leave; otherwise, the leave is unpaid. If the employee chooses to take the leave without pay, additional vacation and sick leave will not be earned during unpaid leave.

The Institute will continue to provide group insurance coverage (e.g.: health insurance, life insurance, and long term disability insurance) during the leave. If the employee does not return from the leave for other than health reasons, the employee will be responsible to reimburse the Institute for the full premium cost of the group insurance coverage.

Health insurance benefits through COBRA will be calculated from the date the leave began. For further information regarding COBRA benefits (See COBRA section in the Health Benefits Plan) booklet available from Human Resources.

Certification of a health care provider will be required when taking Family and Medical Leave when the leave is for a serious health condition. The employee must complete a Family Medical Certification Form with approval from the health care provider that the employee is able to return to work. This certification is to be returned to Human Resources. An employee will be returned to the same or equivalent position as he or she held before Family and Medical Leave with no reduction in pay or benefits.

For further information regarding Family and Medical Leave, contact Human Resources.

Funeral/Bereavement Leave (REV. 11/01/08)

In the event of an “immediate family member’s” death, employees will be granted up to three (3) days off from work without loss of pay. “Immediate family members” of the employee are as follows: mother or father, children, spouse, brother or sister, grandparents, grandchildren and in-laws (mother, father, brother, sister). If there are special circumstances involving other family members not mentioned; employee should consult with the Office of Human Resources for clarification.”

The employee may use sick and/or vacation leave for additional time off, with supervisory approval.

Military/Reserve Service Leave

The Institute supports those employees who choose to become members of a reserve unit of the armed forces, National Guard, or Commissioned corps of the Public Health Service.

• Annual Training

An employee who is required to participate in two (2) weeks of annual training as part of a military service program may request a leave of absence. The request shall be in written form accompanied by relevant military orders and given to the supervisor with a copy placed in the employee’s central personnel file in Human Resources. The employee may, but is not required to, take earned vacation leave during training.

• Active Duty / Re-employment Rights

Employees who give advance notice of the need to be off for military service or training will be granted a leave of absence for such purposes and will be provided re-employment at the end of their leave to the extent provided by the Uniformed Services Employment Re-employment Rights Act.

For further information regarding USERRA, contact Human Resources.

• Insurance Coverage

Health insurance coverage will cease on the last day of the month during which an employee was called to active duty. Employees and dependents will be offered continued health insurance coverage under terms of the Consolidated Omnibus Budget Reconciliation Act (COBRA). Life insurance and long term disability coverage will cease on the date the employee reports to active duty. The Institute reserves the right to continue group insurance coverage for an employee’s dependents under personal hardship circumstances.

For further information regarding USERRA, contact Human Resources.

Jury Duty

The Institute encourages employees to fulfill their civic responsibilities by serving jury duty when required. Employees who are summoned to jury duty are granted necessary time off without loss of pay or fringe benefits. Employees summoned to jury duty must notify their immediate supervisor and forward a copy of the jury duty summons to be placed in the employee’s central personnel file in Human Resources.

Leave of Absence Without Pay

A leave of absence without pay may be granted for good cause with approval of the supervisor and area Vice President. Request for such leaves must be submitted, in writing, to the supervisor who will consult with the area Vice President regarding approval. A copy of the leave request will be placed in the employee’s central personnel file in Human Resources.

The employee will have first consideration for reinstatement to any position for which the employee meets minimum qualifications. The employee will not be eligible for benefits during the leave of absence.

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6.00 CODES OF CONDUCT

6.01 Attendance (REV. 09/01/03)

Punctuality and attendance are essential to the functioning of the Institute and are expected of all staff. An employee’s attendance record is considered as part of the performance appraisal process throughout the year, as well as, in decisions regarding continued employment and salary increases.

Employees that demonstrate excessive absenteeism may be expected to provide the supervisor with a physician’s document indicating that the employee was seen in the physician's office. If a physician’s document is requested by the supervisor, the physician’s document needs to be on file with the supervisor prior to the employee returning to work. If the employee is reporting to work outside of normal business hours, the physician’s document is to be given to the supervisor upon the supervisor’s arrival to work. Employees that do not maintain an acceptable attendance record, as determined by the supervisor, may be subject to corrective action, up to and including termination.

Any variation from the regular work schedule should be approved in advance by the supervisor (See Section 3.10 Work Schedules).

Employees who do not give proper notice, as determined by the supervisor, for time off, may be subject to corrective action, up to and including termination. Vacation leave must be approved by the supervisor prior to use (See Section 5.12 Vacation Leave).

6.02 Personal Appearance and Dress

An employee’s appearance affects the image of the Institute. Employees are expected to be neat and clean, and to dress in a manner appropriate for their work environment. Supervisors will inform employees regarding specific dress requirements when they are applicable.

6.03 Confidential Information

Employees may have knowledge of confidential information which, if released without authorization or carelessly handled, may be damaging to the employee or the Institute. It is therefore important to handle all confidential information with discretion, labeling it "confidential," safeguarding it when in use, filing it properly, and discussing it only for Institute business. All personal and personnel information is confidential (See Section 2.04 Intellectual Property and Section 3.15 Personnel Records).

6.04 Solicitation/Distribution Policy

The Institute reserves the right to regulate or prohibit any solicitations or other communications that occur on its premises, use its identity or communications resources, or are directed at Institute guests, employees, students, parents, or alumni.

6.05 Personal Telephone Use

Telephone service is provided by the Institute to conduct Institute business. Local calls for personal use are permitted if they are brief and infrequent. The Institute must be reimbursed for personal calls that result in toll charges. A personal security code (PSC) for long distance calls may be obtained by contacting extension 8518.

(See Section 3.05 Facilities and Services). The Institute’s “800" long distance lines are for Institute business only.

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6.06 Electronic Mail and Computer Use

E-mail and computer services are provided to employees to conduct Institute business. (For example, they should not be used to advertise personal items for sale, conduct non-school business, or commercial enterprises, etc.) Before sending a campus-wide mailing, please consult Technical Services Center guidelines (See Appendix 9) to determine appropriate use of the electronic mail system. Fraudulent, harassing, or obscene messages and/or materials, and chain letters must not be forwarded or stored. Users must be aware that e-mail is neither private nor secure.

While the Institute does not censor or edit messages, any individual who authors, stores, or forwards messages is responsible for their subsequent use and distribution. Users must be aware that writing, storing, or distributing some material may violate state and/or Federal laws that govern pornography and sexual harassment. When in doubt about appropriate message content, the general guidelines published in the Technical Services Center Policy for Responsible Use of Rose-Hulman Computing Facilities offers excellent guidance (See Appendix 9).

6.07 Audio or Video Recording of Employee Communications (NEW 12/19/11)

It is a violation of Rose-Hulman Institute of Technology policy to audio or video record conversations with any personnel using any recording device unless written approval is received from your supervisor or a member of senior management or all parties to the conversation give their written consent prior to any recording. This practice is in direct conflict with the Institute's Fair Treatment Practices Policy which "strives for a workplace where accountability, diversity, opportunity, openness, professionalism, teamwork, and a sense of purpose combine to create a rewarding work experience."

6.08 Firearms and Other Dangerous Instruments (REV. 02/21/05)

The Institute takes seriously its obligation to protect the academic community from unlawful conduct or conduct which presents a serious threat to person(s) or property

The transfer, use, or possession of explosives, fireworks, firearms, dangerous chemicals, or any lethal weapon on Institute property under any circumstances except as part of an Institute authorized activity, instructional session, event or duty is prohibited. This includes possession or storage of such items in personal vehicles, offices, briefcases, filing cabinets or any other storage location.

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7.00 FAIR TREATMENT PRACTICES POLICY

The fair treatment practices process is initiated by the employee as a means to assist in problem resolution with a supervisor or co-worker.

Consistent with its vision to be the best, Rose-Hulman Institute of Technology strives for a workplace where accountability, diversity, opportunity, openness, professionalism, teamwork, and a sense of purpose combine to create a rewarding work experience that promotes fairness and respect for all employees.

However, it is inevitable that in any workplace problems may arise. The Institute recognizes the right of each employee to seek solutions concerning disagreements arising from workplace relationships, working conditions, employment practices, or differences of interpretation of policy. The Institute believes it is essential that those disagreements be resolved in an effective and timely manner that is fair to the individuals involved.

To assure fair consideration of all employee problem(s), a process for review and appeal has been established. The Fair Treatment Practices Policy will be revised and updated periodically.

§ Employees are encouraged to use the Fair Treatment Practices Policy and must not, under any circumstances, be penalized for doing so.

§ Rose-Hulman encourages the use of an open door practice which establishes a complaint resolution process and fosters an atmosphere of goodwill and cooperation.

§ To ensure a fair and open workplace, the Institute requires that all employees follow the policies outlined in this Handbook.

Problem Resolution Procedure

Step 1

When an employee has a question or concern, it is important that the situation be known immediately. When a problem arises, it should be resolved on an informal basis within the employee’s department or office if at all possible. The employee is encouraged to discuss his/her concern with the person causing the difficulty. If the employee is uncomfortable with this process or if he or she has used this process and is not satisfied with the result, the employee should discuss the issue with his/her immediate supervisor.

Step 2

Employees are encouraged to use the services provided by Human Resources. If the employee is uncertain about how to approach a co-worker, supervisor, or staff in Human Resources, he/she may first seek counsel from a member of the Ombudsman Committee. This counsel is available at any step in the process.

Human Resources provide a confidential channel through which to address workplace concerns and explore ways to address those concerns. The Director of Human Resources serves as a neutral mediator to encourage discussion among the parties involved in a dispute. The goals of the mediation are to find a mutually acceptable solution to the problem and to improve the working relationship. The Director of Human Resources will also determine whether Institute policies have been followed.

The Ombudsman Committee consists of the elected faculty and staff representatives to the Board of Trustees. The President may appoint additional persons to the committee to ensure diversity. This committee serves as a confidential and informal channel through which to address workplace concerns. Committee members will help the employee express needs, identify issues, and explore possible solutions to their concerns. If no resolution is reached, all other channels remain available.

Step 3

If discussion with the immediate supervisor does not resolve the problem to the employee’s satisfaction, or if the concern involves the immediate supervisor, the employee should discuss the matter with the next level supervisor. The employee is encouraged to inform his/her supervisor of the intention to discuss the issue with the next level supervisor. If necessary, this process may continue until the employee receives a decision from the area Vice President.

Step 4

The employee may appeal a decision reached in the earlier steps to the Employee Relations Committee. However, the committee has only recommending authority. Among its responsibilities are to provide “a suitable forum for mediating conflict and for facilitating change” and “advocating for a fair and supportive workplace worthy of Rose-Hulman.” The Employee Relations Committee will schedule meetings with the individuals involved in the dispute and may request information to assist in the process. If information or records requested violate the privacy of an employee or another person, the person’s permission must be obtained. Once the committee has reviewed all of the information necessary to make a decision, it will meet and discuss the problem in a closed meeting. Following this discussion, the committee will make a recommendation regarding the dispute. A majority vote is required. The committee will report its recommendation to the parties involved and to the President.

Step 5

If the employee does not consider the matter satisfactorily resolved, he/she may request a meeting with the President to discuss the issue. After reviewing the information related to the complaint or dispute, the President will make a final decision and notify those involved.

FAIR TREATMENT PRACTICES POLICY FLOWCHART

Step 1

Resolve concern within Department/Office

•Discuss concern with person causing difficulty

•If issue not resolved, discuss with immediate supervisor

Step 2

Use Services of Human Resources and/or Seek Counsel from Ombudsman Committee Member. All Discussions are Confidential.

•Human Resources serves as a confidential mediator for employees to express concerns and explore solutions to problems.

•Human Resources will determine whether Institute policies have been followed.

•Ombudsman Committee serves as an informal, confidential resource for employees to seek advice and counsel during any step in this process.

Step 3

If Immediate Supervisor is the one with whom the employee is having the problem, or if Problem is not Resolved by the Immediate Supervisor, Employees Should Discuss Concerns with the Next Level Supervisor up to the Vice President

•This step may continue until the employee receives a decision from the area Vice President.

Step 4

Appeal Process to the Employee Relations Committee

•Employee Relations Committee reports its recommendation to the President

Step 5

Employee May Request Meeting with the President

•President’s decision is final

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8.00 CORRECTIVE ACTION PROCEDURE (REV. 10/01/02)

The corrective action process is initiated by the supervisor only after performance issues have not improved as a result of performance improvement planning with the employee.

Note: The provisions of these procedures do not apply to staff members during the initial review period.

Good employment practices dictate the need for a procedure covering discipline and dismissal. The Institute expects all supervisors to conduct frequent dialogue with employees regarding job performance and to conduct annual performance appraisals. A Performance Improvement Plan is to be completed prior to the initiation of any corrective action. (See Forms option on the Human Resources Web Page)

The Institute has developed a policy of progressive actions, detailed below, which provide the employee with notice of performance issues that have not improved as a result of performance improvement planning. Immediate termination is possible for any act deemed by the Institute to be a major act of misconduct (See Appendix 10 for examples of Major Acts of Misconduct).

Employees and supervisors should be encouraged to reach resolution at any time during the process. The supervisor’s written confirmation of problem resolution copied to the employee, the next level supervisor, and the employee’s central personnel file in Human Resources, will complete the corrective action procedure.

The presence of Human Resources and/or an Ombudsman or member of the Employee Relations Committee during the corrective action process is intended to ensure the employee is treated fairly and Institute policies are followed. Therefore, any fair treatment practices issue which arises in the corrective action process must be dealt with in the corrective action process.

Corrective Action Procedure

In all cases, a performance improvement plan should precede corrective action except when a major act of misconduct has occurred.

Step 1. Written communication and documentation of corrective action

Ÿ Supervisor issues written communication to employee outlining performance issue(s) that have not improved as a result of performance improvement planning. A copy of this written communication is retained by the Supervisor and copied to Human Resources and the next level supervisor.

Human Resources or Supervisor schedules meeting to include: Supervisor, Employee, and Director of Human Resources and, if requested by employee, an Ombudsman or a member of the Employee Relations Committee. The purpose of this meeting is to discuss performance issue(s) and to outline steps for resolution. During this meeting, Supervisor notifies employee that this is the first step in corrective action.

• In consultation with Human Resources, Supervisor completes Personnel Action Notification Form documenting issue(s) and suggestions for resolution discussed during the meeting. (See Appendix 11 for Personnel Action Notification Form).

• Supervisor and employee sign form. Human Resources or Supervisor distributes as follows: original-retained by Human Resources for employee central personnel file; copy- Employee; copy- Supervisor.

If employee refuses to sign documentation, the refusal will be noted.

Step 2. Suspension or Disciplinary Action of Employee

• If satisfactory resolution is not reached after step one, Supervisor consults next level supervisor and Human Resources and may notify the employee of a one (1) day suspension without pay.

• In consultation with Human Resources, Supervisor completes Personnel Action Notification Form and determines appropriate corrective action which may include placing employee on probationary status for a period no less than thirty (30) calendar days and no more than ninety (90) calendar days, or further disciplinary action including loss of privileges, suspension without pay, or termination.

• Human Resources schedules meeting for next work day following suspension to include: Supervisor, Employee, and Director of Human Resources and, if requested by the employee, an Ombudsman or a member of the Employee Relations Committee.

• At or after the close of this meeting, employee will be notified of the disciplinary action taken. Any probationary period will include periodic performance appraisals to monitor progress toward resolution. The review period will be determined by the supervisor and employee.

• Supervisor and employee sign form. Human Resources or Supervisor distributes as follows: original-retained by Human Resources for employee central personnel file; copy- Employee; copy- Supervisor.

If employee refuses to sign documentation, the refusal will be noted.

Corrective action shall be active for a period of one (1) year from the time the first step was initiated. After a period of one (1) year, in the event of a positive resolution and continued active employment, the corrective action will be considered concluded.

Step 3. Termination of Employment

• Provided the issue has not reached resolution as a result of Step 2 or, if additional problems arise during probation, employment may be terminated. Supervisor consults next level supervisor and Human Resources before employment is terminated.

• In consultation with Human Resources, Supervisor completes Personnel Action Notification Form.

• Human Resources will schedule a meeting to include: Supervisor, Employee, and Director of Human Resources and, if requested by the employee, a member of Ombudsman or Employee Relations Committee. The purpose of the meeting is termination of employment.

• Personnel Action Notification Form is signed, Human Resources distributes as follows: original- employee central personnel file; copy- Employee; copy- Supervisor.

If employee refuses to sign documentation, refusal to sign will be noted.

Termination for Major Act of Misconduct (REV. 09/01/03)

Immediate termination is possible for any act deemed by the Institute to be a major act of misconduct (See Appendix 10 for examples of Major Acts of Misconduct).

Ÿ Based on the circumstances surrounding the major act of misconduct, the supervisor in consultation with Human Resources and the President, may terminate the employee immediately.

Ÿ In all other cases where an employee has committed an act deemed by the Institute to be a major act of misconduct, the supervisor may immediately suspend the employee without pay.

• In consultation with Human Resources, Supervisor completes Personnel Action Notification Form

• Human Resources will schedule a meeting for the next work day to include: Supervisor, Employee, and Director of Human Resources and, if requested by the employee, a member of Ombudsman or Employee Relations Committee.

• Employment may be terminated during this meeting.

• In the event of termination of employment, arrangements for return of all Institute property issued to the employee or dependents will be made at this time.

If employee refuses to sign documentation, the refusal will be noted.

Note: These items will be documented on each Personnel Action Notification Form:

• Reason(s) for Corrective Action (definition of problem)

• Outline of action plan to resolve problem

• Outline of further action if problem not resolved

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CORRECTIVE ACTION PROCEDURE FLOWCHART

Pre-Step

Performance Improvement Plan should precede corrective action in all cases except

when a major act of misconduct has occurred.

Step 1

Written communication and documentation of corrective action

Ÿ Personnel Action Notification (PAN) Form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee

Ÿ Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman or member of Employee Relations Committee may be present at employee’s request)

Ÿ (PAN) is signed by supervisor and employee

Original (PAN) is given to Human Resources; copies given to supervisor and employee

Step 2

Suspension or Disciplinary Action of Employee

Ÿ Complete this step if satisfactory resolution is not reached after step one

Ÿ Personnel Action Notification (PAN) Form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee

Ÿ Supervisor and Human Resources meet with employee to discuss concerns (Ombudsman or member of Employee Relations Committee may be present at employee’s request)

Ÿ Employee may be placed on probation

Ÿ (PAN) is signed by supervisor and employee

Ÿ Original (PAN) is given to Human Resources; copies given to supervisor and employee

Step 3

Termination of Employment

Ÿ Complete this step if satisfactory resolution is not reached after step two or additional problems arise

Ÿ Personnel Action Notification (PAN) Form is completed in consultation with Human Resources prior to supervisor and Human Resources meeting with employee

Ÿ Supervisor and Human Resources meet with employee to discuss termination (Ombudsman or member of Employee Relations Committee may be present at employee’s request)

Ÿ (PAN) is signed by supervisor and employee (If employee refuses to sign, refusal to sign is documented)

Ÿ Original (PAN) is given to Human Resources; copies given to supervisor and employee

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SEPARATION

9.01 Resignation

To resign in good standing with eligibility for rehire, employees are expected to submit a written resignation to their immediate supervisor at least two (2) weeks prior to the planned separation date. Exempt employees who intend to resign in good standing are expected to give at least one month (1) notice in writing to their supervisor.

Resignation letters should include the employee’s reason for separation, effective date of separation, and the employee’s forwarding address. If a former employee is rehired by the Institute, the hire date for the calculation of benefits will be the date of rehire. Human Resources must be notified of the resignation as soon as possible so necessary paperwork can be completed, final payroll arrangements can be made, and an exit interview with the Director of Human Resources can be scheduled.

9.02 Termination

By Indiana law, employees of Rose-Hulman Institute of Technology are employees “at will” which means the Institute has the right to terminate employees at any time with or without reason or notice.

Termination is not a step in performance counseling. It is a personnel action taken when the corrective action steps to improve performance or behavior have failed. It is also an action that may be necessary without prior notice when a major act of misconduct has occurred (See Section 8.00 Corrective Action Procedure and Appendix 10 for definitions).

The supervisor must inform the next level supervisor and Human Resources before discharging an employee. Reasons for termination will be documented on a Personnel Action Notification Form (See Section 8.00 Corrective Action Procedure & Appendix 11).

9.03 Reduction in Force

The Institute strives to provide stable employment for employees. In the event that a reduction-in force is necessary, the Institute commits to a fair process for identifying those affected, and to provide reasonable support to facilitate the transition to other employment. The Corrective Action Procedure does not apply to reduction in force.

9.04 Exit Procedures

Return of Institute Property

Employees leaving the Institute are requested to attend an exit interview with Human Resources. Institute keys, identification cards, telephone cards, and any other Institute property issued to employees or dependents are to be returned during this interview. If the separating employee does not complete the exit interview, the supervisor must collect Institute property and forward to Human Resources. Institute property, such as uniforms, tools, laptop computers, calling cards, RHIT ID cards, palm pilots, equipment etc., must be returned to the supervisor with notification to Human Resources prior to issuance of the final pay. Computer accounts and voice mail accounts are terminated on the day of separation from employment.

Final Payment

Separating employees will normally receive final pay on the next regularly scheduled pay date following separation. This pay will include any unused vacation leave up to 25 days as of the separation date (See Section 5.12 Leaves of Absence).

9.05 Extension of Benefits

COBRA Continuation Coverage

A covered person who has a qualifying event will become a qualified beneficiary and may elect to continue coverage in accordance with the requirements of the Consolidated Omnibus Budget Reconciliation Act of 1985, as amended, referred to as COBRA.

For further information regarding COBRA, refer to the COBRA section of the Health Benefits Plan booklet available from Human Resources.

Retirement Account Accumulations

Upon leaving the Institute for reasons other than retirement, employees have several options available for management of retirement account accumulations. These options will be presented during the exit interview or by contacting the Benefits Coordinator in Human Resources.

9.06 Retirement Plan

Retirement from the Institute normally occurs when employees reach their 65th birthday, or on the last day of the fiscal year in which age 65 is attained. The Institute also offers an Optional Early Retirement Plan (See Section 5.07 Retirement Plan and 5.08 Optional Early Retirement Plan).

9.07 Optional Early Retirement Plan

The Institute offers an Optional Early Retirement Plan. Participation in the Plan is voluntary. (See Section 5.08 Optional Early Retirement Plan).

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APPENDIX 1

APPENDIX 2

APPENDIX 3

ROSE‑HULMAN INSTITUTE OF TECHNOLOGY POLICY REGARDING INTELLECTUAL PROPERTY

(Adopted by the Board of Managers on February 24, 1989

now referred to as Board of Trustees)

The primary mission of Rose‑Hulman Institute of Technology (RHIT) is to provide highly qualified students with a superior, rigorous undergraduate education in the fields of engineering and science. In support of this mission RHIT encourages free and open discussion among faculty and students and requires the continued intellectual development of its faculty. As one way of meeting the responsibility for this development faculty are encouraged to publish books and learned articles, produce academic materials and develop inventions and processes. Many of these materials and inventions will be the result of collaboration between several individuals and RHIT. A policy is thus necessary to define the ownership of this intellectual property. In defining ownership this policy strives to provide an atmosphere in which individual incentive to produce innovative and valuable intellectual property is maximized while at the same time the legitimate rights of all parties, including RHIT, are protected.

I. DEFINITIONS

1.1 INTELLECTUAL PROPERTY AND RELATED RIGHTS

The material set forth in this document covers the ownership, distribution, and commercial development of technology developed by RHIT faculty, staff, and students and others participating in RHIT programs. The term "technology" as used in this document is broadly defined to include technical innovations, improvements, inventions, and discoveries, as well as writings and other information in various forms, including computer software.

The principal rights governing the ownership and disposition of technology are referred to as "intellectual property" rights, which are derived primarily from legislation granting patent, copyright, trademark, and integrated circuit mask work protection.

In some instances, distribution and commercialization of technology may be accomplished by the transfer or licensing of the intellectual property rights, such as patents and copyrights. In other instances, distribution and commercialization of technology may be aided by or depend upon access to the physical or tangible embodiment of the technology, as in the case of biological organisms, plant varieties or computer software. Therefore, this policy will define not only the ownership, distribution, and commercialization rights associated with technology in the form of intellectual property, but will also define policies and procedures which govern use and distribution of the technology in its tangible form. The following overview of intellectual property rights is limited in scope. The RHIT intellectual property officer should be contacted for further information regarding any of these rights.

APPENDIX 3

1.2 PATENTS AND PATENT RIGHTS

A patent is a grant issued by the U.S. Patent and Trademark Office giving an inventor the right to exclude all others from making, using, or selling the invention within the United States, its territories and possessions, for a period of 17 years from the date of the patent grant.

Patents may also be granted in foreign countries; procedures for filing, requirements for patentability, and term of patent grant vary considerably from country to country.

To be patentable in most countries, an invention must be new, useful, and non obvious. In the U.S., a grace period of 12 months from the date of the first written public disclosure, public use or offer for sale of an invention is allowed to file a patent application. In many foreign countries, an invention is un-patentable unless the application is filed before any public disclosure occurs anywhere. However, if one has filed in the U.S. prior to such disclosure, the applicant has 12 months from the U.S. filing date to file in most non‑U.S. countries without losing filing rights.

In addition to more traditional forms of inventions, the patentability of inventions implemented in computer software is well established in the U.S. A computer software invention generally will be patentable if it meets the tests of novelty and non obviousness and if its application is as part of a process or machine. A software invention will be automatically disqualified from U.S. patent protection only if it is purely a mathematical equation or formula with no other applications.

1.3 COPYRIGHTS

As provided in copyright law, a copyright owner has the exclusive right to reproduce the work, prepare derivative works, distribute by sale or otherwise, and display or perform the work publicly. Under federal copyright law, copyright subsists in "original works of authorship" which have been fixed in any tangible medium of expression from which they can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device. For an individual author, copyright protection of a work extends for the author's life plus 50 years. For employers, copyright protection of a work extends for 75 years from the date of publication. In contrast to a patent which protects the "idea", copyright covers the "artistic expression" in the particular literacy work, musical work, computer program, video or motion picture or sound recording, photograph, sculpture, and so forth, in which the "expression" is embodied, illustrated, or explained, but does not protect the "idea".

1.4 TRADE AND SERVICE MARKS

A trade or service mark is a word, name, symbol or device (or any combination) adopted by an organization to identify its goods or services and distinguish them from the goods and services of others. In the U.S., trademark ownership is acquired through use of a term or in association with goods or in connection with services to identify their origin. Trade or service mark ownership is not dependent upon federal or state registration, but upon use of the mark. Registration of trade and service marks may be obtained on both the state and federal levels. However, to apply for a federal registration of a mark, it must be used in interstate commerce.

APPENDIX 3

1.5 MASK WORKS

A mask work is defined as a series of related images representing a predetermined, three‑dimensional pattern of metallic, insulating, or semi conducting layers of a semiconductor chip product. Under the Semiconductor Chip Protection Act of 1984, mask work protection extends for ten years and gives the owner of the qualifying mask work exclusive rights to its exploitation. Mask works are registered with the United 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.

APPENDIX 3

2.2 PATENT POLICY STATEMENT

Rights in inventions made or conceived or first reduced to practice by RHIT faculty, students, staff, and others participating in RHIT programs are as follows:

Inventor owned

(a) Not subject to the terms of agreements with research sponsors or other third parties under (a) below, and

(b) Do not involve the significant use of RHIT administered resources under (b) below.

Other inventions

RHIT acquires ownership or other rights in inventions as follows:

(a) Inventions subject to the terms of a sponsored research or other agreement are treated in accordance with the terms of the applicable agreement.

(b) Inventions involving the significant use of funds, equipment or facilities administered by RHIT are the property of RHIT, subject to any obligations to third parties in connection with such support.

2.2.1 SPONSORED RESEARCH AND OTHER AGREEMENTS

Grants and contracts applicable to research sponsored by the federal government are subject to statutes and regulations under which RHIT acquires title in inventions conceived or first reduced to practice in the performance of the research. RHIT ownership is subject to a nonexclusive license to the government and the requirement that RHIT retain title and take effective steps to develop the practical applications of the invention by licensing and other means.

In contacts with industry and non‑government sponsors, RHIT's policy requires that RHIT retain ownership of all patents and other intellectual property rights. Infrequent exceptions to that policy are negotiated on a case by case basis.

The terms of such agreements apply not only to inventions made by faculty and staff, but also to those made by students and visitors, whether or not paid by RHIT, who participate in performing research supported by such agreements. It is essential, therefore, that all individuals participating in the research be made aware of their obligation to assign rights to RHIT and sign intellectual property agreements.

2.2.2 SIGNIFICANT USE OF RHIT ADMINISTERED RESOURCES

RHIT does not construe the payment of salary from unrestricted funds nor the provision of office or library facilities as constituting significant use of RHIT funds or facilities.

When an invention involving the significant use of RHIT administered resources is made by an RHIT student, with the approval of the laboratory/center director or department chair, may elect to waive its rights except where the invention is subject to a sponsored research or other agreement. At the discretion of the laboratory/center director or department chair, RHIT may retain a right to use such invention for purposes of education and research. In addition, a student's rights to such invention may be subject to the terms of any financial aid received, including scholarships, fellowships, traineeships, theses expenses, or other assistance, whether or not administered by RHIT.

APPENDIX 3

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:

Author owned

The author acquires copyright ownership in materials (including computer software) which are:

(a) Not developed in the course of a sponsored research or other agreement under (a) below.

(b) Not created as a "work‑for‑hire" by operation of copyright law or created pursuant to an agreement in writing with RHIT under (b) below which provides for a transfer of copyright to RHIT.

(c) Not developed with the significant use of RHIT administered resources under (c) below, except that ownership by students making significant use of RHIT resources shall be determined in accordance with section 2.3.4.

(d) Student thesis as provided under section 2.3.5.

RHIT owned

RHIT acquires ownership or other rights in copyrightable material (including computer software) as follows:

(a) Copyright ownership in material developed in the course of or pursuant to a sponsored research or other agreement is determined according to the terms of such agreement.

(b) Copyright ownership in material created as a "work‑for‑hire" by operation of copyright law or created pursuant to an agreement in writing providing for transfer of copyright to RHIT shall vest in RHIT.

(c) Copyright ownership in material developed by faculty and staff with the significant use of funds, equipment or facilities administered by RHIT shall vest in RHIT.

2.3.1 SPONSORED RESEARCH AND OTHER AGREEMENTS

Normally, research contracts sponsored by the federal government provide the government with specified rights in copyrightable material developed in the performance of the research. These rights may consist of title to such material resting solely in the government, but more often consist of a royalty‑free license to the government with title vesting in RHIT.

When a work is created under the terms of a sponsored agreement, authors of copyrightable works should be aware that there may be contractual terms relating to the form of the report, advance notice to the sponsor before publication, and the like. The intellectual property officer should be contacted for information or assistance regarding interpretation of contract terms.

APPENDIX 3

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.

APPENDIX 3

2.3.5 THESES

Copyright of theses will be owned by the student unless (i) they involve research for which the student received financial support in the form of wages, salary, stipend, or grant from funds administered by RHIT which impose copyright restrictions and/or (ii) they involve research performed in whole or in part utilizing equipment or facilities provided to RHIT under conditions which impose copyright restrictions. Where copyright ownership is retained by the student, however, the student must grant to RHIT a royalty‑free license to reproduce and publicly distribute copies of the theses.

2.4 TRADE AND SERVICE MARKS

Trade and service marks relating to goods and services developed at RHIT shall be owned by

RHIT.

2.5 MASK WORKS

Ownership of mask works created by RHIT faculty, students, staff, and others participating in RHIT programs, is determined in the same manner as copyright ownership under section 2.3.

2.6 TANGIBLE RESEARCH PROPERTY (TRP)

RHIT owns TRP, except when it becomes the property of a third party under the terms of a sponsored research or other agreement.

III. EQUITIES OF PARTICIPATING PARTIES

3.1 GENERAL POLICY

Licensing, sale or use of technology and intellectual property in which RHIT has a proprietary

interest shall be preceded by a written agreement between RHIT and the author or producer specifying the conditions of use, and including provisions protecting the right of the author to revise written or visual materials periodically. Disputes concerning the terms of the agreement shall be determined by the "Committee" subject to the right of appeal under Section 4.2.2.

If technology or intellectual property are used through licensing or sale or other arrangement, the author or producer will share in any income received as may be determined under the general principles of division set forth in Paragraph III) 3.2.2..

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.

APPENDIX 3

3.2.2 General Principle of Division

RHIT shall establish a royalty account for any technology or intellectual property for which it anticipates receiving royalties or other income, and all expenses and income relating to that item shall be recorded therein. Where more than one such item is licensed together for a common fee or royalty, a common royalty account may be established for all of the related items and proceeds allocated in accordance with the Committee's determination.

Income to each royalty account shall, in the absence of other contracts, be distributed as follows:

i) The direct expenses of RHIT allocable to investigating, evaluating, protecting and enforcing the rights to the item(s) covered by the account, including provision for payment of future maintenance taxes or fees for any technology, shall initially be charged to the royalty account.

ii) After deductions for direct expenses, net income to the account will be distributed in accordance with the determination of the "Committee", subject to the right of any interested party or any member of the Committee to appeal the determination in accordance with paragraph 4.2.2. Under normal circumstances it will be presumed (unless there are clear and convincing reasons otherwise) that the creator or inventor of the technology or intellectual property and RHIT will share in said net income to the account using the following table as a guideline:

Net Royalty Income	Inventor or Creator	RHIT
15,000	100.00%	0.0%
85,000	50.0%	50.0%
900,000	50.0%	50.0%
1,000,000	33.3%	66.6%

With respect to RHIT's portion of the royalties, the "Committee" may recommend to the President that part of RHIT's royalties be used to fund the RHIT unit or units to which the inventor or creator belongs, and/or that part be used for the support of further faculty development, and the President may follow the recommendation of the Committee, subject to the approval of the allocations by the Board of Trustees under the normal budgeting procedures. For example, the fund might be allocated depending upon circumstances as follows:

Net Royalty Income:	Inventors or Creator	RHIT	Faculty Development	Institute General Fund
First $ 15,000	100.0%	0.0%	0.0%	0.0%
Next $ 85,000	50.0%	15.0%	15.0%	20.0%
Next $ 900,000	50.0%	15.0%	15.0%	20.0%
Over $1,000,000	33.3%	5.0%	15.0%	46.6%

APPENDIX 3

Any determination by the "Committee" that RHIT shall share in the proceeds of any technology or intellectual property in which RHIT has a proprietary interest, such that RHIT would be afforded less than the percentages shown above in this subparagraph shall be deemed automatically appealed to the Board of Trustees for final determination.

IV. PROCEDURES

4.1 REPORT OF INVENTIONS AND MATERIALS

All technology and intellectual property of significant commercial value in which RHIT may have a proprietary interest under the provisions of this policy shall be promptly reported in writing by the RHIT personnel concerned through the appropriate department head, dean, supervisor, or the President, to the committee. If more than one individual participated in the discovery or development, the report shall be signed by all such participants. The report shall constitute a full and complete disclosure of the subject matter of the discovery or development and the identity of all persons participating therein. The participants shall furnish such additional information and execute such documents from time to time as the Institute may reasonably request.

4.2 THE COMMITTEE ON PATENTS, LICENSING AND COPYRIGHTS

The procedures associated with the disposition of intellectual properties owned by RHIT and other questions regarding rights under this policy shall be determined by the Committee on Patents, Copyrights, and Licensing. This Committee shall be composed of the following administrators, faculty members and Board members.

‑ Vice President for Academic Affairs (ex officio ‑‑ Chairman)

‑ Vice President for Business and Finance (ex officio)

‑ Two members of the Board of Trustees appointed by the chairman of the board

‑ Two tenured faculty members elected by vote of faculty to two‑year terms. Faculty terms shall be staggered.

4.2.1 Authority

i) The Committee will have the authority to determine the extent to which individuals shall share in the proceeds of technology and intellectual property that they developed and which RHIT has a proprietary interest. When two or more individuals are involved, the Committee shall have the authority to determine their respective equities.

ii) The Committee has the authority to recommend when RHIT will pursue intellectual property rights for technology in which RHIT has an interest.

iii) The Committee has the authority to recommend to the board that ownership rights of the Institute be waived. If a waiver of RHIT ownership is granted, ownership reverts to the individual or individuals who produced the material or invention.

iv) The Committee has the authority to formulate procedures and regulations governing the administration of the intellectual property policy as long as they are consistent with the policies set forth in this document.

v) The Committee shall recommend to the President an individual to be designated as Intellectual Property Officer. This individual shall be responsible for RHIT interests in the development and protection of technology and intellectual property and assist RHIT personnel in developing and protecting them.

APPENDIX 3

vi) The Committee has the authority to advise the President of the Institute on matters concerning intellectual property and technology and to review the policy document from time to time. After submission to the 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.

APPENDIX 3

4.3.3 RHIT personnel may petition the Committee to recommend to the Board that the Board waive RHIT ownership rights of any technology or intellectual property. If such a waiver is granted, ownership will revert to the individual or individuals who produced the technology or intellectual property.

4.3.4 RHIT personnel may also request from RHIT a license to develop commercially RHIT owned technology or intellectual property. The Board or its Executive Committee shall decide on such requests as expeditiously as possible, but in no case longer than 90 days from the date of the request.

V. POLICY BINDING ON RHIT PERSONNEL

This policy as amended from time to time shall be deemed a part of the conditions of employment of every employee of RHIT and a part of the conditions of enrollment and attendance at RHIT by students.

It is the policy of RHIT that individuals, by participating in a sponsored research project and/or making significant use of RHIT administered resources, thereby accept the principles of ownership of technology as stated under this policy. In furthering such undertaking, all such participants agree to sign Intellectual Property Agreements in the form attached to this policy before participation in any such sponsored research project and/or making significant use of RHIT administered resources.

VI. AMENDMENTS

This policy may be amended or rescinded prospectively in whole or in part at any time by the Board of Trustees of RHIT.

ADOPTED by the Board of Trustees at its regular meeting at which a quorum was present held on February 24, 1989.

Return to Table of Contents

APPENDIX 4

HARASSMENT AND SEXUAL MISCONDUCT POLICY (REV. 12/19/2011)

It is the goal of Rose‑Hulman Institute of Technology to provide the optimal educational and professional environment for all students, faculty, and staff. Rose‑Hulman is committed to a policy of nondiscrimination, equal employment, and equal educational opportunity with respect to recruitment, hiring and training, promotion and treatment of persons in all organizations, services, and programs. Rose-Hulman will not tolerate any unlawful discrimination or harassment based on race, religion, color, national origin, gender, age, citizenship status, disability, veteran status or sexual orientation. Any person violating this policy will be subject to disciplinary action up to and including suspension/expulsion for students and termination for employees.

General harassment is any unwelcome verbal, written or physical conduct that either denigrates or shows hostility or aversion towards a person on the basis of race, religion, color, national origin, gender, age, citizenship status, disability, veteran status or sexual orientation or on the basis of having previously complained of discrimination or harassment. The harassment has the purpose or effect of creating an intimidating, hostile or offensive work environment or may interfere with opportunities impacting employment, academic progress, evaluation, wages, advancement, assigned duties, shifts, or any other condition of employment or academic development.

Sexual harassment is conduct that includes making requests for sexual favors, unwelcome sexual advances or other verbal or physical conduct of a sexual nature. This prohibited conduct cannot be used as a condition of an employee’s continued employment or a student’s continued education. Reprisals, such as the taking or failing to take any personnel or academic action, may not be made against any person for rejecting or reporting such prohibited conduct. No employee or student shall threaten or insinuate, either explicitly or implicitly, that an individual’s submission to or refusal to submit to sexual advances will affect the person’s employment, academic progress, evaluation, wages, advancement, assigned duties, shifts, or any other condition of employment or academic development. All persons are prohibited from conduct of a sexual nature that creates an intimidating, humiliating or offensive working or educational environment.

Examples of sexual harassment may include, but are not limited to, such conduct as the following:

• Unwelcome sexual advances, flirtations, requests for sexual activity, verbal or physical

conduct of sexual nature.

• Sexual jokes, slurs, speculations about sexual orientation or experience, or sexually explicit

statements;

• The display of sexually suggestive objects or pictures

Any employee who believes that he or she has been subject to harassment should promptly report the incident in writing* by completing a Harassment/Sexual Misconduct Resolution Form and submitting it to one of the following persons:

o His/her supervisor

o Area Vice-President/Dean

o Director of Human Resources

o Ombudsman Committee Member

*While it is preferable to have the complaint in writing, a verbal complaint will also be acted upon in the same manner.

Student Sexual Harassment

Investigations and procedures related to sexual harassment of students by students are conducted by the Vice President for Student Affairs & Dean of Students or by the Associate Vice President & Dean of Student Affairs.

In addition to the description of harassment listed above, below is information on sexual misconduct as it relates to students.

Sexual Misconduct includes sexual exploitation, non-consensual sexual contact and non-consensual sexual intercourse. Sexual misconduct violates Institute policy and Federal civil rights law and may also be subject to criminal prosecution. The Institute is committed to fostering an educational environment that promotes prompt reporting of all types of sexual misconduct and timely and fair resolution of sexual misconduct complaints. Creating a safe environment is the responsibility of all members of the Institute community.

o Sexual exploitation is any conduct in which a person takes nonconsensual, unjust, or abusive sexual advantage of another for his or her own benefit or to benefit or advantage anyone other than the person being exploited. This refers to behavior that does not constitute sexual misconduct or sexual harassment.

o Non-consensual Sexual Contact: sexual assault. Any intentional sexual touching by a man or woman upon a man or woman without effective consent, whether such touching is direct or through clothing. Sexual touching includes any intentional sexual contact with the breasts, buttocks, groin, genitals, mouth, or other bodily orifice of another, or touching another with any of these body parts, or making another touch you or himself or herself with or on any of these body parts; any intentional bodily contact in a sexual manner, even though not involving the previously mentioned body parts.

o Non–consensual Sexual Intercourse: rape. Any sexual penetration (oral, vaginal, or anal), however slight, with any object or sexual intercourse by a man or a woman upon a man or a woman without effective consent. Rape is a crime of violence in which one person forces, coerces or manipulates another person into sexual intercourse. Rape includes vaginal, oral or anal penetration and includes forced or coerced oral sex.

Effective consent is informed, freely and actively-given mutually understandable words or actions that indicate a willingness to participate in a mutually agreed upon sexual activity. Consent may never be given by minors (in Indiana, those not yet sixteen (16) years of age), mentally disabled persons and those who are incapacitated as a result of alcohol or other drug use (voluntary or involuntary) or those who are unconscious, unaware or otherwise physically helpless. Consent that is obtained through the use of fraud or force (actual or implied) whether that force is physical force, threats, intimidation, or verbal coercion, is not effective consent.

Any student who believes that he or she has been subject to harassment or sexual misconduct should promptly report the incident in writing* by completing a Harassment/Sexual Misconduct Resolution Form and submitting it to one of the following persons:

o Dean of Students

o Title IX Coordinator (Associate Dean for Student Affairs or designee)

o Assistant Title IX Coordinator (Director of Human Resources or designee)

o Academic Advisor

o Residence Hall Staff

o Student Affairs Staff

*While it is preferable to have the complaint in writing, a verbal complaint will also be acted upon in the same manner.

It is the Institute’s policy to investigate promptly all complaints of harassment or sexual misconduct and, where appropriate, to take prompt remedial action Reports of alleged sexual harassment or sexual misconduct will be investigated as discreetly as the circumstances permit and without recrimination. After appropriate investigation, any individual who is found to have engaged in sexual harassment or sexual misconduct will be subject to appropriate sanctions up to and including suspension/expulsion from school for a student or termination for an employee. Additionally, any person who discriminates or takes adverse action against another person because that person complains of harassment or assists in an investigation of a harassment complaint will also be subject to disciplinary action, up to and including expulsion from school or the termination of employment.

While the investigation’s duration will depend on the nature of the alleged act, generally, a standard investigation, without an appeal process, will take approximately 60 calendar days.

APPENDIX 4

HARASSMENT/SEXUAL MISCONDUCT RESOLUTION FORM

(REV. 12/19/11)

This form should be completed in the presence of the issuing Institute representative and immediately returned to that person afterward. It has been designed to collect facts for resolving workplace and sexual harassment or sexual misconduct concerns in the Institute.

Please answer each question to the best of your ability restricting your response to the focus of each question. The last question allows you the freedom to comment on any facts not requested previously.

Remember, this procedure has been designed to protect all students and employees from general and sexual harassment and sexual misconduct and from being subjected to wrongful accusations of harassment or sexual misconduct as outlined in the Institute’s Harassment and Sexual Misconduct Policy. Therefore, resolution will focus on verifiable facts. Hearsay and innuendo are not verifiable facts.

It is the expectation of the Institute that all parties involved in the resolution process be treated courteously and with respect. This expectation holds true for students, employees and management personnel. Regardless of their degree of personal frustration, no individual within the organization is exempt from this exception. The Institute will not tolerate inconsiderate or disruptive behavior as a substitute for a rational resolution process.

1. Please summarize what happened? Who was involved? Where it took place? When it took place? Please be specific including names, dates, times, etc.

__________________________________________________________________________________________________________________

2. What were your feelings about it?

__________________________________________________________________________________________________________________

APPENDIX 4

2. What did you do?

__________________________________________________________________________________________________________________

4. What is the background of the incident?

__________________________________________________________________________________________________________________

5. What documentation do you have?

__________________________________________________________________________________________________________________

6. Did anyone else see or hear the incident?

__________________________________________________________________________________________________________________

7. Did you talk with anyone else about it?

__________________________________________________________________________________________________________________

8. Do you know if this person has harassed anyone else? If so, who? Do you have verifiable facts?

__________________________________________________________________________________________________________________

APPENDIX 4

9. How did it affect your studies/work?

__________________________________________________________________________________________________________________

10. What would you like the Institute to do about what happened?

__________________________________________________________________________________________________________________

11. Other comments?

__________________________________________________________________________________________________________________

_____________________________ ___________________

Employee or Student Signature Date

APPENDIX 5

Drug-Free Workplace Policy

(revised 07/01/11)

Purpose and Goal

Rose-Hulman Institute of Technology is committed to protecting the safety, health and well-being of students, employees and visitors in our workplace. We recognize that alcohol abuse and illegal drug use pose a significant threat to our goals.

We have established a drug-free workplace program that balances our respect for individuals with the need to maintain an alcohol and drug-free environment.

The Institute encourages employees to voluntarily seek assistance with drug and alcohol problems.

A. Definitions

· Controlled substances/drugs – include, but are not limited to:

o narcotics, such as opium, heroin, morphine and synthetic substitutes;

o depressants, such as chloral hydrate, barbiturates, and methaqualone;

o stimulants, such as cocaine (and any derivatives) and amphetamines;

o hallucinogens, such as LSD, mescaline, PCP, peyote, psilocybin, Ecstasy, and MDMA;

o cannabis, such as marijuana and hashish; and

o any chemical compound added to federal or state regulations and denoted as a controlled substance.

· Covered Individuals

o Any individual who conducts business for the organization, is applying for a position or is conducting business on the organization's property is covered by our Drug-Free Workplace Policy.

o Our policy includes, but is not limited to the Cabinet, department heads, directors, managers, supervisors, full-time employees, part-time employees, off-site employees, contractors, volunteers, interns and applicants.

· Institute premises

o Any building or land owned, leased, or used by the Institute.

· Institute vehicle

o Any vehicle owned, leased or operated by the Institute.

· Criminal drug statute conviction

o When an employee is convicted of or pleads guilty to a drug statute conviction as defined by State or Federal Law.

· Testing for Reasonable Suspicion

o Testing for a specific cause conducted immediately after there is significant evidence of using or being under the influence of drugs or alcohol while at work, (i.e.: aroma of alcohol on breath, exhibiting behavior markedly different from their normal behavior including symptoms normally associated with being under the influence, such as staggered gait, slurred speech, reddened eyes, unkempt look or extreme drowsiness or directly observed drinking alcohol (when unauthorized) or using drugs).

B. Applicability

Our Drug-Free Workplace Policy is intended to apply whenever a person is representing or conducting business for the Institute. Therefore, this policy applies during all working hours and while on call or paid standby.

Prohibited Behavior

It is a violation of our Drug-Free Workplace Policy for Institute employees and covered individuals to use, possess, sell, trade, and/or offer for sale alcohol, illegal drugs or intoxicants while on Institute premises; while conducting Institute business off campus or while driving Institute vehicles on or off-campus. Employees may not be at work under the influence of alcohol or while unlawfully using controlled substances. The consumption of alcohol at events where the Institute has authorized such use is permitted. Only individuals of legal drinking age may consume alcohol at these events.

Prescription and over-the-counter medications are not prohibited when taken in standard dosage and/or according to a physician's prescription. Any employee or covered individuals taking prescribed or over-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

o The Institute will inform all employees of the Drug-Free Workplace Policy upon employment at New Employee Orientation and annually through usual employee communication mechanisms.

o Provide access to training for supervisors and managers.

o If notified that an employee may be under the influence, the supervisor will talk with, and observe, the employee to get the employee’s explanation of what is occurring. If there is a legitimate explanation for the behavior, then the supervisor may need to provide follow-up, especially if the reason is due to a medical issue such as diabetes. If there is no legitimate explanation, then the Director of Human Resources will make a determination on drug testing due to “reasonable suspicion.”

o Refer and provide appropriate support for employees after drug testing and/or substance abuse treatment.

· Department Responsibilities

o Supervisors with reasonable suspicion that a substance abuse problem may be resulting in unsatisfactory work performance should review those problems with the next level supervisor and the Director of Human Resources. Workplace performance issues should always be documented.

o Take corrective action as appropriate after consultation with the Director of Human Resources.

o When there is a suspension of responsibilities directly related to drug or alcohol use, upon authorization to return to work, an individual return-to-work agreement should be written in consultation with the Director of Human Resources.

o Provide appropriate supervision for employees in accordance with return-to-work agreements.

· Employee and Other Covered Individuals Responsibilities

o Employees and other covered individuals are expected to refrain from illegally using drugs or illegal substances at all times and refrain from being under the influence of alcohol while at work or representing the Institute. There may be special occasions where alcohol is being served on behalf of the Institute which would constitute an “authorized” event. If it is observed that the individual may be under the influence, by exhibiting symptoms such as staggered gait, slurred speech, reddened eyes, unkempt look or extreme drowsiness, then arrangements will be made to drive the individual home safely.

o Report any dangerous behavior of the individual to the supervisor immediately.

o Support co-workers and other covered individuals who are seeking assistance.

E. Notification of Convictions

Any employee who is convicted of a criminal drug violation in the workplace must notify the Institute in writing within five calendar days of the conviction. The Institute will take appropriate action within 30 days of notification.

F. Consequences

One of the goals of our drug-free workplace program is to encourage employees to voluntarily seek assistance with alcohol and/or drug problems. If, however, an individual violates the policy, the consequences are serious.

In the case of applicants, if he or she violates the policy, the offer of employment may be withdrawn. The applicant may reapply after six months and must successfully pass a pre-employment drug test to be considered for employment.

If an employee violates the policy, he or she may be subject to disciplinary action and may be required to enter a rehabilitation program. An employee required to enter a rehabilitation program but refuses to do so or fails to successfully complete the program, and/or repeatedly violates the policy, will be terminated from employment. This policy does not prohibit the employee from being disciplined or discharged for other violations and/or performance issues.

G. Assistance

Rose-Hulman Institute of Technology recognizes that alcohol and drug abuse and addiction are treatable illnesses. We also realize that early intervention and support improve the success of rehabilitation. To support our employees, our Drug-Free Workplace Policy: