Human Resource Policy Guidelines

2008
Your Guide to Human Resource Policies at Rensselaer Polytechnic Institute
employer of choice

Table of Contents Page 100 100.1 100.2 100.3 100.4 100.5 100.6 100.7 100.8 200 200.1 200.2 200.3 200.4 200.5 200.6 200.7 200.8 200.9 200.10 200.11 200.12 200.13 200.14 300 300.1 300.2 300.3 300.4 300.5 300.6 300.7 400 400.1 400.2 400.3 Introduction and Disclaimers Intent . . . . . . . Scope . . . . . . . Employment At-Will . . . . . General Contract Disclaimer . . . Oral Representation Disclaimer . . . Right to Modify Procedures and Policies . Right to Deviate from Procedures and Policies Benefit Disclaimer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100-1 100-2 100-3 100-4 100-5 100-6 100-7 100-8 200-1 200-3 200-5 200-6 200-8 200-11 200-14 200-21 200-24 200-27 200-29 200-32 200-34 200-37 300-1 300-4 300-5 300-7 300-8 300-9 300-11 400-1 400-4 400-6

Recruitment and Selection Performance Management Tools . . . . Position Approval for Staff Positions . . . Internal Job Posting for Staff Positions . . . Recruitment for Staff Positions. . . . . Hiring for Staff Positions . . . . . Recruitment and Selection for Faculty Positions . Postdoctoral Research Appointments . . . Exclusions to the Search Process. . . . Interviewing Procedures . . . . . Employment of Relatives . . . . . Physical and Medical ExaminationsPost Invitation. Reference and Background Checks . . . Immigration Requirements for New Hires . . New Hire Orientation . . . . . Employee Classifications and Status Changes Employee Classifications . . . . . Independent Contractors or Consultants. . . Volunteers and Unpaid Interns . . . . Initial Period of Employment . . . . Promotion . . . . . . . Transfers: Voluntary and Involuntary . . Demotions . . . . . . .

Personnel Files Personnel Information and Employee Privacy . . References and External Requests for Employee Information Employee Access to Personnel Files . . . .

500 500.1 500.2 500.3 500.4 600 600.1 600.2 600.3 600.4 600.5 600.6 600.7 700 700.1 700.2 700.3 700.4 700.5 700.6 700.7 700.8 800 800.1 800.2 800.3 800.4 800.5 800.6 800.7 800.8 800.9 800.10 800.11 800.12 900 900.1 900.2

Terminations and Layoffs General Policy on Employee Separations Rehire Policy . . . . . Exit Interviews. . . . . Reductions in Force . . . .

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500-1 500-3 500-5 500-6 600-1 600-2 600-3 600-5 600-7 600-11 600-13 700-1 700-2 700-4 700-7 700-9 700-11 700-15 700-16 800-1 800-3 800-5 800-6 800-7 800-9 800-11 800-17 800-18 800-19 800-20 800-24 900-1 900-7

Discrimination Equal Employment Opportunity Policy Statement . Sex Discrimination . . . . . . Sexual Harassment . . . . . . Other Types of Prohibited Harassment . . . Reporting Procedure for Complaints of Discrimination, Harassment, Retaliation, Illegal or Unethical Actions Accommodating Individuals with Disabilities . . Religious Accommodation . . . . . Compensation and Work Schedules Compensation Philosophy . . . Pay Procedures . . . . Work Schedules and Compensation . On-Call . . . . . . Meal and Break Periods . . . Telecommuting . . . . Merit Increases . . . . Exempt Staff Supplemental Pay. . . Employee Conduct Standards of Conduct and Performance Employee Attendance . . . Smoking . . . . . . Alcohol Use and Possession . . Drug Free Workplace . . . Physical and Verbal Altercations . . Electronic Communications . . Workplace Searches . . . . No Solicitation/No Distribution . . Acceptance of Gifts, Gratuities, Favors . Potential Conflicts of InterestOfficers and Intellectual Property Agreement . . Disciplinary Process and Appeals Progressive Discipline . . . Peer Review Appeal Process . . . . . . . . . . . . . . . . .

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1000 Business Expense Reimbursement 1000.1 Travel and Entertainment Expense Reimbursement Policy 1000.2 Relocation Assistance Policy. . . . . . 1100 1100.1 1100.2 1100.3 1100.4 1100.5 1100.6 Benefits Eligibility Requirements for Rensselaers Benefits Plans . Eligibility/Termination Dates of Rensselaers Benefit Plans Tuition Scholarship BenefitsEmployees and Spouses . Tuition Scholarship BenefitsDependent Children . . Employee Assistance Services . . . . . Domestic Partner Medical Coverage . . . . . . . . . .

1000-1 1000-2 1100-1 1100-5 1100-9 1100-12 1100-16 1100-17 1200-1 1200-3 1300-1 1300-5 1300-11 1300-12 1300-17 1300-23 1300-28

1200 Retirement 1200.1 Retirement . . . . . 1200.2 Health Insurance Benefits for Retirees . 1300 1300.1 1300.2 1300.3 1300.4 1300.5 1300.6 1300.7 1400 1400.1 1400.2 1400.3 1400.4 1500 1500.1 1500.2 1500.3

Paid Time Off and Leaves of Absence Paid Time Off (PTO) Program. . . . . . Paid Sick Leave: Regular Exempt, Nonexempt & Fixed Term Consistent Attendance . . . . . . Paid Holidays . . . . . . . . Leave of Absence . . . . . . . Family and Medical Leave Act (FMLA) . . . . Bereavement Leave . . . . . . .

Safety, Occupational Health, and Workers Compensation Safety and Health Policy Statement . . . . 1400-1 Refusing Unsafe Work . . . . . . 1400-3 Workers Compensation Program . . . . 1400-4 Return-to-Work Policy . . . . . . 1400-5 Workplace Security and Emergency Planning Institute Closings . . . . . . Workplace Violence . . . . . . Liberal Leave . . . . . . . . . . . . 1500-1 1500-2 1500-5 1600-1 1600-4

1600 Staff Performance Management and Evaluations 1600.1 Staff Performance Evaluations . . . . 1600.2 Staff Evaluations Initial Period of Employment. .

iii July 2008

100.1

Intent

Purpose To state the intent of this policy manual. Policy This policy manual is intended to provide working guidelines and descriptions of Rensselaers benefits and policies. These guidelines seek to ensure that daily decisions affecting employees are made uniformly throughout the Institute. These guidelines are not, however, binding on the Institute and may be modified or altered on a case-by-case basis. Procedure It is the responsibility of each supervisor to administer these policies in an impartial and consistent manner. It is the responsibility of the Division of Human Resources to monitor the administration of these policies throughout Rensselaer. All questions regarding the interpretation or application of the provisions of these policies should be referred to the Division of Human Resources, which shall have sole authority in interpreting such policies, procedures and provisions.

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100.2

Scope

Purpose To state to whom the policies in this manual apply. Policy The policies in this manual apply to all Rensselaer employees, and only where indicated, to Students, Visitors, Independent Contractors, Volunteers, Interns and Vendors. Definition Employees includes all exempt and non-exempt employees, including Tenure and Tenure-Track Faculty, Staff, Members of the Presidents Cabinet, Academic Deans, Administrative Deans, Directors, Associate and Assistant Vice Presidents, Research and Instructional Personnel, and Student Employees. Procedure This manual is designed to be a reference for all Rensselaer Employees, including Members of the Presidents Cabinet, Academic Deans, Administrative Deans, directors, managers and supervisors who have responsibility and accountability for Rensselaer employees, guests, vendors and others whose day-to-day responsibilities include policy administration and the supervision of others. Headings of Purpose, Policy and Procedure are for convenience purposes only.

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100.3

Employment At-Will

Purpose To clearly establish that each workers employment is at-will and to establish that each employee understands the at-will nature of his or her employment. Policy At Rensselaer Polytechnic Institute, each workers employment is atwill, unless said employment is pursuant to a duly authorized written Employment Agreement or pursuant to the terms of the Rensselaer Faculty Handbook. No policy, provision or procedure in this manual is intended to create a binding employment agreement, or an implied or expressed contract, between any employee and Rensselaer Polytechnic Institute. At-Will Employees are hereby given clear notice that their employment is for no specific term, is not guaranteed in any way, and can be endedby the employee or Rensselaerat any time, with or without notice. Procedure To counteract any potential wrongful discharge claim, it is important that each employee is aware of the at-will nature of his or her employment. To this end, an at-will disclaimer is prominently displayed in the Rensselaer Polytechnic Institute Employee Handbook. New employees must sign and date the Employee Acknowledgment Form in the Employee Handbook indicating that they are aware of the at-will nature of their employment. Executed Employment Acknowledgment Forms should be retained in each employees individual official personnel file. Failure of an employee to execute such Employee Acknowledgement Form shall not affect the nature of at-will employment.

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100.4

General Contract Disclaimer

Purpose To clearly establish that this manuals policies and provisions are guidelines only and are not intended to create any agreement or contract between Rensselaer Polytechnic Institute and its employees. Policy The policies and procedures in this manual are designed to serve as guidelines for management action. No policy, provision or procedure in this guidelines manual creates a binding employment agreement, implied or expressed contract, or guarantee of continued employment, nor is any guideline intended to create any kind of contract, binding agreement or guarantee. Procedure This general contract disclaimer policy is intended to negate any potential interpretation of an employee handbook policy, Human Resource Policy Guideline, procedure, program or provision as a binding agreement between Rensselaer and its employees. It is important that each employee is aware that policies and procedures in this manual are designed to be guidelines, and not intended to create any contract or binding agreement. To this end, a general contract disclaimer is prominently displayed in the Rensselaer Polytechnic Institute Employee Handbook. New employees must sign and date the Employee Acknowledgment Form in the Employee Handbook acknowledging that Rensselaer policies and procedures are not intended and cannot be construed as a contract or guarantee of employment. Executed Employee Acknowledgment Forms are retained in employees individual official personnel files. Failure of an employee to execute such Employee Acknowledgement Form shall not create a contractual agreement between the Institute and employee.

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100.5

Oral Representation Disclaimer

Purpose To ensure that the Institute is not bound by any oral assurances of employment. Policy Rensselaer Polytechnic Institute is not bound by any oral assurances of employment. Procedure This policy makes it very clear that an oral assurance of employment is not binding. Any employment agreement binding the Institute to specific terms or benefits must be approved in writing and signed by the President, Provost, the Vice President for Human Resources or designee. When filling job vacancies, interviewers should advise applicants who may be prospective employees that binding invitations of employment are written, and are signed by the President, Provost, the Vice President for Human Resources or designee.

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100.6

Right to Modify Procedures and Policies

Purpose To ensure the Institutes right to modify any policy or procedure without prior or further notification. Policy The Vice President for Human Resources, acting on behalf of the Presidents Cabinet, reserves the right to change, add, or eliminate any of the Institutes policies, procedures, health, welfare, tuition, retirement and Pension benefit plans, or language at any time without prior or further notice except those contained within the Faculty Handbook. The Vice President for Human Resources, acting on behalf of the Presidents Cabinet, reserves the right to issue new policies or a new policy manual and/or employee handbook, which supersedes any previously issued manual or handbook. Any new policies or procedures supersede any previously issued verbal or written policies. Procedure This policy makes it clear that Institute policies, procedures, benefits, and language can be changed, added, or eliminated at the discretion of the Vice President for Human Resources. Although Rensselaer endeavors to let employees and supervisors know of any policy change in a timely manner, notice is not required, and the Institute reserves the right to make changes without notice. When policy changes are made, managers and supervisors are expected to familiarize themselves with the new policy(ies) and procedure(s). Managers and supervisors are expected to comply with Institute policies and procedures that are currently in force when doing their own work and when supervising the work of others. Questions and concerns about the administration of new or revised policies and procedures should be directed to Division of Human Resources personnel in a timely manner.

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100.7

Right to Deviate from Procedures and Policies

Purpose To establish the Institutes right to deviate from policies and procedures. Policy Rensselaer reserves the right to manage its employees as circumstances warrant or as Rensselaer sees fit. All policies and procedures outlined in this manual, or in the Rensselaer Polytechnic Institute Employee Handbook, can be changed or modified at any time that particular circumstances warrant. The Institute reserves the right to deviate from the policy manual and employee handbook policies or procedures at any time. Procedure While the policies and procedures in this manual are guidelines for management action, a written manual cannot address every potential workplace situation that might arise. Therefore, the Institute reserves the right to manage its employees as management sees fit or as circumstances warrant. This policy allows managers, within the confines of the law, to hire, transfer, promote, discipline, terminate, and otherwise manage their employees in a way that is appropriate to the circumstances of the situation. For example, the steps in the Rensselaer disciplinary procedure are discretionary. Rensselaer has the right to deviate from the disciplinary procedure as circumstances warrant. Questions concerning this policy should be addressed to Division of Human Resources, which shall have sole authority in interpreting such Policies and Procedures.

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100.8

Benefits Disclaimer

Purpose To establish Rensselaers right to terminate or amend any of its benefit plans. Policy This manual only highlights the terms of the Institutes employee benefit plans. The actual terms of the various employee benefit plans are stated in and governed by the formal plan documents. Rensselaer reserves the right to modify, amend, suspend or terminate any plan at any time, and for any reason without prior notification. Participants will be notified of any changes to the plans and how they affect employee benefits, if at all. The benefit plans are governed by insurance contracts and plan documents, which are available for examination upon request. While Rensselaer attempts to make explanations of the plans in this manual as accurate as possible, should there be a discrepancy between this manual and the provisions of the insurance contracts or plan documents, the provisions of the insurance contracts or plan documents will govern. Any information provided by Rensselaer is not intended as investment advice, and employees should seek investment advice from his/her own investment consultant. A participant and/or beneficiary, including retirees, shall not have any right to benefits under the plan that in any way interferes with Rensselaers right to terminate or amend any plan. Procedure This policy makes it clear that the Institute has the right to terminate or amend any of its benefit plans. Managers and supervisors should not attempt to answer questions concerning employee benefit plans. Such questions, from applicants and from employees, should be referred to the Division of Human Resources.

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200.1

Performance Management Tools

Purpose Rensselaer views the Performance Management Tool (PMT) as an important mechanism to ensure effective hiring practices and equal employment opportunity to all qualified individuals. This policy states the general procedures to ensure that an accurate and up-todate PMT is in place prior to recruitment efforts. Policy The supervisor will create or update a PMT for review and approval by the Division of Human Resources. The PMT will set out a job summary, duties and responsibilities, competencies and qualifications necessary to perform the essential functions of the position. Procedure Basic Responsibilities and Requirements. Whenever a job vacancy occurs, the hiring manager should review and, if necessary due to changes in duties, activities, or requirements, revise an existing PMT or prepare a new PMT, if one does not exist. Additionally, as part of Rensselaers ongoing process, the Division of Human Resources periodically can request a managers assistance in reviewing their departments or units PMTs to ensure that they are accurate, complete, and up-to-date. The Division of Human Resources is available to assist managers in preparing and reviewing PMTs or carrying out these periodic reviews. Whenever possible, the reviewing manager or Division of Human Resources should seek the input of a positions incumbent in reviewing the PMTs accuracy and completeness. The Division of Human Resources is responsible for reviewing and approving all new and revised PMTs. Identification of Essential Functions. When preparing or reviewing a PMT, the hiring manager should identify all of the positions essential functions. In identifying a positions essential functions, it is important to focus on both the purpose of the position and the importance or significance of a particular function in achieving that purpose. No function should be listed as essential if incumbent employees do not perform the function either as a regular part of the job or an occasional, critical-need basis. If doubt exists as to whether or not a function is essential, the Division of Human Resources is responsible for advising and assisting the manager and making any final determination as to the essential nature of a particular function.

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Changes and Modifications in Performance Management Tools. In reviewing a PMT for an existing position, managers and others involved in the process should be alert to the need to revise and update the PMTs to reflect any changes or other modifications in the jobs essential functions, as well as other changes in the jobs duties, activities, or requirements, since the last PMT was prepared. The Division of Human Resources is responsible for determining whether a job analysis of the position should be conducted to formally measure the positions requirements, activities, and responsibilities. Periodic Reviews of Performance Management Tools. To ensure that Rensselaers PMTs are accurate and up-to-date, the Division of Human Resources conducts regular periodic reviews of the accuracy and completeness of all PMTs for positions within the organization. Both managers and incumbent employees are expected to contribute to and cooperate with this review effort. Generally, this ongoing review is designed to ensure that Rensselaers PMTs contain information that accurately reflect each positions functions, duties, responsibilities, purpose, working conditions, and reporting relationships as well as the knowledge, skills and abilities required of incumbent employees.

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200.2

Position Approval for Staff Positions

Purpose To state the general procedures to request authorization to fill a new, reclassified or replacement staff position. Policy Whether filling a newly created position or a vacancy created by an incumbent employees resignation, retirement, or termination, the manager to whom the position reports should complete an on-line Position Approval Form, ensure that there is portfolio level and finance approval in place, and ensure that an accurate, up-to-date Performance Management Tool (PMT) exists for the open staff position. Failure to obtain appropriate approvals at any level may delay the recruitment process. Procedure When job openings occur, all hiring managers must adhere to the following requisition procedures to ensure fast and efficient filling of an open position. As with all other respects of its selection and hiring process, Rensselaer makes every effort to ensure equal employment opportunity for all individuals and abides by the EEO and non-discrimination provisions of all applicable federal, state, and local laws. Hiring Managers Responsibilities. The manager to whom the position reports must complete an on-line Position Approval Form (PAF). The PAF will include the department, unit, or work group of the vacancy; the reason for vacancy; the budget and proposed compensation information; and proposed start date or date by which the position needs to be filled. For new positions, the requisition form will include a brief explanation of why a new position is being created, if the position was not already approved in the Fiscal Year Performance Plan. For replacement positions, the form will include the name of the employee who is being replaced and a reason for the workers departure. An updated Performance Management Tool (PMT) for the position must be forwarded to the Division of Human Resources for FLSA classification, and for assignment of a position title and salary range. After completing and approving the PAF, the hiring manager must submit it, along with the updated PMT, to the Portfolio Business Manager.

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Management Review and Approval. The completed Position Approval Form must be reviewed and approved by the Portfolio Business Manager on behalf of the Dean or Vice President. In addition, the PAF must be reviewed and approved by Finance and Human Resources. Approvals at every level indicate that the approver has reviewed the form for completeness and accuracy as well as confirmation that the position is authorized under the departments current budget. It is the responsibility of the approver to ensure that the appropriate manager or portfolio leader is apprised of the intention to initiate a search or otherwise create and fill a position. Contingent Approvals: At times, it is necessary to initiate recruitment before funding is approved. This must be noted clearly on the on-line PAF by the Originator. Prior to making an invitation for employment, the Originator must ensure that the funding is identified and that the PAF has been approved by the budget office. Performance Management Tool. No Position Approval Form can be submitted to the Division of Human Resources without a PMT for the open position (see Performance Management Tool Policy #200.2). Hiring managers should be alert to the need to revise and update the PMT for any existing position whose duties, activities, or requirements have been changed or modified since the last PMT was prepared. Post-Requisition Procedures. The Division of Human Resources is responsible for ensuring that the PMT and PAF have been completed. Once both are in order, the Division of Human Resources notifies the hiring manager and initiates recruitment activities.

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200.3

Internal Job Posting for Staff Positions

Purpose To identify an internal job posting procedure. Policy To promote the efficient filling of job vacancies and provide opportunities for career growth, Rensselaer encourages promotionfrom-within where qualified candidates exist for open positions. Vacant staff positions are posted on-line on the Current Job Openings (CJO) on the Division of Human Resources web site. Procedure Position Approval. Before a vacancy can be posted, the Position Approval Form (PAF) and Performance Management Tool (PMT) must be completed (See Sections 200.1 and 200.2) Current Job Openings (CJO). The Division of Human Resources posts newly approved vacancies on the Current Job Openings (CJO) on its Careers at Rensselaer website each weekday. Job Posting Locations. The CJO is available by computer on the Human Resources web site. (http://rpijobs.rpi.edu) Posting. All vacancies for staff positions shall be posted for at least five business days. To receive full consideration, candidates must submit applications within the posting period. Former employees. Employees terminated due to a Reduction in Force will be considered as internal applicants during the 12 months after the date of separation and will be given preferential hiring consideration (see section 500.2 Rehires)

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200.4

Recruitment for Staff Positions

Purpose To identify the recruitment efforts and steps available to ensure a source of qualified candidates. Policy The Division of Human Resources will administer the recruitment program and efforts to ensure that Rensselaer has a ready pool of qualified candidates available for open positions. Internal Recruitment Efforts. An internal search process will be conducted either prior to or concurrently with external searches for vacant positions. Eligible Staff. Current staff can apply for a posted job on the following conditions: (1) They meet the minimum qualifications included in the PMT and vacancy announcement; (2) they have been in their present position at least six months unless an exception is granted by the Division of Human Resources; (3) they are not currently in the progressive disciplinary action process; and, (4) they are not on a current performance improvement plan. Employees may contact the Division of Human Resources to determine if they are eligible to apply for a posting. Responses to Job Postings by Internal Candidates. Interested staff should complete and certify an on-line application form, and attach a cover letter that includes a description of how candidates meet the minimum qualifications listed in the job posting. Staff members are encouraged to update the on-line application each time they apply for a new posting. Neither telephone calls nor emails are considered an acceptable or sufficient response to a job posting. The completed internal application must be submitted on-line using the Applicant Tracking System. NOTE: Candidates for leadership positions (such as Vice Presidents, Associate and Assistant Vice Presidents, Deans and Directors) should follow the application instructions included on the job vacancy announcement. Advertisements. At the request of a hiring supervisor, The Division of Human Resources reviews requests to place classified and display advertisements for an open position in local newspapers and, where appropriate, in selected trade or professional journals and on

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appropriate on-line professional or job search websites. The Division of Human Resources consults with the hiring supervisor about the wording for any advertisement. If necessary, the advertisement may be repeated. The Division of Human Resources manages the central advertising budget. Requests to advertise that exceed the budget may be considered if they will be charged back to the hiring Departments budget. Applications and Resumes. The Division of Human Resources acknowledges receipt of all resumes and applications submitted in response to recruitment efforts undertaken by Rensselaer to identify external job candidates. Human Resources also notifies all applicants who are interviewed, but not selected for specific jobs. Employment Agencies/Search Firms. Depending on the requirements and level of the open position, the Division of Human Resources may, at its discretion, contacts the state employment agency or private employment agency to locate qualified applicants. The Division of Human Resources may enlist the efforts of search consultants to identify and screen potential candidates for certain executive, managerial, and professional positions, as well as specialized vacant positions. The fees charged by these consultants are charged back to the hiring departments budget. Equal Employment Opportunity. All of Rensselaers recruitment initiatives must emphasize that the organization is an equal opportunity employer. Rensselaer makes every effort to ensure that in every phase of the recruitment and selection process, equal employment opportunity is provided to all individuals, regardless of race, color, religion, sex, sexual orientation, martial status, creed, age, national origin, citizenship status, disability or veterans status. Rensselaer is committed to carrying out and complying with all of its EEO and affirmative action obligations under applicable federal, state, and local laws and regulations.

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200.5

Hiring for Staff Positions

Purpose To state general procedures to identify and promote, transfer or hire qualified candidates to fill vacant positions. Policy When job openings occur, Rensselaer follows the general procedures outlined below to identify and promote, transfer, or hire qualified candidates to fill vacancies. In all of its internal and external recruitment and selection efforts, Rensselaer makes every effort to ensure equal employment opportunity to all individuals and abides by the EEO and nondiscrimination provisions of all applicable federal, state and local laws. Procedure Posting and Referral Procedures. Openings for all staff positions should be posted by the Division of Human Resources for at least five business days on the on-line Current Job Openings website (http://rpijobs.rpi.edu) (see Job Posting Policy # 200.4). Current eligible Rensselaer employees who are qualified for and interested in a posted staff position should apply to the Division of Human Resources using the on-line applicant tracking system. Based on qualifications, internal applicants are given every consideration for placement in the open position. NOTE: Candidates for leadership positions (such as Vice Presidents, Associate and Assistant Vice Presidents, Deans and Directors) should follow the application instructions included on the job vacancy announcement. Recruitment Methods and Procedures. Rensselaer normally recruits qualified candidates through a variety of sources, including internal applicants and candidates referred by current faculty and employees. Depending on the position and knowledge, skills, ability, or experience levels required, the Division of Human Resources, in consultation with the hiring manager, can: place classified advertisements in local, regional, or national newspapers; employ the services of an outside agency; contact schools or colleges; or use additional means to locate and attract qualified candidates. In using any of these recruitment sources, Rensselaer makes every effort to ensure compliance with all EEO and nondiscrimination laws. Application Forms. To ensure the accuracy and completeness of its records, Rensselaer requires all individuals who wish to be considered for a staff position to complete and certify an on-line Employment Application using Rensselaers Applicant Tracking System (ATS). Individuals should keep in mind that Rensselaer requires accurate, truthful, and complete answers to the questions

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included on the Employment Application. An unjustified refusal to supply requested information or a falsification of information will result in the elimination of the individual from consideration. Employment of Minors Rensselaer will adhere to all applicable federal, state and local laws and regulations with respect to the employment of minors. Interviews and Employment Assessments. Based on the Division of Human Resources preliminary review of individuals qualifications, applicants who appear to be the most qualified for the position are asked to participate in at least one interview with the hiring manager or supervisor. The Division of Human Resources may coordinate the scheduling of these interviews, any follow-up sessions, and any required employment assessments. In compliance with federal law, no applicant is required to undergo any pre-employment physical or medical examination until after they have received a conditional invitation of employment. Reference and Background Checks. Verification of reference and background information provided by candidates on applications forms or resumes and in interviews is the responsibility of the Division of Human Resources. The Division of Human Resources may require the hiring manager to conduct three telephone reference checks. In reviewing qualifications and backgrounds of candidates for certain positions, such as jobs involving financial accountability or security-related issues, Rensselaer might use the services of outside investigative agencies to conduct credit or background checks on individuals. In conducting such checks, Rensselaer complies with all notice, authorization, and other requirements of federal and state law and maintains the strict confidentiality of all reports and records related to such investigations. Employment Invitations. Once the best-qualified candidate for the position is identified, the hiring manager completes an Affirmative Action Form (AAF). The AAF will include the recommended starting salary and a summary of the demographic information. When submitting the AAF, the hiring manager will attach three telephone reference checks, the application materials for the selected candidate and the application materials for the interviewed candidates. If nonCaucasian, disabled or Vietnam-Era veteran candidates applied and were not chosen, the hiring manager must attach an explanation. Similarly, if female candidate(s) applied, in a job group where they are underutilized and were not chosen, the hiring manager must attach an explanation. These explanations must be substantive in nature. The AAF must be reviewed and approved by the originating

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supervisor, and the appropriate department head/director/Dean and Vice President and Provost (where applicable) and then submitted to the Division of Human Resources Where the salary recommendation exceeds the originally approved budgeted amount, the recommendation must be approved by the Division of Finance prior to being submitted to the Division of Human Resources. Similarly, Invitations for positions that were advertised contingent on budget approval must be approved by the Division of Finance prior to being submitted to the Division of Human Resources. The Division of Human Resources reviews recommended salary found on the AAF as well as the supporting documentation submitted. Upon approval, the Division of Human Resources notifies the hiring manager. The Division of Human Resources coordinates the verbal invitation of employment to the candidate with regard to salary, duties, start date and other relevant particulars. When possible, the start date should coincide with a New Employee Orientation. If the verbal invitation is accepted, the hiring manager ensures that an Employment Transaction Form is completed, and approved by the Portfolio owner. Upon receipt of the approved Employment Transaction Form, the Division of Human Resources creates a written invitation of employment. Both the verbal and written invitation of employment are conditional invitations inasmuch as they are contingent on Rensselaers verification of referral information and the completion of any background checks and the candidates successful completion of any post-invitation medical examinations required by Rensselaer and submission of satisfactory employmenteligibility documentation required by federal law. Only invitations of employment to staff issued by the Division of Human Resources shall be considered valid. Hiring managers must ensure that employees report to the Division of Human Resources prior to commencing work. Notification of Unsuccessful Candidates. Once the best qualified candidate for the position has accepted an employment invitation, the Division of Human Resources, or the hiring manager in coordination with the Division of Human Resources, is responsible for notifying unsuccessful candidates that they are no longer being considered for the position because it has been filled. The Division of Human Resources is responsible for compiling and maintaining all legally required documentation relating to Rensselaers efforts to fill the open position.

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200.6

Recruitment and Selection of Faculty

Purpose To identify the procedure to recruit for faculty positions, including tenured and tenure track faculty, clinical and research faculty positions, that are filled for a duration of longer than one academic year.

Policy Rensselaer will seek to find and employ the best-qualified job applicants for faculty positions while complying with applicable federal, state, and local laws and regulations. NOTE: There may be situations where a search is not required. Please see the Exclusions to the Search Process for further information. Procedure Beginning a Search. Departments with a new or replacement vacancy in a faculty position must complete and submit a Position Approval Form (PAF) to the Division of Human Resources. The PAF must be approved by the Originator on behalf of the Department Head, the Business Manager for the School on behalf of the Dean, and the Lead Business Manager for the Provost on behalf of the Office of the Provost. These approvals indicate that: the position is authorized; a budget has been allocated; appropriate management approval has been obtained, and the hiring supervisor is aware of Rensselaers affirmative action responsibilities. The PAF is submitted by the Office of the Provost to the Division of Finance for review and signature verifying that the position is authorized under the departments current budget. The Division of Finance submits the PAF to the Division of Human Resources. Failure to obtain appropriate approvals at any level may delay the recruitment process. External Advertising. The department or search committee may write advertisements for vacant faculty positions. The Division of Human Resources approves the wording and coordinates placement of all advertising. All advertising must be in accordance with Rensselaers equal employment opportunity policy. At the request of the department or search committee, The Division of Human Resources reviews requests to place classified

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and display advertisements for faculty vacancies in selected trade or professional journals and on appropriate on-line professional or job search websites. If necessary, the advertisement may be repeated. The Division of Human Resources manages the central advertising budget. Requests to advertise that exceed the budget may be considered if they will be charged back to the hiring Departments budget. Applicants and Interviewing. Departments may receive application materials, resumes and curriculum vitaes (CVs) directly. Departments and/or search committees screen applications and resumes and select applicants to be interviewed. All interviews will be conducted in accordance with Policy 200.9, Interviewing Procedures. Application materials and resumes/CVs are to be retained by the department for two (2) years following the appointment date, unless longer retention is required for the purpose of documenting an immigration file. Making an Invitation to Faculty The department completes the Affirmative Action Form/Faculty (AAF/F) and supporting materials to include the following: the recommended hiring amount; start up information; proposed invitation letters; the number of individuals interviewed; the qualifications based reasons for not selecting each of the candidates; the chosen candidates curriculum vitae should be attached as well as the curriculum vitaes of all applicants; and in cases when the department placed its own advertisement, a copy of the advertisement should be attached. The AAF/F must be approved by the Department Head/Director, Dean, the Provost, the Budget Director, and the Vice President for Human Resources. These approvals indicate that: the chosen candidate meets the qualifications and job duties as advertised; all women, people of color, persons with disabilities, and Vietnam-Era veterans have been fully considered; the proposed salary is within the approved budget; and, the approved salary range has been considered. Upon the approval of the President and the Vice President for Human Resources, the Office of the Provost will notify the Originator that a verbal invitation may be made. After an

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invitation has been extended and accepted, the hiring department should: advise Human Resources when the employment invitation is accepted and the proposed start date; and, initiate the Employment Transaction Form (ETF). NOTE: Employee benefits are not negotiable. Questions regarding employee benefits should be referred to the Division of Human Resources. The Provosts Office will forward the ETF and other documentation to the Division of Human Resources for review and approval. The Provost and the Deans offices prepare the formal invitation letter. The Vice President for Human Resources is required to provide an affirmative action report to the President and the Presidents Cabinet at least on an annual basis.

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200.7 Purpose Policy

Postdoctoral Research Appointments To define a Postdoctoral Research appointment. All Postdoctoral Researchers are appointed to develop scholarly competence, while working under the mentorship of a full-time Rensselaer faculty or one of Rensselaers Principal Investigators. Postdoctoral Researchers fall into two broad classifications: A. Postdoctoral Research Scholar or Fellow paid a stipend and not an employee. B. Postdoctoral Research Associate appointed as an employee and is paid a salary. Postdoctoral Research appointments, to include both appointments as a Postdoctoral Research Scholar or Fellow and appointments as a Postdoctoral Research Associate, normally do not exceed 5 years. The Principal Investigator (PI) is responsible for ensuring that the Postdoctoral Researcher is classified appropriately as a Postdoctoral Research Scholar or Fellow or as a Postdoctoral Research Associate. The PI is also responsible for ensuring that all applicable appointment and/or employment requirements are fulfilled. When appointing a Postdoctoral Research Associate, the PI is responsible for compliance with applicable Affirmative Action search requirements, or for obtaining a Search Waiver approval by the Division of Human Resources. A. Definition: Postdoctoral Research Scholar or Fellow

The appointee was recently awarded a Ph.D. or equivalent doctorate (e.g., D.Eng., Sc.D., M.D.) in an appropriate field; and The appointment is temporary; and The appointment involves substantially full-time research or academic scholarship; and The appointment is viewed as preparatory for a full-time academic and/or research career; and The appointee works under the supervision of a faculty member or Principal Investigator; and The appointee has the freedom, and is expected, to publish the results of his or her research or academic scholarship during the period of the appointment; and The primary objective is the completion of a period of training; and

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The appointee is paid a stipend, not a salary, as the funder (the grant) has provided training funds for a stipend, not a salary plus fringe. Postdoctoral Research Scholars or Fellows are not degree candidates. No services can be required of Postdoctoral Research Scholars or Fellows by virtue of their appointment, and their stipends do not constitute payment of salary for services rendered to Rensselaer. Postdoctoral Research Scholars or Fellows are not employees, and are not eligible for employee health, welfare, leave or retirement benefits. Postdoctoral Research Scholar or Fellow appointments are made to academic departments or research centers with the approval of the department head or center director and require Dean/Provost or VP for Research approval. Appointments are usually for not less than one year and are normally not renewed beyond a combined total of five years as either a postdoctoral associate or scholar. Extension of appointment beyond a combined total of five years is only possible in extraordinary circumstances and requires approval of the Dean/Provost or VP for Research. The end date of Postdoctoral Scholar appointments is defined in the appointment letter. If it is necessary to terminate a Postdoctoral Scholar sooner because of reduced funding, changes in the nature and scope of the work, or for other operational reasons, it is recommended, but not required, that the Principal Investigator provide a 30 day notice of termination. Termination for cause may be made at any time. The Division of Human Resources must be consulted prior to such termination.

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B. Definition:

Postdoctoral Research Associate

The appointee was recently awarded a Ph.D. or equivalent doctorate (e.g., D.Eng., Sc.D., M.D.) in an appropriate field; and The appointment is temporary; and The appointment involves substantially full-time research or scholarship; and The appointment is viewed as preparatory for a full-time academic and/or research career; and The appointee works under the supervision of a faculty member or principal investigator; and The appointee has the freedom, and is expected, to publish the results of his or her research or scholarship during the period of the appointment. The primary objective of the appointee is the attainment of the PIs goals on the grant; and The appointee is not primarily working to complete a period of training; and The appointee is paid a salary, not a stipend, in return for duties performed to meet the goals for which the funds were awarded and is an employee of the University; and Funding for the position is usually from research or start up funds. Postdoctoral Research Associates are to be appointed as Fixed Term employees, whose eligibility for employee benefits is determined in accordance with benefits plan documents. Postdoctoral Research Associate appointments are made to academic departments or research centers with the approval of the department head or center director and require Dean/Provost or VP for Research and HR approval. A fixed term appointment is usually for not less than one year and is normally not renewed beyond 5 years. Extension of Postdoctoral Research Associate and/or Postdoctoral Research Scholar or Fellow appointments beyond a combined total of five years is only possible in extraordinary circumstances and requires approval of the Dean/Provost or VP for Research and HR. The end date of postdoctoral research associate appointments is defined in the appointment letter. If it is necessary to terminate a Postdoctoral Research Associate sooner because of reduced funding, changes in the nature and scope of the work, or for other operational reasons, it is recommended, but not required, that the Principal Investigator provide at least a 30 day notice of termination.

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Termination for cause may be made at any time. The Division of Human Resources must be consulted prior to such termination. A Postdoctoral Research Associate whose term of employment is six (6) months or less is to be appointed as a temporary employee. Such temporary appointments may not be renewed without review by the Hiring Manager, the Portfolio Owner, the Provost (except for Division of Research), Finance and Human Resources. Renewal must be in writing and is subject to Rensselaers discretion. Factors that will be considered include continued satisfactory performance, but also the existing financial, programmatic, and other organizational needs of Rensselaer. Procedure Postdoctoral Research Associate and Scholar Appointments Postdoctoral Research Associates are employees, and as such are subject to equal opportunity, hiring, and other employment policies that govern all staff. Procedures listed here are intended to streamline the process for the hiring of Postdoctoral Research Associates, but in no way are intended to circumvent regulatory compliance. Rensselaer makes every effort to ensure equal employment opportunity for all individuals and abides by the EEO and nondiscrimination provisions of all applicable federal, state and local laws and regulations. The Principal Investigator (PI) or other sponsoring faculty member is responsible for the appointment process. This includes ensuring that applicable Affirmative Action guidelines are followed and the appropriate work authorization or visa status requirements are communicated to appointees. As soon as the PI identifies a need for either a Postdoctoral Research Scholar or Postdoctoral Research Associate, the PI will answer the following questions, to determine if the opening is for a Postdoctoral Research Associate or a Postdoctoral Research Scholar.

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Determining Postdoctoral Researcher Appointment Type Question 1. Will the researcher be paid a salary in return for duties performed to meet the goals for which the funds were awarded? 2. Is the primary objective of the completion of requirements needed for a particular certification or the completion of a period of training? 3. Will the researcher be paid a stipend to cover or defray living expenses? Postdoctoral Research Associate (employee) YES Postdoctoral Research Scholar (non-employee) NO

NO

YES

NO

YES

These questions must be completed as soon as it becomes clear that the funding will be approved. Postdoctoral Research Scholar/Fellow. If the determination is made that the opening is for a Postdoctoral Research Scholar, the checklist should be forwarded to HR, along with a copy of the appointment letter. Further steps to consider include the following. Please contact the appropriate campus offices to ensure compliance with the most current procedures. a. If the Scholar is not a US Citizen or Permanent Resident, please contact the International Students and Scholars Services Office. http://www.rpi.edu/dept/doso/ISSS/public_html/ Scholars who are non-citizens who will not be Employees are not eligible to be sponsored for an H-1b Visa. b. If the Scholar is a US Citizen or Permanent Resident: Use the Guest ID Form for Parking, ID and RCS purposes; and Use a Direct Pay form to process stipends.

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Postdoctoral Research Associate If the determination is made that the opening is for a Postdoctoral Research Associate, the completed checklist should be forwarded to HR at the time an invitation is made. Postdoctoral Research Associates are considered employees, and are subject to Affirmative Action procedures. The PI is responsible for ensuring that Affirmative Action requirements are met by following one of two sets of procedures: A. Search Waiver. If the funder specifies a particular individual, or if the requirements for the position are specialized to the extent that the creation of a viable candidate pool would create an excessive delay, a Postdoctoral Research Associate Search Waiver Request must be submitted to the Division of Human Resources. The following information shall be included in the Search Waiver Request. (Please see Policy 200.8, Exclusions to the Search Process, for information about what to include in a waiver.) A copy of the appointment letter, including statement that the invitation is contingent upon documented work authorization; The Employment Transaction Form, approved by the Dean/Provost or VP for Research; The completed checklist identifying the opening as a Postdoctoral Research Associate; and. A current curriculum vitae.

The Division of Human Resources will notify the Principal Investigator whether the Search Waiver is approved within 3 business days of receipt. Upon approval, the PI will contact the candidate to make a verbal invitation, and will send the approved invitation letter. The PI will immediately advise HR when the invitation is made. HR will contact the Postdoctoral Research Associate to schedule a New Employee Orientation and to arrange the collection of new hire paperwork and work authorization documents. B. Search. If a search will be required to find qualified candidates for the position, the PI shall initiate the search as soon as it becomes clear that funding will be approved, using the Position Approval process described in section 200.1. Recruitment External Advertising. The PI is expected to identify and use recruiting channels that will ensure a diverse pool of qualified candidates. The PI may write advertisements for vacant Postdoctoral Research Associate positions. The Division of Human Resources must approve the wording

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of any advertisement before placement. All advertising must be in accordance with Rensselaers equal employment opportunity policy. At the request of the PI, The Division of Human Resources reviews requests to place classified and display advertisements for postdoctoral vacancies in selected trade or professional journals and on appropriate on-line professional or job search websites. If necessary, the advertisement may be repeated. The Division of Human Resources manages the central advertising budget. Requests to advertise that exceed the budget may be considered if they will be charged back to the hiring Departments budget. Applicants and Interviewing. The PI shall receive applications and CVs, screen the applicants, and interview qualified candidates. All interviews will be conducted in accordance with Policy 200.9 Interviewing Procedures. Applications and resumes/CVs are to be retained by the department for two (2) years after the appointment date, unless longer retention is required for the purpose of documenting an immigration file. Making an Invitation. When the PI has identified an appropriate candidate, a Postdoctoral Research Associate Affirmative Action Form must be submitted to the Division of Human Resources. The following information must be included in the with the Affirmative Action form: A list of the applicants and their curriculum vitae; A summary of the gender and ethnicity of the candidate pool; A copy of the appointment letter, including statement that the invitation is contingent upon documented work authorization; and, An Employment Transaction Form, approved by the Dean/Provost or VP for Research, as well as the Budget office; and,

The Division of Human Resources will notify the PI whether the Affirmative Action recommendation is approved. The PI will contact the Postdoctoral Research Associate, make a verbal invitation, and send the candidate the approved invitation letter. The PI will immediately advise HR when the invitation is made. HR will contact the Postdoctoral Research Associate to schedule a New Employee Orientation and to arrange for the collection of new hire paperwork and work authorization documents.

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200.8

Exclusions to the Search Process

Purpose This policy will establish which positions do not require a search process. Policy Certain positions are excluded from the requirements of Job Posting for internal searches or external searches. Procedure Positions that do not require a search process include the following: Fixed-term and temporary faculty, staff and research and instructional employees with cumulative appointments of less than 12 months. Additional exceptions to the search process include the following: A position need not be advertised more than once every 90 days. Should a vacancy occur in the same title in the same department within 90 days of the date of the original advertising, it may be filled by a candidate who applied for the original position with approval from Human Resources. Reorganization. A re-organization realigns responsibilities within a department or division. Reorganizations must be approved by the relevant cabinet member, the Vice President for Human Resources, and the President, as appropriate. Acting Positions. Acting positions or temporary assignments are excluded from the search process. If the position is vacant, individuals in acting titles may apply for the vacant position. When a vacancy occurs in a key position, the appropriate cabinet member may choose to appoint an employee to act in a capacity necessitated by the vacancy while a search is conducted. The acting appointment may last until the search is concluded. The individual who is fulfilling the acting duties may be compensated at a higher salary at the discretion of, and with the approval of, the relevant cabinet member and the Vice President for Human Resources. All acting appointments must be approved by the cabinet member responsible for that division or school.

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Internal Filling of Vacancies. A position may be filled without a search in the following circumstances: The appointment is to a vacant position for an employee, other than faculty, identified for termination due to a reduction in force. The appointment is to fill a special project need. Normally, a special project is defined as an assignment that will not exceed one year. The decision to fill a position without a search must be consistent with Rensselaers Affirmative Action Program goals as mandated by federal regulations. On the basis of Rensselaers utilization analysis, Human Resources will determine if the department may fill the position without a search. Emeriti. A department may hire an active Emeritus/a with the signature of the relevant Dean and Human Resources on the Employment Transaction Form if the following conditions are met: The commitment is for less than $10,000 per year of $5,000 per semester. A copy of the Transaction Form is to be sent to the Provosts office from the department. This will fulfill the requirement of informing the Board of active Emeriti. No signature from the Provost will be required nor will an invitation letter be needed. NOTE: there is no change to the process of granting emeritus status. Search Waiver. Departments may request a waiver from internal and external searches through completion and approval of a Search Waiver. The request must include the reason such a waiver is being requested, a statement of the proposed employees qualifications, and the proposed action to fill the vacancy. The request for search waiver will be reviewed by the Vice President for Human Resources or his designee. If approved, the proposed action to fill the vacancy must be coordinated through the Division of Human Resources. Other. Other occasions when a position need not be posted or advertised, with the approval of the hiring supervisor and Human Resources include the following: When Rensselaer has an obligation to provide a position to a person who has returned from special assignment or an

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approved leave of absence; When, through job re-evaluation, the job title and/or level of a position is changed to properly reflect the duties of the position; When temporary jobs are filled; and When the President, Vice President for Human Resources, or Affirmative Action Advisor to the President has the authority to grant an exception to the search process for business necessity or affirmative action reasons.

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200.9

Interviewing Procedures

Purpose To provide information regarding proper steps to be followed when selecting new employees. Policy Rensselaer is committed to hiring the most qualified employees without regard to race, color, age, religion, national origin, gender, sexual orientation, veterans status or disability. Accordingly, managers, supervisors, search committees and any other personnel involved in interviewing or communicating with job applicants should follow these interviewing procedures and avoid any form of unlawful discrimination, even if unintentional. Procedure Preliminary Activities. A representative from the Division of Human Resources generally conducts an initial review of all application materials and, if necessary, initial screening interviews on site or over the telephone. The purpose of this initial screening is to select individuals with at least the minimum qualification for the job. The resumes of those individuals are forwarded to the hiring manager who selects individuals for interviews. The hiring manager contacts individuals selected and schedules interviews at a mutually convenient time. In preparation for an interview, the hiring manager should assemble: The candidates resume and any references the candidate has provided; The current Performance Management Tool for the position being filled (NOTE: PMTs must be in writing and up-todate before a job is posted or advertised and before any interviewing can begin); and A list of all job-related questions that all applicants are asked to be made available to the Division of Human Resources prior to the commencement of the first interview. Accommodating Individuals with Disabilities. Rensselaer provides individuals with disabilities the reasonable accommodations necessary to participate in the interview process. Reasonable accommodations might include a sign language interpreter, written rather than oral responses, large print or Braille material, or an accessible location. Interviews should be held in offices or conference rooms that are private and easily accessible to individuals with disabilities.

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Conducting the Interview. Applicants are told to report to the Division of Human Resources or designated location at the time of their scheduled interview. The hiring manager and all parties participating in the interviews should attend interview training provided by the Division of Human Resources and observe the following guidelines when conducting an interview: Welcome the applicant. Put the applicant at ease. While some interviews might begin with small talkfor example, the weather or trafficsupervisors must avoid straying into subject such as marital or family status, religion, the state of the applicants health, or any other area not related to jobrelated criteria and an individuals ability to perform the essential functions of the position. Applicants should never be asked to provide a photograph. Outline the interview. Let the applicant know how the interview will be structured and any time limits. Describe the job clearly. Go over the Performance Management Tool. Give details about job duties, required skills, working conditions, hours, compensation and benefits. Do not hesitate to politely bring the interview to a close if the applicant is not willing to accept the salary or if he or she clearly and admittedly does not have the demonstrated experience needed to perform the job. Ask questions. All questions asked during the interview must be relevant to the performance of the job. Keep questions focused on the job description and the skill sets necessary to perform essential job functions. Listen. A common mistake made by interviewers is to dominate the discussion. Let the applicant talk. Answer the applicants questions. Applicants should be invited to ask any questions they have about the position or Rensselaer. Close the interview properly. Thank the applicant. Do not make any representations or promises other than that Rensselaer will notify both successful and unsuccessful applicants. Give a conservative estimate as to when a hiring decision will be made, since hiring decisions sometimes take longer than initially anticipated.

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Record information contemporaneously. Write down the specific facts learned about the applicants qualifications. At the conclusion of the search, for each applicant, complete an Applicant Evaluation Form, attach it to the individuals application, and return both to the Division of Human Resources for the search file.

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200.10

Employment of Relatives

Purpose To identify rules restricting the employment of relatives. Definition For purposes of this policy, a relative is defined as a spouse, natural, step or adoptive parent, brother, sister, son, daughter, grandparent or in-law in the same identified relationships, or any individual with whom an employee or faculty member has a close personal relationship, such as a domestic partner, co-habitant, or significant other. Policy Relatives of a currently employed worker generally are considered for employment on the basis of their qualifications. However, where the hiring of employment of a workers relative would result in the types of prohibited employment relationships identified below, the company will not consider or accept such applications for employment. Procedure Prohibited Employment Relationships. The hiring of relatives is prohibited if the employment of such an individual would result in the creation of: A supervisor/subordinate relationship between a relative and an employee or faculty member. If a direct supervisory or managerial relationship would be established, relatives of a currently employed worker cannot be considered as applicants for an open position. An actual conflict of interest or the appearance of a conflict of interest. Generally, this bars the hiring or employment of an employees or faculty members relatives in any position that has an auditing or control relationship to the employees job. Marriages or Relationships Between Employees. Faculty members and/or employees who marry or establish a close personal relationship can continue in their current positions as long as a prohibited employment relationship is not created. If one of the prohibited situations does occur, attempts will be made to find another position within the Institute to which one of the employees can transfer. All practical efforts will be made to arrange such a transfer at the earliest possible time. If accommodations of this nature are not feasible, the employees will be permitted to determine which of them will resign.

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Covered Employment Classifications. This policy applies to hiring and employment decisions affecting all job classifications, including regular, fixed-term, temporary, part-time, agency and seasonal positions. These restrictions also are applicable when assigning, transferring, or promoting a faculty member or employee. Enforcement of Policy. All questions and issues relating to an employment of relatives situation or concern should be addressed to the Vice President for Human Resources or his designee. Faculty and employees who become subject to this policys provisions due to marriage or commencement of a close personal relationship must inform their supervisor or the Vice President for Human Resources or his designee, as soon as practical. All decisions and personnel actions taken as a result of this policy must be reviewed and approved by the Vice President for Human Resources or his designee.

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200.11

Physical and Medical ExaminationsPost Invitation

Purpose To assure placement of selected employees in work that matches their physical abilities without hazard to themselves or others. Policy For designated positions, Rensselaer or its designee will conduct a physical examination of an applicant who has been invited to accept a position. Employment is contingent upon the individual passing the physical examination conducted by Rensselaers Medical Contractor or designee. The physical examination serves to achieve a variety of objectives, including: Ensuring that job candidates, at the post-invitation stage, have the necessary physical attributes to perform the jobs essential functions in a safe and effective manner; Screen out current users of illegal drugs or other substance abusers whose presence on the job would create safety or health risks to themselves or others; and Identify information concerning medical conditions present at the start of employment that might be useful or required with respect to workers compensation second injury coverage or subsequent workers compensation claims proceedings. Procedure In reviewing applicants qualifications for certain positions and ensuring that currently employed workers are fit and capable of performing the essential functions of their positions, Rensselaer requires designated applicants who accept an invitation of employment by Rensselaer to undergo physical examinations, which can include drug tests. The general purpose of these examinations is to determine whether the individuals being tested are physically able to perform the essential functions of the job in question without creating a significant threat to the safety or well-being of themselves, other employees, or members of the public. All of these examinations and tests are conducted on a nondiscriminatory basis and in conformance with the requirement of the Americans with Disabilities Act and other federal, state, and local laws guaranteeing fair treatment and equal employment opportunity to individuals with disabilities and members of other protected groups.

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Physical Examination Requirements for Job Applicants. Designated applicants who accept an invitation of employment are required to undergo a post-invitation physical examination that evaluates their fitness and ability to perform the essential functions of the positions for which they are being considered. A drug test designed to detect the use of illegal drugs or the improper use of legal drugs is a standard part of these required examinations. All conditional invitations of employment extended to candidates who are asked to undergo a physical examination, including a drug test, are contingent on satisfactory completion of this requirement within the scheduled time period. Physical Examination Requirements for Current Employees. In certain situations, Rensselaer can require current employees to undergo a physical examination or drug test that evaluates their fitness for duty and ability to perform the essential functions of their position. Examples of the situations in which current employees might be asked to undergo a physical examination and/or drug test include: a return to duty after a work-related accident or following an extended leave of absence of three months or longer; or, involvement in a work-related accident that results in measurable or reportable damage or harm to persons or property; or, a transfer or promotion to a safety-sensitive or physically demanding job; or a formal request by a supervisor or manager based on that individuals documented observation or reasonable suspicion of an impairment related to substance abuse or a medical condition. A failure to satisfactorily complete a required physical examination, including any required drug test, is grounds for discipline, up to and including discharge.

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Physical Examination and Test Procedures. All physical and medical examinations required by Rensselaer focus on measuring or evaluating those physical abilities and factors that are needed for an individual to safely perform the jobs essential duties. Rensselaer pays all costs of physical examinations, including drug tests, required of applicants and employees. Rensselaer attempts to arrange for reasonable accommodations when an applicant or employee makes a request regarding his/her need to take a required physical examination or test. All examinations and tests are scheduled by the Division of Human Resources and conducted by physicians, medical or specially trained personnel, or testing laboratories selected by Rensselaer. Results of these examinations or tests are reported to Rensselaers designated medical representative or the Vice President for Human Resources (or his/her designee). The Vice President for Human Resources or his/her designee, in consultation with Rensselaers designated medical representative, is responsible for determining whether an applicant has satisfactorily completed the required examinations or tests and whether the examination or test results demonstrate the individuals ability to perform the essential functions of the job safely, with or without a reasonable accommodation. Consent and Release Forms. All applicants and employees who are required to undergo a physical examination, including a drug test, are asked to sign a form consenting to the release to Rensselaer of all medical information from their examination or medical records that is related to their fitness or ability to perform the essential functions of the job in question. Confidentiality of Medical Information and Test Results. Rensselaer takes all necessary steps to safeguard the confidentiality of all medical information, including physical examination and test results, relating to any applicant or employee required to submit to an employment-related physical or medical examination or drug or alcohol test. Any and all records containing medical information about an applicant or current or former employees are maintained by the Division of Human Resources separate and apart from the organizations general personnel or human resource files. Access to medical information in these separate files is granted by the the Division of Human Resources only to individuals with a valid and documented need to know. In such cases, the Division of Human Resources grants access to only as much information as is needed to satisfy the individuals specific need for information from the medical information file.

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200.12

Reference and Background Checks

Purpose To ensure the accuracy of information supplied by a candidate in an employment application, resume, or job interview. Policy As part of evaluating internal and external applicants qualifications and determining their suitability for open positions, Rensselaer requires all applicants for employment to supply references from their former employers, as well as educational reference information that can be used to verify academic accomplishments and records. Procedure Employment References. To be considered a qualified applicant, all candidates for positions with Rensselaer must provide the names, addresses, telephone number and, where possible, the name of a supervisor or contact person for the last three places of employment. Job candidates should be made aware that Rensselaers evaluation of their qualifications and suitability for employment normally includes contacting these employment references to verify information provided in application forms, interviews, or resumes. Academic References. In evaluating each candidates suitability for employment, Rensselaer also might contact schools and educational institutions listed by the applicant. Applicants should provide names, addresses and telephone numbers of educational institutions listed. Reference and Background Checks: Purpose and Method. Information obtained from references is used only to: (1) verify the accuracy of employment or academic information provided by applicants; and (2) identify job-related accomplishments, skills, abilities, and characteristics that help establish the applicants qualifications and suitability for the position in question. Reference checks normally are conducted by telephone, mail correspondence, or a combination of the two processes. However, for certain positions, such as those involving financial or security matters, Rensselaer might use personal interviews, conducted by a Rensselaer representative or a third-party agency (see Use of Outside Reporting Agencies below). Confidentiality of Reference and Background Information. All information obtained from any of the sources listed by job applicants is kept strictly confidential by Rensselaer. No employee, supervisor, or management official of Rensselaer has access to such information without demonstrating a clear and compelling need for the

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information. Use of Outside Reporting Agencies. For certain jobs, such as those involving security responsibilities or significant financial accountability, Rensselaer can request a consumer reporting agency to prepare an investigative consumer report on the applicant. These reports typically include information about an individuals character, reputation, and mode of living. This information is obtained through personal interviews with the applicants neighbors, acquaintances, associates, and friends. In cases where an investigative report is requested, Rensselaer notifies the applicant within three days of requesting the report and honors requests from the applicant for additional information about the nature of the agencys investigation and report. Signing of Release Forms. All applicants must sign various authorization and release forms authorizing the release of information by former employers, educational institutions or other organizations contacted by Rensselaer as part of the reference and background checking process. A refusal to sign such a release form normally eliminates the applicant from further consideration for employment. Penalties for Inaccurate or Fraudulent Information. Any applicant who provides misleading, erroneous, or willfully deceptive information to Rensselaer on an employment form or resume or in a selection interview is immediately eliminated from further consideration for employment. Depending on the significance of the inaccurate information, the applicant might be offered an opportunity to explain or respond to the information.

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200.13

Immigration Reform and Control Act Requirements

Purpose To establish employment eligibility procedures for all new hires. Policy Rensselaer is committed to meeting its obligations under U.S. immigration law. Accordingly, Rensselaer neither hires nor continues to employ any individual who is not legally authorized to work in the United States. Moreover, Rensselaer does not discriminate on the basis of citizenship status or national origin in recruitment, hiring, or discharge. This policy applies to all employees, including staff, faculty, research professionals, and members of the Presidents Cabinet. Procedure Employment Eligibility Verification Procedures. The Division of Human Resources is responsible for implementing, administering, and reviewing procedures necessary to comply with the employment eligibility verification and nondiscrimination requirements of the Immigration Reform and Control Act (IRCA), as amended. The Division of Human Resources requires that all new employees: Complete and sign the employees portion of Form I-9, Employment Eligibility Verification; and Present original documentation supporting the employees identity and employment eligibility. Employees must complete the employee section of Form I-9 on the day they begin work and provide the required supporting documentation within three business days of starting work. If an employee is authorized to work, but is unable to provide the required document(s), the employee can, under certain circumstances as defined by the applicable regulating agency, present a Human Resources representative with a receipt for an application for the necessary document(s). If the document was lost, stolen, or damaged, the individual must present a receipt for a replacement within three business days of hire and present the actual replacement document within 90 days of hire or, in the case of re-verification, by the date that the employment authorization expires. An employees failure to produce required documentation within allotted time periods is grounds for immediate separation from employment. Resumption of employment can be considered only when the required documentation is furnished.

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The Vice President for Human Resources arranges for a periodic audit of I-9 Forms on file to ensure that the employees of the Division of Human Resources are complying with employment eligibility verification requirements. Expiration of Work Authorization. It is the responsibility of the Division of Human Resources to identify expiration dates. The Division of Human Resources notifies the employee of the need for the employee to show that his or her authorization to work in the United States has been renewed. Human Resources then must update an employees Form I-9 to show the employees renewed authorization to work and complete with appropriate signatures. An employees failure to provide proof of his or her renewed authorization to work prior to the expiration of the authorization documented on the employees Form I-9 results in the immediate the termination of the employee. Upon the expiration of an Employment Authorization Document, the employee is not eligible to continue working until the new document (or receipt, where allowed by law) is obtained. Nondiscrimination. Supervisors, Human Resources employees, hiring personnel, and other employees and agents of Rensselaer are prohibited from discriminating against an applicant or employee based on national origin, citizenship status or status as a legal immigrant. Hiring personnel should never infer from an individuals appearance or accent that he or she is not authorized to work in the United States. Human Resource representatives and any other employees involved in the hiring process are prohibited from asking employees for any specific document; the employee must decide which document(s) to present from those listed on Form I-9 as acceptable for purposes of verifying an employees identity and employment eligibility. Human Resource representatives and any other hiring personnel cannot refuse to honor tendered documents that, on their face, reasonably appear to be genuine and relate to the employee in question. Any employee found to have engaged in illegal discrimination is subject to discipline, up to and including termination of employment. Recordkeeping. A copy of each employees I-9 Form is retained by the Division of Human Resources the entire time that each employee is employed by Rensselaer. When an employee transfers within Rensselaers organization to another physically separate location (e.g., Troy to Hartford or vice

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versa), the employees I-9 Form and copies of supporting documentation must remain with the Division of Human Resources. Reemployment. If a terminated employee is reemployed within three years of initially completing an I-9 Form, the Division of Human Resources is responsible for updating and verifying the information on the Form, in accordance with applicable regulations. Invitations of Employment. If invitations of employment are contingent upon the employee obtaining and maintain satisfactory authorization to work in the United States.

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200.14

New Hire Orientation

Purpose To ensure that new hires are welcomed and provided with accurate information relevant to his/her employment at Rensselaer. Policy All new benefits eligible Rensselaer employees are required to attend a new hire orientation program designed to make new hires: feel welcome and at ease in their new work environment; learn about Rensselaers employment, benefits, and payroll requirements; and complete other on-boarding activities. Procedure General Objectives of Orientation Program. Rensselaers orientation program is designed to help new hires feel welcome and inform them of what Rensselaer offers, and what performance and behavior standards it expects. Scheduling New Employee to Orientation. New employees should be scheduled for new employee orientation within two weeks of hire. The orientation date will be included in the letter of invitation of employment. A copy of the invitation letter will be sent to the hiring manager. If the new employee has started work before the scheduled orientation date, it is the hiring managers responsibility to make sure the employee attends the orientation program on the scheduled date. General Orientation Procedures. Rensselaers general orientation program is divided into three parts: 1. Introduction to the Rensselaer Community. New hires are provided with information on Rensselaers history, values, services, customers, and other programs. Presenters from various departments will talk about how their area supports employees either in the performance of their job duties, or for the employee personally. 2. Human Resource Policies, Procedures and Benefits. Employees will receive their Employee Handbook, Benefit Guide and enrollment materials, and investment election packets. Information will be presented on each of these, and employees will have an opportunity to ask questions and complete all necessary forms. Rensselaers strong commitment to equal employment opportunity is also emphasized. 3. Tour of Campus. Employees may be given a tour of the Rensselaer campus.

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Department Orientation. The new hires supervisor is responsible for welcoming the employee to his/her area and explaining specific job or department duties, procedures and responsibilities. The Department Orientation Checklist may be used as a guide by supervisors. Orientation Program Responsibilities. Orientation responsibilities are shared between the new hires supervisor and the Division of Human Resources. New Employee Responsibilities. On both the first and subsequent days of employment, newly hired employees are required to complete and turn in a number of employment-related forms and official documents. All new hires are expected to promptly and accurately complete these forms and records. Failure to meet required enrollment deadlines may result in ineligibility for certain benefits and/or delay in enrollment. Failure to complete certain mandated forms and/or provide documentation on a timely basis, may result in suspension of employment. Throughout the orientation period, all new employees are encouraged to ask questions and seek guidance on any procedures, subjects, or issues affecting their job or employment relationships.

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300.1

Employee Classifications

Purpose Proper classification of employees, including faculty and staff is important in administering salaries, determining eligibility under Rensselaer Polytechnic Institutes employee benefit plans and complying with employment and tax laws. Definition Employee. An individual in an employment situation in which the employer has the right to control and direct the individual with regard to the result to be accomplished and the process by which the result is accomplished. Employee also includes faculty as well. Policy Rensselaer offers regular, fixed-term, and temporary employment opportunities, on a full-time or part-time basis, to meet a variety of staffing requirements, and accommodate employee needs and preferences. Rensselaer also uses agency employees and contract workers to respond flexibly to changing staffing requirements. All employeeswhether regular, fixed-term, or temporary on a fulltime or part-time basis - are classified as exempt or nonexempt in accordance with the Fair Labor Standards Act (FLSA). This policy applies to all employees including staff, faculty, research employees, and members of the Presidents Cabinet. Procedure Basic Employee Classifications. Basic employee classifications consist of regular workforce and contingent workforce, and are defined as follows: REGULAR WORKFORCE Full-time regular employees are employees hired to regularly work 40 hours per week, or a minimum of 1560 hours (.75 FTE) on a continuing basis. Full-time regular employees can be exempt or nonexempt (see below). Regular full-time faculty is scheduled to work a minimum of 1440 hours (.75 FTE) per academic calendar year on a continuing basis. Part-time regular employees are employees hired to regularly work fewer than 40 hours per week, or less than 1560 (<.75 FTE) per year on a continuing basis. Part-time employees can be exempt or nonexempt. Regular part-time faculty are scheduled to work less than 1440 hours (<.75 FTE) per academic calendar year on a continuing basis. Employees with any questions about their benefits eligibility should contact the Division of Human Resources.

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CONTINGENT WORKFORCE Fixed-term employees are part-time or full-time faculty and/or research and staff employees hired by Rensselaer to work for the duration of specific projects or assignments. Fixed-term assignments generally do not extend beyond a 12-month period, unless approved by Rensselaers Vice President for Human Resources or his designee. Fixed-term employees can be exempt or nonexempt. Temporary employees are part-time or full-time employees hired by Rensselaer to work for the duration of specific projects or assignments. Temporary assignments generally do not extend beyond a six-month period, unless approved by Rensselaers Vice President for Human Resources or his designee. Temporary employees can be exempt or nonexempt. Exempt employees are not subject to federal and state overtime requirements. An employee is exempt if determined to be an executive, administrative, or professional employee or outside sales representative as defined by the Fair Labor Standards Act. Nonexempt employees are entitled to overtime pay of at least one-and-one-half times their regular rate for hours worked in excess of 40 in any workweek. Any employee who is not classified as exempt is nonexempt. New positions are classified as part of Rensselaers position approval process. Supervisors who believe a position is misclassified may contact the Division of Human Resources Employees jobs are also reviewed for reclassification any time their Performance Management Tools are modified. The Division of Human Resources is responsible for informing new hires of their: Employment classification; Eligibility under Rensselaers employee benefit plans; and Exempt or nonexempt status. Such information is also communicated to employees on their acceptance of a new position within Rensselaer and when necessary due to a change in employment statusfor example, changing from full-time to part-time status. Employees with any questions about their employment classification, benefits eligibility, or exemption status, or who believe their position

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has been misclassified, should contact the Division of Human Resources.

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300.2

Independent Contractors or Consultants

Purpose To set forth the procedure to determine whether an individual providing services to Rensselaer is an employee or an independent contractor, or is eligible to receive an honorarium or stipend; and to determine the payment method for an individual(s) who performs services for the Institute. Definition Independent Contractor or Consultant. A hired individual or entity which the employer has the right to control and direct the individual with regard to the result to be accomplished but not the process by which the result is accomplished. Such individuals and entities are engaged in the pursuit of an independent trade, business, or profession in which they offer their services to the public. Policy Prior to engaging the services of any individual or entity as an independent contractor, the hiring department must follow Procurement procedures to obtain Division of Human Resources determination of the proper work status of that individual or entity as an independent contractor or consultant. Procedure The hiring department must initiate a purchase requisition using the on-line purchasing system. The hiring department must complete and attach an Internal Revenue Service questionnaire; a detailed description of the services to be performed by the independent contractor or consultant, including how long such services will be needed and whether other individuals are currently providing (or have provided) such services; and a contract. The questionnaire, the contract, and description of work are to be submitted using the online purchase requisition process to the Division of Human Resources for approval, prior to approval by the Purchasing Department. After reviewing the information provided, the Division of Human Resources will communicate the approval, rejection, or request for additional information from the hiring department in accordance with Purchasing procedures. If the individual is considered to be an employee, the Division of Human Resources will notify the hiring supervisor to follow the regular search process. The Division of Human Resources will facilitate that action.

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300.3

Volunteers and Unpaid Interns

Policy Rensselaer will maximize the benefits of the volunteer or internship experience and ensure compliance with applicable federal, state, and local laws, and will distinguish uncompensated volunteers/interns/trainees from employees. Definitions Volunteer One who performs services: (1) for civic, charitable or humanitarian reasons; or (2) for a personal purpose or pleasure; or (3) to gain employment contacts or a practical work experience. A volunteer performs services without promise, expectation, or receipt of compensation and without any coercion or pressure from Rensselaer as the employer. Intern One who, as part of an academic program: (1) performs services primarily for his or her own training benefit; (2) does not displace a regular employee; (3) produces little or nothing of value for the employer; (4) understands that he or she is not entitled to a wage for the period of training; and (5) is not entitled to a position when the training ends. Procedure Departments wishing to engage an intern or volunteer should compose and submit to the Division of Human Resources a request that includes a description of the individual's duties and responsibilities so that there is no misunderstanding over whether the service he or she is performing is compensable under the Fair Labor Standards Act. The description must contain start and end dates. The description should fall clearly within the definition of volunteer, intern, or trainee. For an intern, the description of responsibilities should emphasize the academic nature of the relationship so that it is clear that critical business work or "bona fide" work is not being assigned to the intern. The Division of Human Resources will review and approve the request, if appropriate. The Department will provide the description to the individual, and will work with the appropriate offices to secure a visitor ID. Departments should not assign duties to these individuals that would normally be performed by an employee. Such assignments may require compensation under the Fair Labor Standards Act. Current Rensselaer Employees: Non-exempt Rensselaer employees must be paid in accordance with the provisions of the Fair Labor 300 - 5

Standards Act for all work performed, and may not serve as volunteers. Athletics: The Division of Student Life is responsible for ensuring that Athletic volunteers comply with applicable NCAA regulations. Foreign Nationals Foreign Nationals may not perform work, paid or unpaid, under any circumstance. Foreign Nationals may participate in an unpaid training program, as a part of a formal academic program, provided that all of the following conditions are met: performs services primarily for his or her own benefit; does not displace a regular employee produces little or nothing of value for the employer understands that he or she is not entitled to a wage for the period of training is not entitled to a position when the training ends.

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300.4

Initial Period of Employment

Purpose To define the initial employment period at Rensselaer for new employees and employees in new positions. Policy Exempt Employees Regular, temporary and fixed-term exempt employees, both parttime and full-time, undergo an initial period of evaluation during the first six (6) months of employment in any new position. During this period, exempt employees accrue, but are not eligible to use PTO leave. Nonexempt Employees Regular and temporary nonexempt employees, both part-time and full-time, undergo an initial period of evaluation during the first three (3) months of employment in any new position. During this period, nonexempt employees accrue, but are not eligible to use PTO leave. Procedure The initial period of employment is a time during which employees receive extra feedback while they learn a new job. After completing the initial period of employment, an employee gains the same rights and benefits as other employees, including access to the peer review appeals process, consideration for transfer to other positions, and use of accrued leave. PTO leave accruals begin with the date of hire, but PTO leave will not be available until completion of the initial period of employment. All exceptions must be reviewed and approved through the Vice President for Human Resources or his designee. During and after the initial period of employment Rensselaer preserves an at-will employment relationship with employeesthat is, an employment relationship that either the employer or the employee can terminate at any time and for any reason. A management decision to terminate employment during this period must be reviewed and approved by the Division of Human Resources.

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300.5

Promotion

Purpose To clarify pay adjustments that may apply to promotions. Policy Rensselaer Polytechnic Institute supports career growth and promotion from within whenever possible. All promotions are based on a comparative review of interested applicants qualifications, ability, aptitude, and quality of past work performance. Only jobrelated factors are considered. In all its selection and employment processes, including promotion decisions, Rensselaer makes every effort to ensure all individuals equal employment opportunity. This means that all promotion decisions are made without discrimination on the basis of race, color, religion, sex, sexual orientation, martial status, creed, age, national origin, citizenship status, disability or veterans status. Procedure Initial period of employment requirements. The hiring supervisor negotiates a start date for the successful applicant with the applicants current supervisor. The successful applicant is in an initial period of employment status to evaluate performance ability in the new position for three months if nonexempt and six months if exempt. During this time, the supervisor provides a written performance evaluation after three months, or, if applicable, six months on the job. At any time during the initial period of employment, the supervisor can determine that the employee is not succeeding in the position and terminate the employment. Employees who do not successfully complete the initial period of employment have no rights to return to his/her former position. Employees promoted to another position are permitted to use accrued PTO leave with the approval of the new department or unit. Pay rates upon promotion. Successful applicants are paid at the starting rate for the level of the job they are promoted to. If the employee already earns a higher rate than the starting rate of the new level, the employee may receive an increase of 5 to 15 percent of his/her current basic rate of pay.

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300.6

Transfers: Voluntary and Involuntary

Purpose To identify procedures under which an employee makes a transfer between departments or divisions, either voluntarily or involuntarily. Policy Employees are allowed to transfer laterally between departments or divisions for personal or professional reasons. On occasion, it is necessary to transfer employees involuntarily to different jobs in order to cover staffing shortfalls, respond to a surge in demand, or otherwise maintain efficient operations. These transfers can be temporary or permanent. Procedure Voluntary transfers. Employees may apply for positions that are posted through the normal application process. (See HR Policy 200.3.) Evaluation and selection procedures. The Division of Human Resources screens all applications for minimum qualifications. If there is an assessment for the position, Human Resources schedules qualified applications for the assessments. All internal applicants meeting the minimum initial qualifications are referred to the hiring manager. The hiring manager sends an invitation of employment to the applicant whom the hiring manager deems the best qualified, based on consideration of all factors. Initial period of employment requirements. The hiring supervisor negotiates a start date for the successful applicant with the applicants current supervisor. The successful applicant is in an initial employment status in the new position for three months if nonexempt and six months if exempt. During this time, the supervisor provides a written performance evaluation after three months, or, if applicable, six months on the job. At any time during the initial period of employment, the supervisor can determine that the employee is not succeeding in the position and terminate the employment. Employees who do not successfully complete the initial period of employment have no rights to return to his/her former position. Pay adjustments for voluntary transfers. If a lateral transfer is made to a different department or division, but within the same level, the pay rate may remain the same. If a transfer is made to a lower level, the pay rate is reviewed and may be adjusted to the lower level.

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Involuntary transfers. From time to time, in order to cover staffing shortfalls, respond to a surge in demand, or otherwise maintain efficient operations, Rensselaer Polytechnic Institute may transfer employees, including transfer to a position in a lower level. Rensselaer attempts to accommodate the preferences of employees, but if no qualified employee is willing to accept a transfer, management reserves the right to make the decision based on business necessity. Involuntary transfers must be reviewed and approved by the Division of Human Resources. If an involuntary permanent transfer is made, the employee will receive a written performance evaluation after three months, or, if applicable, six months on the job. The employment relationship continues to be at-will. Pay adjustments for involuntary transfers. Rensselaer attempts to transfer employees to positions in the same level. If a temporary transfer to a lower-level position is required, the transferred employee keeps his or her rate of pay from the previous job. If a permanent transfer to a lower-level position is required for performance or disciplinary reasons, the transferred employees pay is adjusted. The new rate is the lower of the employees current rate or the highest rate on the lower levels range. If a permanent transfer to a lower-level position is required for other than performance or disciplinary reasons (see Demotions), the transferred employee generally keeps his or her rate of pay for six months; the pay rate then is adjusted to the lower of the employees current rate or the highest rate on the lower levels range. If an employee is temporarily transferred to a higher-level position, the employee is paid the greater of his or her current rate or the starting rate of the higher-level pay range for all work done at the higher-level position. Shift premiums. Employees regularly assigned to the second or third shift that are temporarily transferred to a shift paying no premium or a smaller premium are paid their regular shift premium for up to two weeks. Permanent transfers to a different shift are paid the applicable shift premium, if any, of the new assignment from the first day of the transfer. Employees transferred temporarily or permanently to a shift with a higher premium are paid the applicable shift premium for all work on the new shift. Layoffs or workforce reductions. When an operation or department is closed temporarily or permanently or otherwise reduced in size or scope, Rensselaer might be required to lay off or reassign affected workers. Rensselaer attempts to place affected employees in available positions through transfers, which generally are offered to qualified employees based on qualifications and business necessity.

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300.7

Demotions

Purpose To identify procedures under which an employee is placed in a lower classification due to performance or disciplinary action or department reorganization. Policy Employees may be moved to a position in a lower classification based on performance issues, as a result of disciplinary action, or because of business necessity. Reductions in pay may also occur as a result of a demotion. Demotions are a permanent change in employment status. Procedure Determination of demotion. Following counseling, performance evaluation, and/or disciplinary action, or in conjunction with a departmental reorganization, a Portfolio owner may demote an employee within his/her own Portfolio. Such demotion can only be made after consultation with the Vice President for Human Resources or his designee. Demotions may be made for performance reasons or as a result of business necessity within a department. Initial period of employment requirements. The employees performance in the new position will be evaluated after three months if nonexempt and six months if exempt including a written performance evaluation. As always, employment remains at-will. Pay adjustments. If an employee is demoted to a lower-level for performance or disciplinary reasons, the demoted employees pay is adjusted. If an employee is demoted to a lower level based on departmental reorganization, the demoted employee generally keeps his or her rate of pay for six months; after those six months, the employees pay rate will be adjusted downward within the lower levels pay range. Declination of demotion. An employee may decline a demotion and elect to resign from employment at Rensselaer. This resignation will be considered a voluntary resignation.

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400.1

Personnel Information and Employee Privacy

Purpose To identify procedures for releasing personnel information to outside persons and organizations. Policy In collecting, maintaining, and disclosing personnel information, Rensselaer makes every effort to protect the privacy rights and interests employees, including faculty, staff and members of the Presidents Cabinet, and prevent inappropriate or unnecessary disclosures of information from any employees file or record. While complying with its governmental reporting and recordkeeping requirements, Rensselaer strives to ensure that it handles all personal and job-related information about employees in a secure, confidential, and appropriate fashion. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Confidentiality of information. Rensselaer treats personal information about employees as confidential and respects the need for protecting each employees privacy by enforcing secure information handling procedures on the part of all personnel whose job duties involve gathering, retaining, using, or releasing personal information about the organizations employees. Rensselaer collects and retains only such personal information as it needs to effectively conduct business and administer its employment and benefit programs. Rensselaer takes all possible steps to make sure that all personal and job-related information about employees is accurate, complete, and relevant for its intended purpose. Wherever possible, Rensselaer notifies affected employees if it needs additional personal information and gives these employees an opportunity to supply the requested data. Security and storage of personnel records and medical information. All paper-based documents relating to Rensselaers personnel record system are kept in secure, locked files in the Division of Human Resources. These files are accessible only to authorized Division of Human Resource employees and/or executives, managers, and supervisors who have a valid, demonstrable business need to obtain specific information from an employees personnel record. Employees also are granted access to their personnel files and records in accordance with the access procedures outlined in HR Policy #400.3.

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All personnel files and records must remain in the Division of Human Resources at all times. If an individual with an authorized need to know requires copies of the information in an employees personnel file, the Division of Human Resources makes these copies available upon written request. All medical information relating to an employee is kept in a separate file maintained by the Division of Human Resources. Access to these medical files is tightly controlled. Ordinarily, medical information about an employee is supplied only to the workers designated physician in accordance with the workers written specific request. Questions or issues about the application or enforcement of these security measures should be addressed to the Vice President for Human Resources or designee. Internal disclosures and uses of personnel file information. All managers, supervisors, and other authorized employees of Rensselaer must request access in writing to the Division of Human Resources for recording all access to or reviews and receipt of personnel file information. When information from an employees personnel file is to be released or disclosed within the organization, Rensselaer may notify the employee of such disclosure if the Division of Human Resources views the disclosure as possibly intruding on the employees privacy. However, routine or ordinary employment procedures, including, but not limited to, performance appraisals, merit increase reviews, promotion and transfer consideration, and disciplinary investigations, normally are not subject to this notification procedure. Disclosure or release of employee information to government agencies. On occasion, Rensselaer must provide information and data from its personnel records and files to federal, state, and local government agencies in accordance with recordkeeping and reporting requirements imposed by such agencies. In instances where a government agency requests information beyond that which it normally requires, Rensselaer ordinarily advises the affected employee of the agencys information request. If, however, an agencys information request occurs in the course of an agency investigation or if an agency asks Rensselaer to keep such a request confidential, Rensselaer, at its discretion, can comply with the agencys request. Rensselaer ordinarily honors subpoenas demanding production of information with respect to any employee, but may advise an employee of the subpoena and nature of the information requested, unless otherwise prohibited by law.

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Disclosure or release of employee information to nongovernmental entities. In response to an information request from an outside organization, individual, or other nongovernmental entity, Rensselaer normally verifies only the employment status and dates of employment for former or present employees. Rensselaer does not provide any other information unless and until it has received from the worker or former employee a written authorization to disclose or confirm additional specific information, and a release from all potential liability related to this authorized disclosure. Employees are prohibited from disclosing Personal or Personnel information without the express written consent of the Division of Human Resources.

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400.2

References and External Requests for Employee Information

Purpose To establish standards and procedures in dealing with all external requests for employment information. Policy When replying to requests for information concerning current and former employees, information released will be accurate regarding an employees work history as shown in the official personnel records in the Division of Human Resources. It is important that any information that is released is true and made in good faith. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Any external request for employee information on current and former employees must be referred to the Division of Human Resources. REFERENCES. Rensselaer Polytechnic Institute discloses the following information when responding to requests from other employers regarding current and former employees: The individuals start and end dates of employment; Title of last position held; and, Verification of Wage and salary information provided to the other employer by the current or former worker. (Rensselaer will only confirm this information.) No other information is provided without a consent form signed by the current or former employee authorizing Rensselaer to release additional information from the individuals personnel records to the specifically named organization. To be acceptable, this consent form must indicate the general and specific types of information that can be released, and release Rensselaer from all potential liability related to the authorized disclosure. Authorized disclosures. The only individuals authorized to release any information about a current or former employee are the Vice President of Human Resources and the Vice Presidents designated representative(s). Executives, managers, or supervisors who wish to provide professional references for current or former employees must consult with a representative of the Division of Human Resources prior to providing such references. An inappropriate reference may create a legal issue for the individual providing the reference as well as for the Institute.

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OTHER INFORMATION DISCLOSURES. To obtain disclosure of any other information, a former or current employee must submit a request to the Division of Human Resources, specifying the type of disclosure they are seeking and the identity of the organization authorized to receive the information. The Division of Human Resources reviews and handles these requests on a case-by-case basis. Even with a consent form, the only information normally released is the individuals employment dates, most recent job title, and, where authorized, most recent pay rate and earnings information. Government requests for information. The only exception to the above procedures applies to information requests received by Rensselaer from federal, state, or local authorities, including officials and authorized representatives of the courts, as well as law enforcement and other government agencies. Rensselaer normally honors all such requests and provides the information sought in the form requested by the agency or official. Disclosure methods. Normally, the only telephone request for information that Rensselaer responds to is for verification of basic employment information about a former worker (for example, the individuals dates of employment and most recent job title.) All other requests for information about current or former employees must be handled through written correspondence or in a personal interview, and in all cases the former or current employee must have signed a consent form authorizing Rensselaer to release the information. Consent and release forms. Current employees who want Rensselaer to release information from the records or otherwise respond to an outside organizations information request should complete and sign a consent and release form from an external source which will only be accepted if it specifies the information to be released and specifically releases Rensselaer from any liability associated with the disclosure. Former employees who want Rensselaer to provide information beyond the categories specified above also must complete and sign a consent and release form before any such information will be released. To ensure the confidentiality of its records and protect each individuals privacy, Rensselaer normally does not release any information, beyond the specified categories, about former or current workers without a signed consent form.

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400.3

Employee Access to Personnel Files

Purpose This policy sets out the conditions under which active employees are permitted to review their own personnel records. Policy All active employees may request to see their personnel records once each year. The Vice President for Human Resources or his designee may approve exceptions under which employees can inspect their personnel records more frequently. Former employees do not have access to their personnel records. Personnel files and records are the property of Rensselaer. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Personnel records subject to review. Employees generally have access to the following types of records: Employment applications Personnel action forms, including those for hiring, promotions, salary changes, and job title changes Form I-9, Employment Eligibility Verification Form, and other documents related to employment eligibility Form W-4 and related tax withholding information Time cards and attendance records Performance appraisals Awards and commendations Accident reports Records on past and current workplace exposures to toxic substances and any related medical information in Rensselaers possession Warnings, reprimands, and other documents related to disciplinary actions (excluding documents prepared in connection with ongoing investigationssee below) Grievances filed by the employee Medical records (NOTE: At its discretion, Rensselaer can release medical records to a physician of the employees choosing rather than to the employee. Also, see below for information on excluded medical documents.) Workers compensation information, including claims, first notice of injury reports, and medical reports Fringe benefit enrollment and elections forms, including designation of beneficiary forms Pension and retirement enrollment and election forms Emergency contact information

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Biographical information Rensselaer retains documents in accordance with record retention requirements under federal and state law. After the expiration of the applicable retention period, the records are destroyed. Consequently, certain historical documents might not be available for review. Records exempt from review. The following types of documents are not part of an employees general personnel records and are generally not accessible to employees: Pre-employment reference information, including letters, telephone notes, and memoranda secured from the employees prior employers or persons who are not current employees of Rensselaer; Medical records created or obtained by Rensselaer that an employee can obtain directly from his or her physician or directly from a health care provider; Records relating to ongoing investigations of policy violations, prohibited conduct, or criminal offenses; Documents developed or prepared for use in grievance or court procedures; and, Documents related to employee planning or business planning, including management succession plans, management bonus plans, and job assignment plans. Access rights to personnel file information. All employees can review the information contained in their own personnel file, although Rensselaer reserves the right to remove certain sensitive documents. To prevent abuses of this access privilege, Rensselaer reserves the right to limit the number of times an employee can access his or her file to once during a 12-month period, unless an authorized exception is made. Employees wanting to inspect their personnel records must submit a written request to review their personnel file to the Division of Human Resources. Within five days of receiving an employees written request, the Division of Human Resources shall schedule an appointment during which the employee can review his or her file. All appointments are scheduled during regular business hours. All personnel record inspections take place in the Division of Human Resources in the presence of a Human Resources representative. The employee cannot remove any files from the Division of Human Resources.

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Copies. Employees can make handwritten notes to record information included in their personnel records. An employee can request photocopies of any documents that the employee previously had provided to Rensselaer or that had previously been provided to the employee. Copies of the documents are provided to the employee within a reasonable period of time after a request has been made. In the case of copy requests that are time consuming or involve an extensive number of documents, Rensselaer reserves the right to charge the employee a reasonable fee to cover its copying costs. Corrections. An employee can add a statement to qualify or counter information in their personnel files. Statements must be reviewed by the employees supervisor before being placed in the personnel file. Supervisory approval of an employees statement is not required as a condition of having the statement included in the employees file as long as the statement is factually based and directly relevant to the employees performance or employment qualifications. Accuracy of basic employee information. To ensure that Rensselaers personnel files are up-to-date and contain accurate, complete information, employees are asked to notify the Division of Human Resources of any changes that need to be made in the following categories: Name Telephone number Home address Marital status Number of dependents Beneficiary designations Scholastic achievements Individual to notify in case of an emergency

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500.1

General Policy on Employee Separations

Purpose To explain the separation process for voluntary resignations and terminations. Policy When an employee voluntarily resigns, to allow management time to begin the process to hire a replacement employee, Rensselaer asks that the resigning employee notify their immediate supervisor in writing in advance of his/her departure. All employees who are leaving their jobs with Rensselaer Polytechnic Institute for any reason are required to return all Rensselaer property to their supervisor or appropriate department personnel. Employees shall be responsible for all Institute property not returned. The employees supervisor is responsible for ensuring that all Rensselaer property has been turned in by the departing employee. Terminating employees may be asked to participate in an exit interview process. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Employee Responsibilities. When an employee resigns, to allow management time to begin the process to hire a replacement employee, it is suggested that the resigning employee notify their immediate supervisor in writing as follows: Non-exempt Exempt Director and above 2 Weeks Notice 3 Weeks Notice 4 Weeks Notice

In order to allow time to process pension requests, retiring employees should notify their supervisors and the Division of Human Resources, at least six weeks before their planned retirement date. Department Responsibilities. The employees supervisor should discuss the separation process with the departing employee including the requirement to return all Institute property. On or before the last day of employment the supervisor should reclaim the employees identification card, keys, Information Technology equipment, software, and any other property including research, data materials and equipment that may have not been previously returned. It is recommended that the supervisor complete the Department Section of the Separation Checklist when an employee

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terminates. Completed Checklists are to be signed and submitted to the Division of Human Resources. The employees supervisor is also responsible for originating an Employment Transaction Form terminating the employee. The Employment Transaction Form must also be submitted to Human Resources. Division of Human Resources Responsibilities. After requesting the Employment Transaction Form, Human Resources should authorize payment of the final paycheck. If submitted, Human Resources must complete the Human Resources Section of the Termination Checklist including providing information to the departing employee about group insurance conversion options and other pertinent employee benefit matters. Terminating employees may be invited to participate in an exit interview. Final Payments. Final payments include: Pay for work performed. Pay in lieu of unused PTO leave accrual in accordance with the PTO Program policy. For deceased employees, final pay will be calculated to the day of death. Final pay will be reduced by 1) required legal deductions; 2) authorized deductions; and 3) outstanding advance payment of wages in the form of money, credit or property. Final pay will be made in accordance with Policy #700.2, Pay Procedures, provided the department has been given time to process the Employment Transaction Form. Cessation of Benefits. The dates on which benefits coverage will stop following separation of employment are governed by the terms and conditions of employment, each insurance contract, and the requirements of the Consolidated Omnibus Budget Reconciliation Act (COBRA).

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500.2

Rehire Policy

Purpose To explain the conditions under which former employees will be considered for rehire. Policy Rensselaer Polytechnic Institute considers applications for vacancies from former employees. Former employees who were terminated for cause are not eligible for rehire. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Former employees may apply for posted positions by completing an Employment Application Form and completing all stages of the application process. When evaluating an application from a former employee, Rensselaer considers whether the former employee gave the suggested advance notice as stated in the General Policy on Employee Termination (500.1) before voluntarily terminating his or her position with Rensselaer. If an employee is rehired within 30 days of voluntary separation, the period of absence will be considered as service extension for purposes of years of service for benefit accruals only. Rensselaer calculates any pension credit for prior service as required by the Employee Retirement Income Security Act. For all other purposes, the employee will be considered a new hire including: an initial period of employment; ineligibility to use accrued leave until completion of initial period of employment; and restrictions on promotions or voluntary transfers. If an employee is rehired within 12 months of voluntary separation, an Adjusted Service Date will be used for purposes of years of service for benefit and PTO leave accruals only. Adjusted Service Date shall be calculated by adding the break in service time to the original date of hire. Rensselaer calculates any pension credit for prior service as required by the Employee Retirement Income Security Act. For all other purposes, the employee will be considered a new hire including an initial period of employment, ineligibility to use accrued leave until completion of initial period of employment; and restrictions on promotions or voluntary transfers. Prior to Normal Retirement Date, a former employee who is receiving a benefit under the Contributory Defined Benefit Retirement Plan or the Defined Contribution Retirement Plan may be rehired following a bona fide separation from service of at least 90 days, provided that no discussion of rehire occurred prior to the commencement of retirement benefits. Normal Retirement Date is

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defined in the respective plan documents. If, upon separation, an employee received a severance payment for any reason other than a Reduction in Force, in no circumstance will that employee be rehired earlier than 90 days or the length of the severance period after the date of separation. Employees terminated due to a Reduction in Force will be considered as internal applicants for 12 months after the date of separation and will be given preferential hiring consideration. If the employee is rehired before his/her salary continuation is ended, such salary continuation will be immediately discontinued.

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500.3

Exit Interviews

Purpose To gather feedback on the employment experience at Rensselaer Polytechnic Institute from separating employees. Policy All employees separating from Rensselaer Polytechnic Institute may be invited to participate in an exit interview process either through completion of a written form or a personal interview with a representative of the Division of Human Resources. The purpose of the questionnaire and interview is to get a departing employees honest opinions about working at Rensselaer what we do well and what needs improvement. All employees are encouraged to be honest, candid, and forthright in completing the survey. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure When notified of an employees separation, the Division of Human Resources mails a questionnaire to the employees home. Employees should complete the questionnaire carefully; a signature is optional. Employees are also invited to schedule a personal interview with a representative of the Division of Human Resources to discuss their responses to the questionnaire in greater depth. Employees are assured that their completed questionnaires are maintained in confidence by the Division of Human Resources and that their responses, observations, and comments remain confidential and in no way affect their future job references or prospects for reemployment.

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500.4

Reductions in Force

Purpose Rensselaer Polytechnic Institute highly values the contributions of employees and attempts to provide regular employment. However, in the event it becomes necessary for the Institute to reduce the work force because of economic conditions, programmatic considerations, or other circumstances, this policy establishes procedures to ensure fair and equitable treatment. Policy When economic conditions, programmatic considerations, or other factors necessitate a reduction in force, the affected department(s) will first determine what work functions or activities can be eliminated with the least impact on campus operations. Based on that determination, the job of the individual(s) performing the work functions or activities will be eliminated and the individual may be separated from service at Rensselaer. It is the policy of Rensselaer, whenever feasible, to use attrition when it is necessary to reduce staff levels. However, in the event that attrition is not feasible or sufficient, the appropriate Cabinet Member, Department Manager, and the Division of Human Resources will determine the positions necessary to continue the Divisions/Schools operations in the most efficient manner. Any reductions in force that are necessary will be determined based on the skills sets, competencies and overall ability necessary to perform the ongoing or future work of the unit or organization. Any reduction in force or elimination of work that impacts on an individuals employment must be approved by the appropriate Cabinet member(s), including the Vice President for Human Resources, before it is announced and implemented. Any such action that affects 5 or more employees must be reviewed and approved by the President. Separation due to a reduction in force will be considered a final separation from that position at Rensselaer. An employee who loses his or her position during a reduction in force will have no recall rights to the same or similar position. The fulfillment of Equal Employment Opportunity objectives will be monitored. Rensselaer will ensure that there is full compliance with Equal Employment Opportunity commitments, laws, and Institute policy when implementing a reduction in force.

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Race, color, gender, sexual orientation, age, religion, creed, national origin, marital status, Vietnam Era veteran status, disabled veteran status, or disability are never to be a consideration in identifying an employee for reduction in force. This policy is not to be used in the case where the employee is subject to termination for cause, and/or unacceptable conduct or performance problems. Procedure Management, including department management, appropriate Cabinet members, and the Vice President for Human Resources, will determine work functions or activities to be eliminated and identify the job(s) of the individual(s) performing the work functions or activities to be eliminated. The skills sets, competencies, and overall abilities that are necessary to perform the ongoing or future work of the unit or organization will be the basis for determining which position(s) are eliminated. Written documentation relating to the identification of an employee for reduction in force should be retained for three years. Each employee separated by a reduction in force will be notified in writing by the Vice President for Human Resources and the appropriate Cabinet Member. The layoff notice will be given to each employee in person by the department manager where reasonably possible. Employees will be provided the Current Job Openings and can apply as an internal applicant for any vacant position for which they qualify. Severance and benefits. Upon executing a valid release of all claims against the Institution, an employee separated because of a reduction in force will be provided the choice of a lump sum severance payment or salary continuation as follows: Less than one year of serviceone week of pay. More than one year of servicetwo weeks of pay for each year of service up to a maximum of 12 weeks. An employee separated because of a reduction in force will receive payment for accrued PTO leave at the conclusion of his/her severance. If the employee chooses salary continuation for the designated period, health insurance coverage will be provided by Rensselaer for the period of salary continuation at the current employee rate and

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coverage level. Continuation beyond that time will be handled in accordance with established Rensselaer policies and all applicable laws. Retirement plan benefits will be provided according to the terms of Rensselaers retirement plans. A Rensselaer employee who is receiving tuition scholarship benefits for the employee, spouse or children prior to the day of separation will continue to receive the benefit through the end of the semester in which the separation occurs. An employee separated due to a reduction in force will be considered as an internal applicant for rehire for the 12 month period following separation if a position becomes available and the individual files a new employment application and Rensselaer determines the separated employee qualifies for the position based on training, education, experience, and past performance. If rehired, the new rate of pay will be based on the salary of the new job classification. For purposes of calculation of leave accrual rates, all years of service with Rensselaer shall be restored if the person is rehired within 12 months. Restoration of benefit service in Rensselaers retirement plans will be in accordance with the plan documents. The Division of Human Resources will provide benefits counseling for each employee affected by a reduction in force.

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600.1

Equal Employment Opportunity Policy Statement

Purpose To emphasize the importance of equitable treatment within the work and learning environments, and Rensselaers commitment to workplace and learning environments that are free from unlawful discrimination. Policy Rensselaer Polytechnic Institute complies with all federal and state nondiscrimination laws and is committed to providing equal employment opportunities for all persons regardless of race, color, religion, sex, pregnancy, sexual orientation, gender identity, gender expression, age, marital status, national origin, citizenship status, disability, military status, veteran status, or any other basis prohibited by law. Equal opportunity extends to all aspects of the employment relationship, including but not limited to hiring, transfers, promotions, training, terminations, working conditions, compensation, benefits, and other terms and conditions of employment. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Official functions of Rensselaer will not be held in clubs or other facilities that maintain restrictive membership requirements relating to race, creed, color, religion, sex, pregnancy, sexual orientation, gender identity, gender expression, age, marital status, national origin, citizenship status, disability, military status or veteran status. In addition, Rensselaer will not pay for membership in such clubs, or any bills for expenses incurred at such clubs. Any person who violates this policy will be subject to discipline, up to and including termination. Reporting Procedures. Any applicant or employee who believes that there has been a violation of Rensselaers policy or any applicable law relating to equal employment opportunities should immediately contact the Division of Human Resources. All complaints are promptly investigated. All individuals are required to cooperate with an internal investigation. The information obtained in the course of an investigation is held in confidence and is only disclosed to individuals who have a business need for the information. Employees are also required to comply with the Reporting Procedure for Complaints of Discrimination, Harassment or Retaliation set forth in Section 600.5 below.

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600.2

Sex Discrimination

Purpose To emphasize the importance of equitable treatment within the workplace and learning environment irrespective of a given individuals gender. Policy Rensselaer Polytechnic Institutes personnel actions and practices will not be based on stereotypical characterizations of men and women, or on the arbitrary preferences of co-workers, management, clients, or customers. This policy applies to all employees, including faculty, staff, visitors, vendors, students, and members of the Presidents Cabinet. Personnel actions will not be influenced by an individuals sex or marital status. Wages and salaries will be based on job content and market factors, and not on the gender of the incumbent. Employee benefits will be provided without regard to sex in accordance with the Plan Document for each benefit plan. Women will not be denied employment on the basis of pregnancy. Employment policies and practices will be applied to pregnant employees on the same basis as they are applied to all other employees, including policies and practices related to individuals with other temporary disabilities. Any person who violates this policy will be subject to discipline, up to and including termination. Reporting Procedures. Any individual who believes that there has been a violation of Rensselaers sex discrimination policy or any applicable law relating to such discrimination should immediately contact the Vice President for Human Resources or his designee. All complaints are promptly investigated. All individuals are required to cooperate with an internal investigation. The information obtained in the course of an investigation is held in confidence and is only disclosed to individuals who have a business need for the information. Employees are also required to comply with the Reporting Procedure for Complaints of Discrimination, Harassment or Retaliation set forth in Section 600.5 below.

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600.3

Sexual Harassment

Purpose To emphasize Rensselaers commitment to creating a workplace and learning environment that is free from sexual harassment. Policy Rensselaer Polytechnic Institute is committed to providing a work and learning environment free of sexual harassment. Sexual harassment violates an individuals fundamental rights and personal dignity. Rensselaer considers sexual harassment in all its forms to be a serious offense. This policy applies to all employees, including faculty, staff, student employees, vendors, visitors, guests, and members of the Presidents Cabinet. Procedure Sexual harassment can involve males or females being harassed by members of either sex. Although sexual harassment typically involves a person in a greater position of authority as the harasser, individuals in positions of lesser or equal authority also can be found responsible for engaging in prohibited harassment. Employees are prohibited from sexually harassing other individuals whether or not the incidents of harassment occur on Rensselaer premises and whether or not the incidents occur during working hours. In a supervisor/subordinate relationship, consensual sexual or romantic relationships between employees are prohibited. (See Policy 200.10, Employment of Relatives.) Employees, including faculty, clinical faculty, research professionals, staff and members of the Presidents Cabinet, are prohibited from having sexual or romantic relationships with students. Vendors, visitors and guests are prohibited from sexually harassing other individuals while on Rensselaer property. Any person who violates this policy will be subject to discipline, up to and including termination and /or being barred from Rensselaer property. Reporting Procedures. Any applicant or employee who believes that there has been a violation of Rensselaers policy or any applicable law relating to sexual harassment should immediately contact the Vice President for Human Resources, or his designee. All complaints are promptly investigated. All individuals are required to cooperate with an investigation. The information obtained in the course of an internal investigation is held in confidence and is only disclosed to individuals who have a business need for the information. Employees are also required to comply with the Reporting Procedure

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for Complaints of Discrimination, Harassment or Retaliation set forth in Section 600.5 below. Sexual harassment is unwanted sexual advances, requests for sexual favors, or visual, verbal or physical conduct of a sexual nature when: (1) submission to such conduct is made a term or condition of employment or participation in an academic program; (2) submission to or rejection of such conduct is used as a basis for employment or academic decisions affecting the individual; or (3) such conduct has the purpose or effect of unreasonably interfering with an employees or students performance or creating an intimidating, hostile, or offensive environment. While sexual harassment encompasses a wide range of conduct, some examples of specifically prohibited conduct include: Promising, directly or indirectly, an employee a reward, if the employee complies with a sexually oriented request. Threatening, directly or indirectly, to retaliate against an employee, if the employee refuses to comply with a sexually oriented request. Denying, directly or indirectly, an employee an employmentrelated opportunity, if the employee refuses to comply with a sexually oriented request. Engaging in sexually suggestive conversation that is unwelcome or physical contact or touching another employee or student in a way that is unwelcome. Displaying, storing, or transmitting pornographic or sexually oriented materials. Engaging in indecent exposure. Making sexual or romantic advances toward an employee or student and persisting despite the employees/students rejection of the advances. Physical conduct such as assault, touching, or blocking normal movement. Retaliation for making harassment reports or threatening to report harassment. Sexual harassment can be physical, verbal and/or psychological in nature. An aggregation of a series of incidents can constitute sexual harassment even if one of the incidents considered on its own would not be considered harassing conduct.

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600.4

Other Types of Prohibited Harassment

Purpose To emphasize Rensselaers commitment to creating a workplace and learning environment that is free from all other forms of harassment. Policy Rensselaer Polytechnic Institute is committed to providing a work and learning environment free of harassment based on race, color, religion, sexual orientation, gender identity, gender expression, age, marital status, pregnancy, national origin, citizenship status, disability, veteran status, military status, or any other basis prohibited by law or by Institute policy. Such harassment violates an individuals fundamental rights and personal dignity. Rensselaer considers such harassment in all its forms to be a serious offense. This policy applies to all employees, including staff, faculty, student employees, vendors, visitors, guests, and members of the Presidents Cabinet. Employees are prohibited from harassing other individuals whether or not the incidents of harassment occur on Rensselaer premises and whether or not the incidents occur during working hours. Vendors, visitors and guests are prohibited from harassing other individuals while on Rensselaer property. Any person who violates this policy will be subject to discipline, up to and including termination. Procedure Prohibited harassment is unwanted visual, verbal or physical conduct related to a persons race, color, religion, sex, pregnancy, sexual orientation, gender identity, gender expression, age, marital status, national origin, citizenship status, disability, military status, veteran status, or any other basis prohibited by law, or any other basis prohibited by law or by Institute policy when: (1) submission to such conduct is made a term or condition of employment or participation in an academic program; (2) submission to or rejection of such conduct is used as a basis for employment or academic decisions affecting the individual; or (3) such conduct has the purpose or effect of unreasonably interfering with an individuals employment or academic performance or creating an intimidating, hostile, or offensive environment. While prohibited harassment encompasses a wide range of conduct, some examples of specifically prohibited conduct include: Verbal conduct such as threats, epithets, derogatory comments or slurs. Displaying, storing, or transmitting derogatory materials. Physical conduct such as assault, unwanted touching, or

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blocking normal movement. Retaliation for making harassment reports or threatening to report harassment. Prohibited harassment can be verbal, physical and/or psychological in nature. An aggregation of a series of incidents can constitute prohibited harassment even if one of the incidents considered on its own would not be considered harassing conduct. Reporting Procedure. Any individual who believes that there has been a violation of Rensselaers policy or any applicable law relating to prohibited harassment should immediately contact the Vice President for Human Resources or his designee. All complaints are promptly investigated. All individuals are required to cooperate with an internal investigation. The information obtained in the course of an investigation is held in confidence and is only disclosed to individuals who have a business need for the information. Employees are also required to comply with the Reporting Procedure for Complaints of Discrimination, Harassment or Retaliation set forth below in Section 600.5 below.

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600.5

Reporting Procedure for Complaints Involving Discrimination, Harassment, Retaliation, Illegal or Unethical Actions

Purpose To provide employees with workplace procedures for responding to instances of discrimination, harassment, retaliation, illegal or unethical actions. Definition Whistle Blowing: refers to any revelation about activities that: could harm the public's health or safety; involve financial accountability or mismanagement of company funds; violate ethical or professional standards; involve fraudulent claims for federal government reimbursement; impinge on workers' rights, including the right to organize and the right to testify in proceedings under labor laws or anti-discrimination statutes; or involve violations of any federal law. Policy Rensselaer Polytechnic Institutes complaint procedure provides for immediate, thorough, and objective investigation of all claims of discrimination, harassment, retaliation, illegal or unethical actions. If discrimination, harassment, retaliation, illegal or unethical action has occurred, Rensselaer will take appropriate remedial action that is, in its sole discretion, commensurate with the severity of the offense. All complaints of discrimination, harassment, retaliation, illegal or unethical actions must be brought to the attention of the immediate supervisor or Division of Human Resources within 180 calendar days of the incident. Rensselaer Polytechnic Institute strictly prohibits retaliation against any person for using this reporting procedure, or for filing, testifying, assisting or participating in any manner in any investigation or proceeding involving allegations of discrimination, harassment, illegal or unethical action. Any person who violates this policy will be subject to discipline, up to and including termination. Confidentiality. All inquiries, complaints, and investigations are treated confidentially. Information is revealed strictly on a need-toknow basis. However, the identity of the complainant usually is revealed to the person(s) accused of such conduct and any witnesses. Publicizing information about alleged discrimination, harassment, retaliation, illegal or unethical actions is strictly prohibited, and may be considered evidence of a malicious intent. A copy of the investigation report of any person who is found to have engaged in discrimination, harassment, retaliation, illegal or

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unethical actions and all other information pertaining to a complaint or investigation, is maintained by the Division of Human Resources in separate, secure files. Procedure Employee Responsibilities. If an employee believes that he/she has been subject to discrimination, prohibited harassment, retaliation, illegal or unethical action, they should immediately: Consider making his/her unease and/or disapproval directly and immediately known to the person(s) responsible for such discrimination, harassment, retaliation, illegal or unethical action. Make a written record of the date, time, and nature of the incident(s) and the names of any witnesses. Report the incident to Rensselaers Division of Human Resources or his/her supervisor. All incidents of discrimination, sexual harassment, other forms of prohibited harassment, illegal or unethical actions must be reported, regardless of the seriousness. Any incidents of reporting discrimination, sexual harassment, other forms of prohibited harassment, illegal or unethical actions, which are malicious or false, may be grounds for disciplinary action. Supervisor Responsibilities. Supervisors must deal expeditiously and fairly with allegations of discrimination, prohibited harassment, retaliation, illegal or unethical actions whether or not there has been a written or formal complaint. Supervisors must: Act promptly to investigate and stop discrimination, harassment, retaliation, illegal or unethical actions. Immediately consult with and assist the Division of Human Resources in investigating and responding to prohibited conduct. Take corrective action to prevent prohibited conduct from reoccurring. Supervisors who knowingly allow or tolerate discrimination, prohibited harassment, retaliation, illegal or unethical actions are in violation of this policy and are subject to discipline, up to and including termination. Division of Human Resources Responsibilities. The Division of Human Resources is responsible for: Ensuring that both the individual filing the complaint and the

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individual accused of discrimination, harassment, retaliation, , illegal or unethical actions are aware of the seriousness of the complaint. Explaining Rensselaers discrimination, harassment and standards of conduct policies and investigation procedures. Exploring informal means of resolving the complaint. Making referrals to Rensselaers Employee Assistance Program for counseling and referral services, if appropriate. Notifying the police if criminal activities are alleged. Conducting or arranging for an investigation of the alleged prohibited conduct. Preparing or overseeing any reports, recommendations, or remedial action(s) that are needed or warranted to resolve any prohibited conduct. Each complaint will be assessed and resolved on a case by case basis. The following examples may be utilized to resolve a complaint. Early Resolution Procedures. Employees often can stop or prevent discrimination, harassment, retaliation, illegal or unethical actions by immediately and directly expressing his/her disapproval of the conduct. In any case, employees should report all incidents of discrimination, harassment, illegal or unethical actions to a Human Resource representative or his/her supervisor. Some complaints can be resolved through early mediation between the two parties. The Division of Human Resources may arrange for or facilitate mediation between the parties and coordinate other informal problem resolution measures. Such early resolution may resolve the situation before moving to the formal complaint procedure, provided both parties agree on remedial action. Formal Resolution Procedures. All incidents of discrimination, harassment, retaliation, illegal or unethical actions should be reported. To initiate a formal investigation into an alleged incident, employees also must file a Complaint of Discrimination, Harassment, Retaliation, Illegal or Unethical Actions with Rensselaers Division of Human Resources, or with his/her supervisor. An employee may file a formal complaint immediately, skipping efforts to informally resolve the situation, or at any time during or following informal resolution procedures. Complaints should be filed as soon as possible but not in excess of 180 calendar days after an incident of alleged discrimination, harassment, retaliation, illegal or unethical action occurs, and the informal resolution either fails or the complainant elects to submit a formal complaint. To ensure a prompt and thorough investigation,

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the complainant should provide as much of the following information as is possible: The name, department, and position of the person or persons allegedly causing the discrimination, harassment, retaliation, illegal or unethical action. A description of the incident(s), including the date(s), location(s), and the presence of any witnesses. The alleged effect of the incident(s) on the complainants position, salary, benefits, promotional opportunities, or other terms or conditions of employment. The names of other employees and/or students who might have been subject to the same or similar discrimination, harassment, retaliation, illegal or unethical action. Any steps the complainant has taken to try to stop the discrimination, harassment, retaliation, illegal or unethical action. Any other information the complainant believes to be relevant to the discrimination, harassment, retaliation, illegal or unethical action complaint.

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600.6

Accommodating Individuals with Disabilities

Purpose To emphasize the importance of, and Rensselaers commitment to, a workplace and learning environment that is free from discrimination on the basis of disability. Policy In all hiring and employment practices, Rensselaer Polytechnic Institute prohibits any and all discrimination on the basis of disability. This includes, but is not limited to, discrimination with respect to hiring, promotion, discharge, compensation, benefits, training, and all other aspects of employment. Rensselaer also prohibits any discrimination against an employee because the worker has a family member with a disability. In general, benefits are made available to employees on an equal basis without regard to whether any individual has a disability. This policy applies to all employees, including faculty, staff, student employees, and members of the Presidents Cabinet. Definitions Disability. A physical or mental impairment that substantially limits one or more of the major life activities of an individual. Disabled individual. A person who has such an impairment, has a record of such an impairment, or is regarded as having such an impairment. Qualified individual with a disability. An individual who, with or without reasonable accommodation, can perform the essential functions of the position that the individual holds or has applied for. Procedure Rensselaer will not make a decision about hiring, promotion, discharge, compensation, benefits, training, or any other aspects of employment based on a qualified individuals disability. Upon request to the Division of Human Resources and/or his/her supervisor by an applicant or current employee, Rensselaer will seek to provide reasonable accommodations for qualified individuals with disabilities. Should an employee become disabled during the course of his/her employment, it is the sole responsibility of the employee to advise the Division of Human Resources and/or his/her supervisor of any needed accommodation.

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Reporting Procedures. Any applicant or employee who believes that there has been a violation of Rensselaers policy or any applicable law relating to accommodating persons with disabilities should immediately contact the Vice President for Human Resources or his designee. All complaints are promptly investigated. All individuals are required to cooperate with an internal investigation. The information obtained in the course of an investigation is held in confidence and is only disclosed to individuals who have a business need for the information.

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600.7

Religious Accommodation

Purpose To emphasize the importance of, and Rensselaers commitment to, a workplace and learning environment that is free from Religious discrimination. Policy Rensselaer Polytechnic Institute seeks to accommodate employee religious beliefs and needs in its hiring and employment practices. This policy applies to all employees, including faculty, staff, student employees, and members of the Presidents Cabinet. Procedure The Division of Human Resources supervises religious accommodation issues at an Institute-wide level. An employee whose religious beliefs interfere with his/her work schedule, assignment, dress code, or other work-related matter should promptly complete the Religious Accommodation Request and Action Form and contact the Division of Human Resources and his/her supervisor to evaluate possible accommodations. Reporting Procedures. Any individual who believes that there has been a violation of Rensselaers policy or any applicable law relating to religious accommodations should immediately contact the Vice President for Human Resources or his designee. All complaints are promptly investigated. All individuals are required to cooperate with an internal investigation. The information obtained in the course of an investigation is held in confidence and is only disclosed to individuals who have a business need for the information.

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700.1

Compensation Philosophy

Purpose To emphasize the importance of internal pay equity and competitive levels of compensation. Policy Rensselaer Polytechnic Institutes compensation program is designed to achieve the following goals: Ensure fair and consistent pay practices. Comply with applicable federal and state laws and regulations. Operate within the constraints of Rensselaers budgetary process and financial resource limitations. Ensure administrative efficiency. Allow Rensselaer to offer competitive salaries relative to the labor markets in which Rensselaer recruits. Procedure Rensselaer generally recruits in the local and regional labor markets to fill nonexempt positions and in the local, regional and national labor markets to fill exempt positions. While pay practices reflect local living costs, they are competitive with pay practices in the relevant labor markets.

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700.2

Pay Procedures

Purpose To establish pay procedures that are consistent with applicable federal and state laws and regulations. Policy The frequency of paydays is set according to an employees classification. Nonexempt employees are paid on a bi-weekly basis. Paychecks are issued every other Tuesday and reflect wages earned for the period ending seven working days prior. Exempt employees are paid on a semi-monthly basis. Paychecks are issued on the fifteenth of the month and on the last business day of each month and reflect wages earned through the date paid. If the fifteenth falls on a Saturday, Sunday or holiday, the pay date is on the preceding business day. Executive-level employees are paid on a monthly basis. Paychecks are issued on the fifteenth of each month and reflect wages earned for the entire month. If the fifteenth falls on a Saturday, Sunday or holiday, the pay date is on the preceding business day. This policy applies to all employees, including faculty, staff, student employees, and members of the Presidents Cabinet. Procedure Paycheck distribution. Checks must be picked up in Disbursement Operations on payday by the employee with a Rensselaer Polytechnic Institute Identification Badge or other form of picture identification. If requested, a department may supply Payroll with a list of employees paychecks to be picked up in a batch by a department representative. Direct deposit statements will be available on Rensselaer Self Service at rss.rpi.edu. Payday schedule. The Payroll Department is responsible for publishing a schedule of specific payroll dates, including paydays and deadlines for submitting timesheets to the Payroll Department. Lost or stolen paychecks. An employee should report a lost or stolen paycheck to the Payroll Department immediately. Rensselaer will issue a new paycheck to the employee after payment is stopped on the original check. However, if a check is lost through no fault of Rensselaer and Rensselaer is unable to stop payment on the check, Rensselaer is not obligated to indemnify the employee for the loss.

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Payroll deductions. Federal and state withholding taxes and Social Security taxes are deducted from every paycheck. Voluntary deductions for health care benefits, retirement, and the like can be made after an employee completes the necessary authorization forms. Rensselaer deducts court-ordered garnishments for personal debtsincluding but not limited to child support-as well as deductions for federal, state, and municipal tax liens. The employee will be informed of these deductions per New York State law. Direct deposit. The Payroll Department deposits paycheck proceeds into the personal bank accounts of employees who have completed a Payroll Check Disposition Authorization. Forms are available at the Payroll Department or on-line at http://finance.rpi.edu. Once an employee authorizes direct deposit, a standardized procedure is used to verify account numbers and account types before an actual electronic transfer of funds is processed. Employees are advised to refer to the authorization agreement for detailed information on the regulations and procedures related to direct deposit. An employees net paythat is, wages less mandatory and employee-authorized deductionsis deposited to the employees bank account so that funds are available for withdrawal on the scheduled payday. Employees should report any delay in the deposit of a paycheck to the Payroll Department. Employees who have authorized direct deposit can view their earning statement on-line at rss.rpi.edu. Direct deposit earning statements include the same pay information that would be included in a paycheck stubfor example, tax deductions. Final wage payment. Employees separating from Rensselaer are paid for all hours worked. Payment of amounts due separating employees is made as follows: An employee who terminates his or her employment with Rensselaer is paid all wages earned no later than the next regularly scheduled payday following the last day worked by the employee. All accrued Paid Time Off (PTO) leave up to 200 hours will be paid on the 2nd scheduled payday following the last day worked. If an employee dies, Rensselaer continues base salary payments through the end of the next scheduled pay day.

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700.3

Work Schedules and Compensation

Purpose To establish, for exempt and nonexempt employees, the normal daily/weekly work schedules and the basis of compensation for regular hours worked, overtime, and other adjustments to normal work schedules (for example, shift differential or emergency call-in). Definitions Workday. A scheduled work period between 12:01 a.m. and midnight on the same day. Workweek. The period between 12:01 a.m. Saturday and midnight Friday. Overtime. Hours of work by nonexempt employees in excess of 40 hours in any one workweek. Emergency Call-In. When nonexempt employees are asked to report to work to take care of an emergency that cannot wait until regular scheduled working hours. Shift Differential. The differential paid to nonexempt employees working in certain designated positions that are regularly scheduled to work during the second or third shift. Such differential will be considered as part of the overtime calculation if the total hours worked in a week exceed 40. Policy Work schedule. The usual full-time weekly work schedule consists of five eight-hour periods with an unpaid 30-minute meal period. For employees who perform manual labor such as trades, environmental services, and grounds, there will be two paid 15-minute breaks each day to be taken at times in the day that are approved by the employees supervisor. First shift. The eight-hour work period beginning from 6:00 a.m. to 8:30 a.m. depending upon the departments usual work schedule. Second shift. The eight-hour work period beginning from 2:30 p.m. to 4:30 p.m. depending upon the departments usual work schedule. Third shift. The eight-hour work period beginning from 10:30 p.m. to 12:30 a.m. depending upon the departments usual work schedule.

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A units work schedule may change as needed. The department head will consult with Human Resources to establish or modify a units work schedule. Nonexempt employee compensation. Nonexempt employees are covered under provisions of the Fair Labor Standards Act and therefore, by law, are to be compensated for all hours worked. Overtime rates. Hours worked in excess of the 40-hour workweek by nonexempt employees shall be compensated at 1.5 times the base rate. Nonexempt employees scheduled to work on a Rensselaer observed holiday will receive their base pay for the holiday plus 1.5 times the base rate for hours worked on the holiday. Emergency call-in rates. A nonexempt employee is guaranteed a minimum of four hours pay for each call-in occurrence. Call-in hours above 40 hours per week will be compensated at the overtime rate. Shift differential. A differential may be paid for regularly scheduled work during the second or third work shift. If one half or more of the regularly scheduled workday falls within the hours of the second shift, the second shift differential will be paid for all hours worked. If one half or more of the regularly scheduled workday falls within the hours of the third shift, the third shift differential will be paid for all hours worked. Emergency facility closing. All regular, fixed-term and temporary employees who are sent home or notified not to report to work during Emergency Facility Closing will be compensated for such employees normally scheduled work hours during one 24-hour day. If an Emergency Facility Closing continues past 24 hours, employees are required to report for duty or use accrued PTO leave upon supervisory approval. Nonexempt employees who are required to work during an Emergency Facility Closing will be compensated at straight time for normally scheduled hours in addition to 1.5 times their hourly rate for hours worked. Employees not normally scheduled to work or who are on paid or unpaid leave status during an Emergency Facility Closing will not receive any compensation for that period of time.

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Procedure Overtime records and payment. Overtime pay will be included in the paycheck issued for the period the overtime was worked. Included in the computation of hours worked will be: hours actually worked, hours of authorized PTO leave, holidays and absence due to an emergency facility closing, and hours of bereavement pay. Unpaid time is not considered as hours worked when calculating overtime pay. Responsibility. The immediate supervisor must approve all overtime assignments and ensure that overtime work is equitably distributed. Such approval must generally be obtained prior to performing any overtime. It is the responsibility of the appropriate supervisor to sign all Payroll Reports. The Division of Human Resources will be responsible for interpreting the provisions of this policy and applicable state and federal laws whenever a question of eligibility and/or appropriate payment develops regarding the computation of overtime. Overtime guidelines. It is recognized that excessive overtime entails added costs to the Institute, added inconvenience, and reduced efficiency on the part of nonexempt employees. Therefore, no overtime will be required that is not consistent with efficient and safe job performance. The Division of Human Resources will review with the department head involved in all cases of excessive overtime, and they will jointly share responsibility for avoiding overtime situations that could result in unsafe or inefficient work performance by an employee.

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700.4

On-Call

Purpose To establish the basis of compensation for non-exempt employees who are considered to be in an on-call status and are required to be available to return to work beyond their normal work schedule for emergencies or other unusual circumstances. Policy Rensselaer may require non-exempt employees to be available to return to work beyond their normal work schedule. These employees are considered to be on-call. Employees assigned to on-call are required to be accessible if it is necessary for them to return to work. Procedure On-call assignments must be approved in advance by the Manager. Employees who are scheduled for a specific shift by their department manager to be on-call must be available to respond to authorized emergency services by telephone or mobile paging system. Designated on-call employees shall normally be assigned to on-call for a period of not more than seven consecutive days. If an employee who is assigned to on-call status cannot be reached or does not report to work within one hour of being called, may be subject to disciplinary action. Employees shall be notified in advance of their assignment to on-call status. Employees required to be in on-call status are not restricted to their home. However, they must make known to their manager how and where they are to be contacted if called in. Non-exempt employees will receive an hourly rate for each hour that they are required to be on-call. If an employee is required to report to work while in on-call status, in addition to the hourly on-call rate, the employee will receive a minimum of four hours pay for each call-in occurrence. Employees will not receive on-call pay if the performance of duties is an extension of the work day. If an employee is asked to report for duty within 4 hours prior to the beginning of their regularly scheduled work shift or asked to extend their regularly scheduled work shift 4 hours beyond the scheduled end of their shift, the employee is not eligible to receive on-call pay. (However, the employee may be eligible for overtime. See Policy #700.3, Work Schedules and Compensation.)

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If during the on-call period unforeseen circumstances arise where the employee cannot be reached or is no longer able to respond, the employee must notify his/her supervisor immediately.

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700.5

Meal and Break Periods

Purpose To establish policies on meal and break periods and to clarify the types of meal and break periods employees are permitted to take, the duration of those periods, and whether such periods are compensated. Policy Break Periods. For non-exempt employees who perform manual labor such as trades, environmental services, and grounds, there will be two paid 15-minute breaks each day to be taken at times in the day that are approved by the employees supervisor. Supervisors can authorize break periods for their employees, taking into account their departments operational requirements, the employees needs (including any disability accommodations), and the following restrictions: A break period cannot exceed 15 minutes; and Employees are not permitted to accumulate any unused Break Periods or use Break Periods as the basis for starting late, leaving early, or extending a scheduled meal period. For administrative, office, and technical employees, supervisors should recognize that employees may require brief absences from their workstations for personal needs. Meal Periods. Each employee scheduled to work more than six continuous hours which extends beyond the noonday meal period (11:00 am to 2:00 pm) is entitled to take an unpaid thirty-minute meal period that begins no later than five hours after the start of the work period. Employees scheduled to work the second or third shift are entitled to take an unpaid thirty-minute meal period that begins no later than five hours after the start of their shift. Employees are not permitted to accumulate any unused meal periods or as the basis for starting late or leaving early or extending another scheduled meal period. Procedure Meal Periods for Nonexempt Employees. Nonexempt employees must be paid for any meal period during which the employee is not completely relieved from duty or that is short in duration (meal periods of less than 30 minutes). Nonexempt employees must also be paid when a break in work is primarily intended for Rensselaers benefit. Supervisor Responsibilities. Supervisors are responsible for administering their departments meal periods in a fair and uniform

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manner. Supervisors must stagger or otherwise schedule employee meal periods so ongoing operational responsibilities are not compromised. Other arrangements for meal periods may be made based on the needs of the department with the review and approval of the Division of Human Resources. Employee Responsibilities. Employees are responsible for keeping their supervisors informed about any changes to their work schedules, including changes involving meal and, for those eligible, Break Periods. An employee who takes unauthorized meal or Break Periods or who extends authorized meal or Break Periods beyond approved limits can be subject to discipline, up to and including termination of employment. To accommodate emergency situations, nonexempt employees should obtain authorization from their supervisor to work through a meal period.

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700.6 Purpose Policy

Telecommuting To state the general procedure and establish a structure to support the employment of telecommuting for faculty and staff. This policy establishes a procedure to designate employees to work at alternate work locations for all or part of their workweek in order to promote general work efficiencies. Telecommuting entails a workat-home arrangement or a remote-access arrangement for at least part of the workweek on a regular basis. Telecommuting is a privilege which may be granted under appropriate circumstances to high performing faculty and staff whose job responsibilities are suited to such an arrangement. Each request to telecommute will be decided at the sole discretion of the Division of Human Resources on an individual basis under the guidelines set forth below. In certain cases, telecommuting may be a requirement of the position, and employees will be so notified at the time of hire. It is Rensselaers strong belief that all telecommuting arrangements which it authorizes fulfill the business needs of the position authorized to telecommute. Rensselaers basic telecommuting tenants are: Telecommuting arrangements and agreements do not alter Rensselaers position as an "at will employer in any way. Rensselaer retains the exclusive right to permit, cancel, alter and modify telecommuting arrangements at any time with no required notice. Rensselaer considers telecommuting employees the same as other non-telecommuting employees and does not practice or tolerate disparate treatment of employees because of the telecommuting arrangement. Rensselaer and the employee will comply with all current and future federal, state and local laws and regulations (if any) which effect this policy and/or telecommuting.

Procedure Eligibility Initiation of a telecommuting arrangement can be at the request of either the Institute or the employee. Permission to engage in telecommuting is at the discretion of the school or administrative unit in which the employee is employed. Participation in telecommuting is voluntary on the part of the employee, except in cases where the position requires it and notification has been provided to the employee at the time of hire.

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Employees who wish to telecommute must first discuss the request with their immediate supervisor, who must support the request. All requests for telecommuting must include an executed Telecommuting Agreement, and must receive full support from the appropriate portfolio owner along with the final approval from the Division of Human Resources. Generally, requests to telecommute should be contemplated when: The employee has demonstrated sustained successful performance, and when the manager believes that the employee can maintain the expected quantity and quality of work while telecommuting. Quality of service can be maintained for students, faculty, and other members of the Institute community. Telecommuting is appropriate considering the nature of the employee's job. Generally, requests to telecommute should not be contemplated when: The nature of the job requires the employee's physical presence (e.g. telecommuting may not be appropriate where the employee must supervise the work of other employees), or efficiency is compromised when the employee is not present. The employee's performance evaluations do not indicate sustained high performance. The employee's observed productivity levels are problematic. The employee requires close supervision as indicated, for example, by the employee's consistent need for guidance on technical matters. The employee has less than six months of service at Rensselaer. The employee's current assignment requires frequent supervision, direction or input from others who are on-site. The employee has received disciplinary action or has a demonstrated attendance problem. Telecommuting is not intended to permit employees to have time to work at other jobs or to run their own businesses. Failure to fulfill all work requirements, both qualitative and quantitative, on account of other employment, may be cause for disciplinary action up to and including termination of employment.

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Permission to telecommute is dependent upon the employee having a suitable work location at the off-site premises, and in compliance with the requirements set forth below. Duration All telecommuting arrangements are granted on a temporary and revocable basis, and may be discontinued by the Institute at any time and for any reason. In addition, an employee may discontinue participation in telecommuting at any time (except in those circumstances noted earlier where telecommuting is required of the position). In making telecommuting arrangements, both the department and the employee must be mindful that the policy is designed to provide a relatively long term working arrangement, and it should not be used as a constant series of short-term arrangements. Employees who change their mind frequently about participating will not be permitted to telecommute. Guidelines The following guidelines apply to telecommuting arrangements: A specific work schedule, including work days and hours, must be agreed upon in advance. Employees must be on site as necessary to attend meetings, training sessions, or similar events or occurrences. Employees must maintain a normal workload. Employees who are unable to work due to illness must use PTO leave, and must report their absence to their supervisor. Employees who wish to be relieved of responsibility for work on a particular day or days must use PTO leave. Employees are responsible for the safety and security of all Institute property and proprietary information. Institute property such as computers, printers, fax machines and other equipment loaned to an employee is the employee's responsibility while it is not on Institute premises. It is the employee's responsibility to make sure that their homeowners or renters insurance covers injury arising out of or relating to business use of the home. Taxes Income taxes will be withheld based on the location of the employee's administrative unit, not on the location from which the employee telecommutes. Employees may wish to consult their tax advisor with respect to other tax consequences.

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Institute Property

Equipment and services may be provided by and paid for by the employee's department at the department's sole discretion. In many cases, employees will be expected to provide their own equipment, such as computers and telephone lines, if they wish to telecommute. Equipment such as computers, printers, software, and services such as fax lines provided on loan by the Institute remain the property of the Institute while on loan, and must be returned upon termination of the telecommuting arrangement and/or separation of employment. If Institute equipment is provided, each piece of equipment must be listed with its serial number when the employee takes possession. Employees must return the equipment in the same condition in which it was originally received, minus normal wear and tear. Employees are personally liable for missing or damaged equipment.

Insurance The Institute assumes no liability for injuries occurring in the employee's home workspace outside of work hours. Employees should note that some homeowner policies do not automatically cover injuries arising out of, or relating to, the business use of the home. For the employee's protection, employees should have their homeowners/tenants liability policy endorsed to cover bodily injury and property damage to all third parties arising out of or relating to the business use of their home. Employees who live in rented property should be aware that their lease may not permit business use of the premises.

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700.7

Merit Increases

Purpose To identify the procedure to award merit increases based on the performance evaluation. Policy Rensselaer is committed to rewarding employees at every level based on merit and job performance. Merit increases are one way Rensselaer recognizes outstanding job performance by employees. Procedure Merit increases are typically awarded in July at the start of the fiscal year. Merit increases are not automatic. They are intended to reward employees for significant achievements, accomplishments, and high levels of service. Not all employees receive merit increases. Economic conditions and changes in Rensselaers financial resources also can limit the availability of merit increases. The Division of Human Resources will issue merit increase guidelines each year. All merit increases shall be at the sole discretion of the Division of Human Resources.

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700.8

Exempt Staff Supplemental Pay Purpose To define and establish a policy for providing additional compensation to staff classified as exempt under the provisions of the Fair Labor Standards Act (FLSA). Note: Non-exempt employees are paid on an hourly basis for hours worked. Hours worked in excess of 40 hours per week must be compensated at time and a half. Time worked on supplemental assignments is not a separate entity but a combination of the regular job and supplemental duties and will be computed as such. Policy At times, exempt employees may be requested to perform work that is separate and distinct from the employees regular job classification duties and responsibilities or outside of their department. It is Rensselaers policy that this work should be performed by adjusting the workload of the employee so that the work can be performed without supplemental compensation. Where the supplemental duties cannot be performed by adjusting the workload and the need to perform the work is critical a business need of Rensselaer, supplemental payment may be granted if the work is no longer than six months and the duties are above and beyond the employees primary job duties. Supplemental work will normally be performed evenings and/or weekends.

Procedure A request for supplemental pay must submitted using the Exempt Staff Supplemental Pay Authorization form and all appropriate signatures obtained. The assignment cannot commence until the request has been approved by the Division of Human Resources. In an instance where supplemental pay is requested, the following criteria must be considered: A. The assignment must clearly serve the best interest of Rensselaer. B. The assignment is clearly beyond the scope of the specific duties of the employees regular position that is performed during the employees normal working hours. C. The assignment to be performed is at a time totally separate and apart from the employees normal

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work hours. D. The assignment will not interfere with the performance of regularly assigned duties and responsibilities. E. The assignment is of a special and infrequent nature. Compensation for the supplemental work is determined in accordance with Rensselaers compensation structure for the type of work being done. For example, if an employee is currently classified as an accountant and is going to teach a class in one of the academic departments, the supplemental compensation paid will be based on the adjunct pay structure for the course being taught. In all cases, the Division of Human Resources has ultimate authority for determining the appropriate compensation based on the supplemental job assignment.

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800.1

Standards of Conduct and Performance

Purpose To set forth Rensselaers expectation that all employees adhere to Rensselaers standards of conduct and performance. Policy It is the policy of Rensselaer Polytechnic Institute to demonstrate fair employment practices toward all employees. The Institute expects all employees to adhere to standards of conduct and performance that are established to enable all to work together to achieve the objectives of the Institute. Procedure General standards of conduct and performance apply to all employees including faculty, staff, student employees and members of the Presidents Cabinet. Violation and/or failure to adhere to these general standards may result in disciplinary action up to and including termination. These standards include, but are not limited to the following: 1. Each employee is to spend the work day effectively by performing the proper tasks safely, competently and in a timely manner and demonstrating an awareness of priorities. Each employee is to spend the work day efficiently by performing each task quickly, safely and well. Each employee is to comply with Institute and departmental policies and procedures. Failure to comply may be grounds for disciplinary action up to and including immediate termination. Each employee is to report to work and be at work when scheduled. Each employee is to notify the supervisor of an unscheduled absence no later than 30 minutes before the scheduled time to report to work. (See Policy #800.2, Employee Attendance Notification Procedure.) Each employee is to devote their time and effort to Rensselaer during working hours, keeping personal phone calls to a minimum and not attending to personal matters during work hours. Each employee is to cooperate with reasonable requests from co-workers. Each employee is to perform reasonable job duties assigned by their supervisor, even if not stated in the performance

2. 3.

4. 5.

6.

7. 8.

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management tool. 9. Each employee is to respect the confidentiality of sensitive information. Such information should not be repeated, discussed, removed or electronically transferred from the work area except for legitimate work purposes.

10. Each employee is to safeguard their own personal property. 11. Each employee is to respect the property and work space of others and of the Institute, and to use Institute property only for legitimate work purposes (e-mail, facsimile machines, computers, copiers, and other Institute equipment). Unauthorized entry into the work space of another employee, or taking property belonging to others or to the Institute will not be tolerated and may be grounds for disciplinary action including immediate termination and/or criminal prosecution. 12. Each employee is to utilize internal administrative resources and procedures to resolve employment problems as set forth herein. 13. Each employee is to know the fiduciary duty associated with Institute employment and to perform the duties accordingly; conduct that conflicts with the interests of the Institute will not be tolerated and may be grounds for disciplinary action, up to and including immediate termination and/or criminal prosecution. 14. Each employee is to maintain appropriate work place behavior and conduct that fosters collegiality, learning and team work. 15. Each employee is to respect the rights of others. 16. Each employee is expected to behave and perform work responsibilities in a legal and ethical manner. 1 17. Each employee is to be courteous towards fellow employees, faculty, students, and visitors. Disruptive, intimidating, hostile, offensive and/or discourteous conduct will not be tolerated and may be grounds for disciplinary action up to and including immediate termination. 18. Conduct that causes or threatens harm to others or that constitutes persistent, unwanted behaviors will not be tolerated and may be grounds for disciplinary action up to and including immediate termination.

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800.2

Employee Attendance

Purpose To control or minimize the number of unscheduled absences, including tardiness and leaving work early. Policy All employees are expected to maintain satisfactory attendance and report to work on time every day. Unscheduled absences, late arrival, and early departures are perceived as unsatisfactory work behavior. Procedure Notification Procedure. When an employee will be late reporting to work by 15 minutes or more without prior approval, he/she must notify his/her supervisor at least 30 minutes in advance of the scheduled start time, or as soon thereafter as feasible. If an employee does not call at least 30 minutes prior to the scheduled start time, the supervisor will evaluate the reason for such failure and determine whether the tardiness will be authorized. When an employee is going to be absent without prior approval, he/she must notify his/her supervisor at least 30 minutes in advance of the scheduled start time. If possible, the employee should call personally and speak directly with the supervisor. Employees should not rely on friends, relatives, or co-workers for communicating their absence to the supervisor. If an employee does not call at least 30 minutes prior to the scheduled start time, the supervisor will evaluate the reason for such failure and determine whether the absence will be authorized. Employees who will be absent for an indefinite period due to illness or emergency must inform their supervisor each day of the absence, unless other arrangements are made with and agreed to by the supervisor. Failure to return to work on the agreed upon return-towork date, will be considered a failure to report to duty and will subject the employee to discipline up to and including termination. Excessive Use of Unscheduled PTO Leave. Use of PTO leave for sickness or injury is intended to be used only for situations where the employee is legitimately unable to work as scheduled because of his/her own illness or an illness of an eligible family member pursuant to the Family Medical Leave Act (FMLA). (See Policy #1300.1.) Excessive use of unscheduled PTO leave, including exhaustion of accrued PTO leave on a regular and routine basis or frequent unscheduled single day absences, are viewed as potentially abusive conduct and may result in particular monitoring by the employees supervisor with specific compliance requirements

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imposed on the employee as determined by the supervisor. The supervisor may require a doctors certificate in order for each future unscheduled PTO leave absence to be authorized with pay. Discipline for Tardiness. Nonexempt employees who are late reporting to work by 15 minutes or more will have their pay docked in an amount equal to at least one-quarter of their hourly rate. In some cases, with their supervisors approval, nonexempt employees may be allowed to make up the lost time that same day. Employees who have recurring late arrivals, whether more or less than 15 minutes, are subject to disciplinary action, up to and including termination. Discipline for Unscheduled Absences. Unscheduled absences place an unfair burden on co-workers and should be avoided. Frequent unscheduled absences, including late arrivals and early departures or excessive absences, are grounds for discipline, up to and including termination. In addition, employees who fail to provide proper notification of late arrivals and unscheduled absences are subject to discipline, up to and including termination. Any employee who is absent for three consecutive unscheduled absences without notifying his or her immediate supervisor directly is considered to have resigned. Once the Division of Human Resources is notified of such three consecutive unscheduled absences, the Division of Human Resources will send a certified letter to the individuals last known address confirming the voluntary resignation. Family and Medical Leave. Employees who have a serious medical condition, who need time off to care for a covered family member with a serious medical condition or a newborn or newly adopted or foster child, who need time off to care for a covered family member wounded in active service in the U.S. Armed Forces, National Guard or Reserve, or who need time off related to a covered family members active duty or call to duty, may be eligible to use paid leave or request unpaid leave in accordance with the Family and Medical Leave Act. Absences or instances of lateness covered by an employees use of approved FMLA leave are not considered grounds for disciplinary action. For detailed information about FMLAs requirements and procedures see Policy #1300.8, Family and Medical Leave Act.

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800.3

Smoking

Purpose To define Rensselaers policy on prohibited smoking in the workplace. Definitions Smoking: The act of smoking or carrying a lighted cigar, cigarette, pipe or any other smoking material or device in any indoor area. Smoke-Free Work Area: An enclosed area where no smoking takes place. Any outdoor area that is not specifically designated as a smoking area. Policy The preponderance of the evidence and the trends reflected in that evidence all indicate that smoking and exposure to second-hand tobacco smoke are significant health hazards. Such exposure continues to cause needless discomfort, pain, suffering and death. In keeping with Rensselaers desire to protect the health of its faculty, staff, students, visitors, other campus constituencies, and the public in general, it is Rensselaers policy to provide a smokefree environment in full conformance with applicable statutes including the New York State Clean Indoor Air Act (Public Health Law Article 13-E) and Section 31-40(s) of the Connecticut General Statutes. Procedure Smoking is prohibited in any enclosed public area or work area, including private offices, lounges, dining areas, recreational facilities, dormitory areas, storage areas, service shops, garages, tunnels, facilities operations areas, and university and personally owned vehicles when used to transport Rensselaer employees. Smoking is only permitted in designated outdoor areas. It is the responsibility of each smoker to police the area to contain his/her smoking materials and debris.

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800.4

Alcohol Use and Possession

Purpose To identify prohibited behavior, provide procedures for approving the use of alcohol at employer-sanctioned events, outline discipline measures, and describe rehabilitation services. Policy Use and abuse of alcohol can effect employee productivity, efficiency and negatively affect Rensselaers learning and work environment as well as; jeopardize the safety of employees, co-workers, and the public; and harm the reputation of Rensselaer and its employees. Accordingly, Rensselaer has established rules governing alcohol use and possession. Procedure The consumption or possession of alcoholic beverages on Rensselaer property, except for officially sanctioned functions or storage locations, is prohibited. When an employee is involved in a workplace accident or when there is a reasonable suspicion that an employee is intoxicated on-the-job, Rensselaer can require the employee to submit to an alcohol and drug test. Employees who test positive are subject to corrective or disciplinary action up to and including termination. The serving of alcohol at employee-related functions either on or off Rensselaer premises must be reviewed and approved by the Alcohol Review Committee. The committee may be reached through the Student Health Center. Any use of alcohol that adversely affects an employees job performance or Rensselaer or jeopardizes the safety or property of employees, students or the public is prohibited. Employees are also prohibited from reporting to work under the influence of alcohol. If employees who drive a motor vehicle as a part of their work duties are found to have been driving under the influence of alcohol, whether on duty or off duty they shall be subject to disciplinary action up to and including termination. Violations of this policy can lead to disciplinary action, up to and including termination. Recognizing that employees with alcohol problems require professional help, Rensselaer provides an Employee Assistance Program (EAP) for any employee or family member who wants to seek confidential counseling.

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800.5

Drug Free Workplace

Purpose To comply with laws prohibiting the unlawful manufacture, distribution, dispensing, possession, and use of illegal drugs in the workplace and to maintain a drug-free awareness program. Definitions Illegal Drugs: Controlled substances as noted in Schedules I through V of Section 202 of the Controlled Substances Act (21 U.S.C. 812) as defined in regulation 21 C.F.R. 1308.15 and those identified by State law. The term illegal drugs does not mean the use of controlled substances pursuant to valid prescriptions or other uses authorized by law. Workplace: Any site where the performance of work for Rensselaer is done. Conviction. A finding of guilt including a plea of nolo contendere or imposition of sentence or both, by any judicial body charged with the responsibility to determine violations of Federal or State criminal drug statutes. Criminal Drug Statute. A Federal or State criminal statute involving the manufacturing, distribution, dispensing, possession, or use of any controlled substance. Policy The unlawful manufacture, distribution, dispensing, possession, or use of illegal drugs is prohibited in Rensselaers workplace. As a condition of employment, employees must abide by this policy. It is also the policy of Rensselaer to provide, as an employee benefit, an Employee Assistance Program (EAP) that is designed to help workers deal with substance abuse and other problems that they and their families might encounter. (For more information about the EAP Program, see Policy #1100.5) This policy applies to all employees including faculty, staff, student employees, vendors and members of the Presidents Cabinet.

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Procedure Rensselaer has a strong commitment to safeguarding the health and welfare of its faculty, staff, student employees, and students, and providing a safe place to work and learn. Because substance abuse at work or away from work can seriously endanger the health and safety of faculty, staff, students, vendors and guests, Rensselaer has established a program under this policy to detect and remove users of illegal drugs or controlled substances from the working and learning environment. Rensselaer is committed to preventing the use and/or presence of these substances in the workplace. Sanction and Remedial Measures. Employees, including faculty, staff, student employees, and members of the Presidents Cabinet, who engage in conduct prohibited by this policy or are convicted under a criminal drug statute will be subject to discipline, up to and including termination, and/or may be required to participate satisfactorily in Rensselaers Employee Assistance Program and any recommended rehabilitation program. Responsibilities. Employees. Rensselaer employees must: 1) comply with this policy; and 2) notify his/her supervisor within five days after any conviction under a criminal drug statute. Supervisors. Supervisory employees must: 1) participate in periodic training to assist them in identifying and addressing illegal drug use by employees; and 2) be cognizant of their responsibilities to refer employees who may be using illegal drugs on the job to Human Resources. Referrals to Rensselaers Employee Assistance Program are coordinated through Human Resources to assist both the employee and supervisor, and to assure compliance with all applicable laws.

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800.6

Physical and Verbal Altercations

Purpose To emphasize that employees, including faculty, staff, student employees, vendors and members of the Presidents Cabinet are expected to behave in a civil, courteous manner toward co-workers, students, customers, visitors, and other business associates at all times. Policy To ensure both safe and efficient operations, Rensselaer expects and requires all of its employees to display common courtesy and engage in appropriate behavior at all times. For example, any involvement in incidents of physical violence, horseplay, shouting at others or making derogatory or provocative comments are considered dangerous and unacceptable behavior that violates this standard of appropriate behavior. Procedure Unacceptable Provocation. Racial or ethnic slurs, sexually harassing remarks, threats of violence, and any other provocative comments, language, or actions are prohibited. Employees who make derogatory or provocative comments or otherwise engage in derogatory or provocative conduct towards coworkers or other individuals will be held at least equally culpable for any ensuing physical altercation, even if they do not strike the first blow or otherwise initiate a physical confrontation. Off-duty and Off-site Conduct. Employees are responsible for their conduct while on or off Rensselaers premises, and whether they are on or off duty. Rensselaers general rules of conduct and behavior also apply when employees are traveling on Rensselaer business and are participating in work-related or academic related activities as well as any time employees are working for or are representing Rensselaer away from the premises. Investigation. Rensselaer promptly investigates any physical or verbal altercation, threats of violence, derogatory or provocative conduct or other conduct by employees that threatens the health, safety, work or learning environment of others which might involve a breach of or departure from the conduct standards enunciated in this policy. Complaints regarding physical or verbal altercations should initially be referred to the employees immediate supervisor. If the matter is

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not resolved within 30 calendar days of the occurrence of the incident, it must be reported immediately to the Division of Human Resources. Discipline. All incidents of physical and/or verbal altercations are treated as misconduct and can result in disciplinary action, up to and including termination of employment.

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800.7

Electronic Media and Communications

Purpose This policy is designed to express Rensselaers philosophy and set forth general principles all employees should apply when using electronic media and services. This policy also establishes Rensselaers rights to access electronic data and information on its systems. Policy Use of electronic communications and media and its associated services, including computers, e-mail, instant messaging, telephones, voice mail, fax machines, wire services, on-line services and the Internet, are encouraged because they can make communication more efficient and effective and because they are valuable sources of information about vendors, customers, technology, and new products and services. Electronic communications and media give employees a useful way to exchange ideas, share files, and communicate with colleagues, whether they are located in the next room or thousands of miles away. Rensselaers electronic systems are a valuable business asset. The data and information sent and received on these systems are the property of Rensselaer. As such, employee access to Rensselaer systems and stored data will be terminated upon separation. This policy applies to all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Procedure Employees should not have any expectation of privacy with respect to information, data or files sent, received, or stored on Rensselaers electronic communications and media systems. Electronic data, information and files, like other types of correspondence and Rensselaer documents, can be accessed and read by authorized employees or authorized individuals outside the Institute. Authorized access to employee electronic communications and media by other employees or outside individuals includes, but is not limited to, the following: Access by the systems administration employees during the course of system maintenance or administration; Access approved by the employee, the employees supervisor, or Rensselaer when there is an urgent business reason to access the employees computer, files or databases for example, if an employee is absent from the office and the supervisor has reason to believe that information relevant to the days business is located in the employees computer, files or databases;

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Access approved by the employees supervisor, Rensselaers Division of Human Resources, or Rensselaer when there is reason to believe the employee is using electronic communications and media in violation of Rensselaer policies; Access approved by Rensselaers Division of Human Resources or Counsel in response to Rensselaers receipt of a court order or request from law enforcement officials for disclosure of information contained in Rensselaers electronic communications and media systems. The electronic communications and media systems should not be used to communicate sensitive or confidential information. Employees should anticipate that data and information might be disclosed to or read by individuals other than the intended recipients, since messages can be easily forwarded to other individuals. In addition, while Rensselaer endeavors to maintain the reliability of its systems, employees should be aware that a variety of human and system errors have the potential to cause inadvertent or accidental disclosures of data and information. Electronic communications, media, and services cannot be used for knowingly transmitting, retrieving, or storing any material that is: Discriminatory or harassing; Derogatory to any individual or group; Obscene; Defamatory or threatening; or Engaged in for any purpose that is illegal or contrary to Rensselaers policies or business interests.

Passwords. Each user accesses the e-mail system by means of a log-in name and password. a. Passwords are intended to keep unauthorized individuals from accessing messages stored on the system. From a systems perspective and from the perspective of an e-mail or instant messaging recipient, passwords also establish the identity of the person sending an e-mail or instant messaging message. The failure to keep passwords confidential can allow unauthorized individuals to read, modify, or delete e-mail or instant messaging messages; circulate e-mail or instant messaging forgeries; and download or manipulate files on other systems. b. The practice of using passwords should not lead employees to expect privacy with respect to messages sent or received. c. Employees are prohibited from disclosing their log-in name or

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password, or those of any other employee, to anyone who is not authorized to receive the same by Rensselaer. Also, employees should not disclose their log-in or password to other employees, except when required by an urgent business matter. Employees should change their password as soon as possible after the urgent business matter has been resolved. Personal Use. Electronic media and services are provided by Rensselaer for employee business use. Limited, occasional, or incidental use of electronic media (sending and receiving) for personal, non-business purposes is understandable and acceptable. However, employees are expected to demonstrate a sense of responsibility and not abuse this privilege, and use of Rensselaers systems are subject to the following conditions and restrictions: a) Personal use must be infrequent and must not: Involve any prohibited activity; Interfere with the work productivity and/or learning environment of employees and students; Consume system resources or storage capacity on an ongoing basis; or Involve large file transfers or otherwise deplete system resources available for business purposes. b) Using electronic communications and media to participate in any newsgroup, mailing list, bulletin board, or other type of discussion forum that is not job-related and is not incidental personal use is strictly prohibited. c) Employees should not have any expectations of privacy with respect to personal communications sent or received on Rensselaers communications and media systems. Employees should delete personal communications as soon as they are read or replied to. Employees should not store copies of the personal communications they have sent. Access to Employee Communications. Rensselaer does not routinely access or monitor employee communications directly. However, individual use patterns for example, telephone numbers dialed, sites accessed, call length, and time at which calls are made are monitored for the following purposes: Cost analysis; Resource allocation; Optimum technical management of information resources; and Detecting patterns of use that indicate employee violation of Rensselaer policies or engaging in illegal activity.

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Rensselaer reserves the right, at its discretion, to review any employees electronic files and messages to the extent necessary to ensure electronic media and services are being used in compliance with the law, this policy, and other Rensselaer policies. Security/Appropriate Use. Employees must respect the confidentiality of other individuals electronic communications. Except in cases in which explicit authorization has been granted by management, employees are prohibited from engaging in, or attempting to engage in: Monitoring or intercepting the files or electronic communications of other employees or third parties; Hacking or obtaining access to systems or accounts they are not authorized to use; Using someone elses log-ins or passwords; and Breaching, testing, or monitoring computer or network security measures.

No electronic communications can be sent that attempt to hide the identity of the sender or represent the sender as someone else. Electronic media and services should not be used in a manner that is likely to cause network congestion or significantly hamper the ability of other people to access and use the system. Anyone obtaining electronic access to other companies or individuals materials must respect all copyrights and cannot copy, retrieve, modify, or forward copyrighted materials except as permitted by the copyright owner. Prohibited Activity. Employees are strictly prohibited from sending e-mail or instant messaging or otherwise using the e-mail or instant messaging system in connection with any of the following activities: Engaging in illegal, fraudulent, or malicious activities; Engaging in activities on behalf of organizations with no professional or business affiliation with Rensselaer; Sending or storing offensive, obscene, or defamatory material; Annoying or harassing other individuals; Sending uninvited e-mail or instant messaging of a personal nature; Using another individuals account or identity without explicit authorization; Unauthorized or improper sending of copyrighted materials. Attempting to test, circumvent, or defeat security or auditing systems, without prior authorization;

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Permitting any unauthorized individual to access Rensselaers e-mail or instant messaging system; or Distributing or storing chain letters, solicitations or offers to buy or sell goods, or other non-business material of a trivial of frivolous nature.

Confidential Information. All employees are expected and required to protect Rensselaers confidential information. Confidential information should never be transmitted or forwarded to outside individuals or companies not authorized to receive the information. Employees must exercise greater care when transmitting confidential information to authorized parties because e-mail and instant messaging makes it easier to redistribute or misdirect secrets and confidential information to unauthorized individuals. Rensselaer also requires its employees to use e-mail and instant messaging in a way that respects the confidential and proprietary information of others. Employees are prohibited from copying or distributing copyrighted material for example, software, database files, documentation or articles using the e-mail or instant messaging system. E-mail is an inappropriate method for communicating certain types of confidential information. Employees should consult their supervisor and the systems administrator before e-mailing or instant messaging highly sensitive or confidential information. Participation in On-Line Forums. Employees should remember that any messages or information sent on Rensselaer-provided facilities to one or more individuals via an electronic network for example, Internet mailing lists, bulletin boards, and online services are statements identifiable and attributable to Rensselaer. Rensselaer recognizes that participation in some forums might be important to the performance of a faculty or employees job. For instance, an employee might find the answer to a technical problem by consulting members of a newsgroup devoted to the technical area. Such participating in public forums must be approved in writing by the employees supervisor. Employees should include the following disclaimer in all of their postings to public forums: The views, opinions, and judgments expressed in this message are solely those of the author. The message contents have not been reviewed or approved by Rensselaer. Employees should note that even with a disclaimer, a connection

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with Rensselaer exists and a statement could be imputed legally to Rensselaer. Therefore, employees should not rely on disclaimers as a way of insulating Rensselaer from comments and opinions they contribute to forums. Instead, employees must limit their discussion to matters of fact and avoid expressing opinion while using Rensselaers systems or a Rensselaer-provided account. Communications must not reveal information about Rensselaers processes, techniques, trade secrets, or confidential information and must not otherwise violate this or other Rensselaer policies. Storage Policy. Rensselaer strongly discourages the storage of a large number of e-mail or instant messaging messages. Retention of messages takes up a large amount of space on the server and can slow down system performance. In addition, because e-mail and instant messaging messages can contain Rensselaer confidential information, it is desirable to limit the number, distribution, and availability of such messages. Encryption. Encrypting electronic communication and media messages or attached files sent, stored, or received on Rensselaers electronic communications and media systems is prohibited except where explicitly authorized. Employees are prohibited from using or installing any encryption software without prior written permission from Rensselaer systems administrator. Employees with a business need to data, information and messages should submit a written request to the systems administrator, with a copy sent to their supervisor. Policy Violations. Employees violating Rensselaers Electronic Communications and Media Policy are subject to discipline, up to and including termination. Employees using the electronic communications and media systems for defamatory, illegal, or fraudulent purposes and employees who infiltrate unauthorized areas of Rensselaers computer system are also subject to civil liability and criminal prosecution.

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800.8

Workplace Searches

Purpose To protect the property and safety of our employees, including faculty, staff, student employees and members of the Presidents Cabinet, customers, and business, and to prevent the use and possession of illegal drugs and alcohol at the workplace. Policy Rensselaer reserves the right to conduct a search of any employees work area, equipment and personal belongings that are on Rensselaers property. All searches shall be conducted pursuant to an investigation by the Vice President for Human Resources, their designee, the Director of Public Safety, their designee, or a member of the Presidents Cabinet. A search of a work area is not an accusation of wrongdoing. Procedure Items Subject to Search. Rensselaer can search employee work areas, including but not limited to the offices, desks, files, computer files, e-mails, telephone voice mails, lockers and personal belongings. All offices, desks, files, computer files, telephones, and lockers are Rensselaer property, and are issued to employees, including faculty, staff, student employees and members of the Presidents Cabinet, for business use and for the duration of employment only. These items can be searched at any time. Search Procedure. Designated Rensselaer personnel will search employee work areas and belongings only if Rensselaer has a reasonable belief that the Institutes policies or safety may be compromised. Failure to Submit to a Search. Refusal to submit to a search can lead to disciplinary action, up to and including termination of employment. Possession of Stolen Items or Contraband. Employees who are found in possession of illegal or stolen property or other contraband will be subject to appropriate disciplinary action up to and including termination. If warranted, criminal prosecution will be instituted.

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800.9

No Solicitation/No Distribution

Purpose In order to maintain and promote efficient operations, discipline and security, Rensselaer has established rules applicable to all employees, including faculty, staff, student employees, vendors, and members of the Presidents Cabinet, which govern solicitation, distribution of written materials and entry into premises and work areas. Policy No employee shall solicit or promote support for any cause or organization during his or her working time or during the working time of the employee at whom such activity is directed. Meals and breaks do not constitute working time. Procedure No employee shall distribute or circulate any printed or written material in work areas at any time or during his or her working time or during the working time of the employee at whom such activity is directed. Subject to the foregoing, Rensselaer may authorize a limited number of fund drives on behalf of charitable organizations or for employee gifts. For example, authorized school fundraisers, Girl Scout cookie sales or similar charitable activities must be done during the employees meal, break or authorized time period. Under no circumstances will non-employees be permitted to solicit or distribute written materials for any purpose on Rensselaers premises.

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800.10

Acceptance of Gifts, Gratuities and Favors

Purpose It is Rensselaers objective to award business to others on the basis of such considerations as quality, services, pricing, and technical ability; to obtain grants from and contracts with private and governmental agencies on the basis of mutual interest; and to avoid the appearance or actuality of impropriety in the receipt of personal gifts, gratuities, favors, and/or kickbacks in connection with Rensselaer endeavors. Definitions Gifts, Gratuities, Favors: The use of property or facilities, gift certificates, entertainment, or other items of value extended to Rensselaer employees, including faculty, staff, student employees, vendors, and members of the Presidents Cabinet, or their families, subcontractors or consultants. Policy The solicitation or the acceptance of personal gifts, gratuities, favors, or kickbacks in any form by Rensselaer employees, subcontractors, or consultants from any Rensselaer supplier or contractor is inconsistent with the above objective and is prohibited, except when it might be inappropriate or insulting to refuse a gift offered. This policy is not intended to eliminate ethical activities such as business luncheons or the exchange of token mementos of nominal value. However, such activities should be kept to the minimum level necessary for maintaining effective business relationships. Procedure On the occasion when it might be inappropriate or insulting to refuse a gift offered, the gift is to be accepted in the name of Rensselaer and reported to the applicable Vice President or Provost who will determine a suitable distribution. All gifts whose value may be in excess of $1000 must be formally reported to the Divisional Vice President, Provost or the President. Offenses Meriting Disciplinary Action. Violations of this policy should be reported to the Vice President for Human Resources or his designee, who will work with the Secretary/General Counsel in conducting an investigation. Consistent with Rensselaers policies, disciplinary action instituted will depend upon the extent of or potential for damage to Rensselaer and can range from reprimand to termination of employment.

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800.11

Potential Conflicts of Interest

Purpose This policy is intended to prevent employees, including faculty, staff, student employees, vendors, and members of the Presidents Cabinet, from engaging in activities that are incompatible with the impartial and objective performance of their duties. Policy Rensselaers Board of Trustees and administration accept as basic objectives to provide the best possible educational experience for Rensselaers students, to provide the proper environment for Rensselaers faculty to teach and do research, and to maintain the Institute on a sound financial footing. We cherish and will preserve the principles of academic freedom. Promoting secrecy harms the progress of science and diminishes the role of the Institute as an impartial and credible resource. Procedure Employees of Rensselaer may also be owners, directors, officers, or employees of, investors in, or otherwise involved in businesses and organizations with which Rensselaer has active and ongoing affiliations. Such affiliations might include, but would not be limited to, restricted or unrestricted donations or grants to Rensselaer, contracts, consulting, investments, or landlord-tenant arrangements. Real or apparent conflicts shall not be considered as detrimental to Rensselaer if: 1. They are fully disclosed to the Chairperson of Rensselaers Board of Trustees and the President; 2. Its nature is known and understood by the employees immediate supervisor, the appropriate Cabinet Member, and the Audit Committee of the Board of Trustees; 3. The commitment of time to these activities does not interfere with the employees duties; 4. The employee refrains from participating in Institute matters related to such activities; The employee always acts to foster the objectives stated in the first paragraph of this policy statement. The Executive Committee of Rensselaers Board of Trustees must be informed of all substantial and/or potential conflicts of officers and the appropriate Cabinet Member must be informed of all substantial and/or potential conflicts of employees.

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Guidelines for Officers and Employees. The Institute recognizes that in the course of its operations, conflicts of interest may arise. The Division of Human Resources has prepared the following guidelines: Decision Standards. All actions or decisions shall be made or taken with the degree of prudence ordinarily expected of individuals in positions of responsibility. Individuals shall only make decisions that they believe further the basic objectives of the Institute. Individuals shall not make any decisions involving Rensselaers assets and/or resources when those decisions affect their personal financial interests. Individuals shall not use or dispose of Rensselaers assets and/or resources in any way that impairs Institute standards or conflicts with Institute Policies and programs. Disclosure. Individuals shall fully disclose in writing any potential conflict of interest to the Chairperson of the Board of Trustees; and the President through the Vice President for Human Resources. Disclosure is required for interests held by the reporting person and interests held by his or her immediate family. Potential Conflicts: Outside Activities. Individuals may consult with firms in which the Institute has invested or proposes to invest, or with firms which use the Institutes assets or resources, and individuals may serve on the governing boards of such firms, provided that: The outside activity does not interfere with the individuals responsibilities to Rensselaer. The individual discloses all substantial outside activities. The individual receives the appropriate administrative approval. Officers activities shall require Board of Trustee approval and employee activities shall require approval by the appropriate member of the Presidents Cabinet. The individual accepts that all equity interests that result from, or are affiliated with, outside activities or interests shall be governed by the Policies of Rensselaer. If the individual serves on a board, the guidelines in this manual will govern the disclosure and amount permitted as it relates to gifts, gratuities, favors, etc. If an employee of Rensselaer wishes to involve faculty, employees and/or students in temporary activity (e.g., consulting): The individual shall obtain such involvement through a voluntary process. The individual shall promptly disclose such to their immediate supervisor and obtain written approval before entering into a contractual arrangement.

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Potential Conflicts: Investments. All investment decisions are subject to the investment policies set by the Board of Trustees. Disclosure of financial interests in any of the following circumstances is required for current holdings with a market value of more than $110,000 that amounts to more than ten percent of an individuals total investments. Individuals shall promptly disclose any potential conflicting financial interest to the Division of Human Resources. If Rensselaer proposes to invest in a firm, and such investment either (1) is by subscription and not purchase, or (2) represents more than one percent of the firms total asset: a) Knowledgeable individuals affiliated with Rensselaer shall promptly disclose any financial interest in such firm to the Division of Human Resources. b) Members of the Presidents Cabinet with no such financial interest shall decide on such investment. If Rensselaer and a majority of the Presidents Cabinet have financial interests in the same firm, the Board of Trustees shall adopt measures to assess independently any decision regarding investment in such firm. An individual may invest in a firm in which (1) Rensselaer has acquired financial interest by subscription, or (2) Rensselaers investment represents more than one percent of such firms total assets, provided that: The individual promptly discloses such investment to the Division of Human Resources before investing. Members of the Presidents Cabinet with no such financial interest shall decide matters concerning Rensselaers investment in such firms. Potential Conflicts: Outside Interests. An individual may be employed by or hold a financial interest in any company or association which conducts business with the Institute provided that: The outside interests do not interfere with the individuals responsibilities to Rensselaer. The individual discloses all substantial outside interests to the Division of Human Resources. The individual receives the appropriate approval. Officers interests shall require Board of Trustee approval and employee

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interests shall require approval by the appropriate Cabinet Member. The individual acknowledges that this document governs all resulting equity interests. Use of Rensselaer Resources. Where it is proposed that Rensselaer allow a firm access to its assets and/or resources: a) Individuals shall disclose any financial interest in such firms before permitting access. b) Members of the Presidents Cabinet with no such interest shall decide whether to permit such access. Operations. Employees of the Institute shall implement capital and operating programs in a manner that ensures: a) The Institute does not promote, at its expense, the interests of any firm. b) The Institute does not disadvantage students and/or employees, including faculty, staff and members of the Presidents Cabinet, to advance the interest of any firm. Gifts, Gratuities and Entertainment Employees of the Institute may accept items of nominal value which are not related to any particular transaction. (See HR Policy #800.11, Acceptance of Gifts, Gratuities and Favors.) Reporting. a) The Vice President for Human Resources shall annually conduct a conflict of interest survey of all applicable employees of the Institute. b) Individuals shall promptly disclose all potential conflicts of interests in conformance with this Policy. c) The Chairperson of the Audit Committee of the Board of Trustees shall report all conflicts and resolutions to the Board of Trustees at least annually.

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800.12

Intellectual Property Agreement

Purpose This policy is designed to protect confidential proprietary scientific or technical information needed to produce products or develop new ones. Policy As a condition of employment, all employees, including faculty, staff and members of the Presidents Cabinet, are required to sign an Intellectual Property Agreement upon hire or at other times as designated by the Institute. Rensselaers Intellectual Property policy, currently and as it may change from time to time, constitute an understanding that is binding on Rensselaer and all Rensselaer faculty, staff, and students. It is also binding on any project participants and Rensselaer projects or programs. This policy applies to all employees, including faculty, staff and members of the Presidents Cabinet. Procedure All employees, including faculty, staff and members of the Presidents Cabinet, will be asked to sign an Intellectual Property Agreement. Rensselaer will inform prospective faculty and employees before hire about the requirement to sign the Intellectual Property Agreement they will be asked to sign. Rensselaer may, at its sole discretion, require formal written intellectual property or contractual agreements to implement the policy as appropriate, but the absence of such executed agreements shall not invalidate the applicability or enforceability of the policy as it currently exists and as it may from time to time be amended.

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900.1

Progressive Discipline

Purpose Rensselaer maintains a disciplinary procedure of progressively more severe steps to address unsatisfactory performance or conduct in a thorough, fair and consistent manner. However, discipline is handled on a case-by-case basis, and Rensselaer reserves the right to deviate from its progressive discipline procedure based on the circumstances of each case. In some instances, an employee may be immediately terminated. Definitions Verbal Counseling: The first verbal warning in the disciplinary process identifying unacceptable performance or conduct. Written Reprimand: The second documented step in the disciplinary process if a pattern of unacceptable performance or conduct develops or an incident occurs requiring more than verbal counseling Disciplinary Suspension: The employee is placed on unpaid status. The third documented step in the disciplinary process if the pattern of unacceptable performance or conduct continues or for infractions deemed to be serious by the Division of Human Resources. Suspension Pending Investigation (With Pay): An employee instructed to leave and remain away from work while an investigation of their conduct or performance is made. The employee will be paid while on suspension pending investigation and appropriate disciplinary action, if any, will be determined at the conclusion of the investigation. Discharge: Termination of employment. The final step in the progressive disciplinary process for unacceptable performance or conduct or for serious infractions. Policy The disciplinary procedure is designed to give employees who have successfully completed their initial appraisal period advance notice of problems with their conduct or performance in order to provide an opportunity to correct such problems. Rensselaer may deviate from this progressive discipline procedure at any time based on the circumstances of each case.

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Procedure The disciplinary procedure generally will be progressive involving verbal counseling, written warning, suspension and discharge. However, it should be understood that the disciplinary procedures are intended as guidelines. Rensselaer may determine that the nature of the offense, the employees performance record, or other circumstances warrant immediate suspension, termination or action that is not in conformance with these procedures. Generally, discipline will be documented on the Disciplinary Action Form. I. A. VERBAL COUNSELING The supervisor will review the facts in private with the employee involved and should document such verbal counseling. The employee may be asked to sign the documented verbal counseling to indicate that he/she received a copy. The supervisor will inform the employee that further action will be taken if another violation occurs. A record of the meeting, stating the facts that were reviewed with the employee and the action taken or to be taken should be noted in the employees file. The supervisor will submit a copy of the Disciplinary Action Form to The Division of Human Resources. WRITTEN REPRIMAND The supervisor will review the facts in private with the employee involved and give the employee a copy of the written reprimand. The employee will be asked to sign the written reprimand to indicate that he/she received a copy. The supervisor will inform the employee that further action will be taken if another violation occurs. A record of the meeting, stating the facts that were reviewed with the employee and the action taken or to be taken will be noted on the written reprimand. The supervisor will submit the original Disciplinary Action Form with the employees signature to Human Resources to be placed in the employees personnel file.

B.

II. A.

B.

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III. A.

DISCIPLINARY SUSPENSION In recurring cases of performance or conduct issues or single incidents deemed to be serious, the facts of the case and the possible suspension (typically one to five days) should be discussed with and approved by the Vice President of Human Resources or their designee prior to discussion with the employee. The supervisor will review the facts in private with the employee involved and give the employee a copy of the suspension documentation. The employee will be asked to sign the suspension documentation to indicate that he/she received a copy. The supervisor will inform the employee that further action will be taken if another violation occurs. A record of the meeting, stating the facts that were reviewed with the employee and the action taken or to be taken will be noted on the suspension documentation. Specific dates of the suspension should be indicated; a specific return to work date should be indicated on the suspension documentation. If applicable, previous disciplinary action taken should be indicated on the suspension documentation. The supervisor will submit a copy of the suspension documentation (Disciplinary Action Form) to the Vice President of Human Resources or their designee. SUSPENSION PENDING INVESTIGATION In the case of a serious incident which places faculty, employees, students or Rensselaer property at risk, the employee should be removed from the work place pending an investigation to determine appropriate disciplinary action. The course of the investigation shall be at the discretion of the Vice President of Human Resources or their designee. This investigation will include a meeting with the employee, the Division of Human Resources, and the supervisor and/or department head, at which time the employee will have the opportunity to state his/her account of the situation. After reviewing the situation with the department head, the supervisor will recommend disciplinary action to the Vice President of Human Resources. In cases where impending action presents a risk to the Institute in the judgment of the Vice President of Human Resources, the decision may be 900 - 3

B.

C.

IV. A.

B.

C.

reviewed by Institute legal representatives prior to implementation. D. If a suspension or discharge is decided upon, the employee will be advised of the action to be taken in a written memorandum. If the investigation absolves the employee, the employee will immediately be returned to work. The time the employee is absent from work during the investigation will be paid time. DISCHARGE The supervisor and/or department head will prepare a memorandum to the Vice President of Human Resources or their designee outlining the facts. Supporting documentation should be attached to the memorandum, including a summary of the employees position on the infraction. A draft of the discharge form should also be prepared for Human Resource review. The supervisor and/or department head will review the facts in private with the employee involved and give the employee a copy of the discharge form. The employee will be asked to sign the discharge form to indicate that he/she received a copy. When a meeting is not feasible, the discharge form will be mailed to the employees address of record and no employee signature will be sought. A record of the meeting, stating the facts that were reviewed with the employee will be noted on the discharge form. If applicable, previous disciplinary action taken will be indicated on the discharge documentation. The supervisor will submit a copy of the discharge documentation to Human Resources to be placed in the employees personnel file. 1. The department will initiate an Employment Transaction Form (ETF) on the discharged employee to remove him/her from the payroll and to trigger notice of options relative to employee benefits conversion. 2. The supervisor is responsible for processing the employee out of the Rensselaer system. (See Policy #500.1, General Policy on Employee Separations.)

E. F. V. A.

B.

C.

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VI. A.

GENERAL PROVISIONS It should be remembered that employment is at will unless a written and duly executed employment contract is in effect. Accordingly, employment can be terminated at any time, at the employees option or the option of Rensselaer. The offenses meriting disciplinary action listed below provides an illustrative list of offenses but are not intended as a complete or comprehensive list thereof. In the event of misuse of Rensselaer funds or types of misconduct, the Vice President of Human Resources or their designee may work with Legal Counsel to resolve the matter. Employees whose performance and/or behavior is being reviewed or who have received disciplinary action during the past six (6) month period of employment are not eligible to apply for a vacancy at Rensselaer. OFFENSES MERITING DISCIPLINARY ACTION Reasons for progressive discipline include, but are not limited to: Unsatisfactory or poor performance, behavior or conduct; Unsatisfactory absence or lateness; Leaving work without permission; Unauthorized or excessive telephone usage; Use of profanity or abusive language; and, Posting and/or removing material from Rensselaers bulletin boards without proper authorization.

B.

C.

D.

VII. A.

B.

Reasons for immediate discharge include, but are not limited to: Insubordination; Theft; Dishonesty; Fighting on Rensselaer property; Unauthorized photographing or copying of research projects or other confidential material; Misrepresenting or withholding pertinent facts in 900 - 5

securing employment; Reporting to work under the influence of alcohol, illegal drugs or controlled substances; Sale or possession of illegal drugs or controlled substances; Falsification of Rensselaer records; Actions or behaviors that bring Rensselaer into public disrepute; and, Financial or fiscal impropriety. An employee may submit a written response to any disciplinary action covered by this policy. The response will be placed in the employees personnel file. If an employee wishes to appeal a disciplinary action, refer to Policy #900.2, Peer Review Appeal Process.

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900.2

Peer Review Appeal Process

Purpose To establish a dispute resolution procedure that ensures fair treatment and prompt resolution of work-related problems. Definitions Work Related Problem: A written statement of complaint, problem or dispute submitted on an Appeal Form as an appeal of a situation or condition where the employee does not agree with the immediate supervisor/manager decision relative to application of Rensselaer policy, practices, procedures or working conditions. Peer Review Panel: A five-member group of selected panelists made up of three peers, one department director and one vice president. A member of the Human Resources Department will be involved as a non-voting advisor/facilitator for procedure, policy, application of relevant policy, clarity, etc. Peer Panelist: Volunteer member of the panel selected by random drawing from a pool of eligible employees and department directors whose responsibility it is to conduct a thorough review and reach a fair decision. Only those employees completing Peer Review Panel training are eligible to serve on the panel. Panelists will volunteer to serve for a two-year term. Panelists may also volunteer for an additional two-year term if they have not participated in three or more appeals. All vice presidents will serve as a panelist on a rotating, case-by-case basis. Policy The peer review grievance procedure is designed to provide a process by which problems and concerns can be resolved through employee participation and shared responsibility without fear of punishment or retaliation. Rensselaer Polytechnic Institute recognizes that employees possess sufficient ability, skill, knowledge and interest to participate in problem solving and to ensure applicable policies or practices have been followed correctly and fairly.

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Procedure Eligibility: All regular employees below the department director or administrative dean level who have completed their initial period of employment. Time Limit: Time limits documented in this procedure should be adhered to unless unusual circumstances occur, such as when an appellant has a medical emergency or is out of the office due to approved PTO leave, holiday, or other medical reasons. Dates may be extended by written agreement of the employees immediate supervisor. Confidentiality: All information obtained during the Peer Review Appeal Process is considered perpetually confidential during and after the process has concluded. All persons involved in the process have the responsibility to maintain confidentiality. Jurisdiction: Panel jurisdiction is limited to application of Rensselaer policies, practices, and procedures; however, the panel may recommend changes to content or application of such. The Vice President for Human Resources or his designee reserves the right to determine whether an issue is appropriate for the Peer Review Appeal Procedure. Exclusions: Pay, performance appraisals, benefits, content and interpretation of Institute policies, establishment of work rules, discrimination including harassment, sexual harassment and matters in litigation. Please Note: This appeal procedure does not apply to employees who believe that they have been subject to unlawful discrimination. Procedure: The problem-solving procedure involves five steps. Problems should be resolved in a timely manner. Therefore, an employee must pursue resolution of a problem within five working days of knowledge of an incident. Pursuing resolution mean beginning the process of discussing the problem and providing documentation. Employees failing to meet the time limits waive their right to utilize this problemsolving procedure.

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Step One: An employee verbally presents his/her grievance to his/her immediate supervisor or department manager within five working days of the incident causing the issue or problem. (NOTE: working days are defined as weekdays, Monday through Friday. Saturdays, Sundays, and designated holidays are excluded.) The supervisor/ department manager will work with the employee to attempt to resolve the situation and must provide a written decision to the employee within three working days of receiving the complaint. Step Two: If an employee is not satisfied with the written decision, he/she may contact Human Resources within three working days to appeal to the next higher level of management. At that time, the employee will complete the Appeal Form. A representative of the Division of Human Resources will be available to assist the employee in completing the required information. A representative of the Division of Human Resources will attempt to resolve the problem through facilitating discussions with the employee, the employees supervisor, and/or the department manager. The department manager should respond with a written decision within five working days of receipt of the written complaint. Step Three: If the employee is satisfied with the written decision, he/she should inform Human Resources in writing. If the employee is not satisfied, he/she needs to inform Human Resources in writing within three working days if the employee intends to proceed with the problem-solving process. A representative of the Division of Human Resources will facilitate a meeting with the Division Vice President/Provost within five working days of the employees written notice to Human Resources. The Division Vice President/Provost will then make a written decision on the problem within five working days of the meeting with the employee.

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Step Four: If an employee is satisfied with the written decision, he/she should inform Human Resources in writing. If the employee is not satisfied, he/she should notify Human Resources in writing within three working days if the employee intends to proceed with the problem-solving process. A representative of the Division of Human Resources will facilitate the convening of a panel within five working days of being notified of the employees decision. The Peer Panel will be composed of three employees, one department director, and one vice president. The employees and department director panel members will be selected in a random drawing conducted in the Division of Human Resources. The appellant will draw five names from the eligible Employee Peer Panel pool. Three will be selected to serve on the panel, one will be selected as an alternate and one will be returned to the Employee Peer Panel pool. The appellant will then draw two names from the eligible department director Peer Panel pool. The appellant will be select one to serve on the panel. The remaining one will be used as an alternate. If a situation occurs where the appellant is unfamiliar with someone whose name he/she has drawn, the representative of the Division of Human Resources may provide the panelists job title, department, service date and a brief summary of their duties. The vice president panelist will be designated by the Human Resources representative. Please Note: A member of the employees family or someone in the employees chain of command may not serve as a panel member. If those names are drawn, they will automatically be disqualified. An employee may not serve as a panelist if he/she has a current problem-resolution pending or if he/she has been named as a witness involved with the work-related problem. Any employee randomly selected to be a panelist, who feels that he/she may not be able to maintain impartiality, for whatever reason, should disqualify him/her by notifying Human Resources. Human Resources will notify panelists of their selection. If the panelist is unable to serve, he/she must respond immediately to Human Resources so that the alternate may be notified. If less than three panelists from the Peer Panel Pool can serve, the appellant will randomly draw the additional panelists needed from the eligible pool.

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Attorneys, outside consultants, current employees (other than those already on the panel) and non-employees will not be allowed to attend or participate in the problem-solving proceedings. Failure to adhere to these procedures will disqualify the employee from further participation in the appeal procedures. Human Resources will provide copies of the written appeal and prior responses at each step of the process to the Peer Panel, as well as all other materials of information relevant to the proceedings. All written documentation must be returned to the Division of Human Resources. The panel will interview and gather data only when meeting as a group. No individual investigations will be permitted. The panel will call in order of appearance: the appellant, the appellants supervisor/manager and any witnesses. Written questions to be asked of either party or the witnesses may be submitted to the panel by the appellant or the supervisor/manager at the start of the hearing. Only the panel members and a member of the Human Resources Department will be present during the testimony and deliberations. After all testimony and evidence have been presented, the panel will deliberate and vote on its recommendation by secret ballot. The final Peer Panel decision will be the result of a simple majority vote. Human Resources will serve as a resource for the Panel, providing clarification of policy. The panels recommendation may grant the request, deny the request or include modification of the request. If modification of the request is the recommendation reached, additional deliberation and/or votes may be taken to determine exactly how to modify the request. All proceedings will be held privately. Panelists will sign the recommendation, which will be forwarded to the President or the Presidents designee. Human Resources will maintain a record of all notes, documents, minutes and materials pertaining to the problemsolving process in a file separate from the appellants personnel file. This information is considered Private and Privileged by Rensselaer and will only be disclosed to persons that the Institute considers necessary for reviewing and enforcing any decisions.

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Step Five: The Division of Human Resources will communicate the panel recommendation in writing to the President or Presidents designee within three working days of the recommendation. The President or her designee will review the recommendation. The President or Presidents designee will make a written decision within five working days of being notified of the panels recommendation. The written decision of the President or Presidents designee is final. Rensselaer will do its best to adhere to the guidelines set forth in this policy. However, failure of Rensselaer to do so shall not give any employee an independent right to seek redress against Rensselaer for this failure and by participating in this program employees waive their rights to seek such redress.

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1000.1

Travel and Entertainment Expense Reimbursement Policy

Purpose To establish uniform guidelines for acceptable expenditures and reimbursement for travel and entertainment by all Rensselaer employees while on Rensselaer-related business. To provide reimbursement for expenses employees, including faculty, staff, student employees and members of the Presidents Cabinet, incur in the course of doing their jobs. Definition Travel or entertainment on Institute business can be defined as any approved travel or entertainment that is reimbursed by Rensselaer or by a research contract or grant through the Institute. Policy Each employee will be reimbursed for all necessary and reasonable expenses incurred in connection with approved travel and/or entertainment while on Institute business, subject in accordance with the Travel and Entertainment Policy and Procedures (finance.rpi.edu/travel and entertainment policy and procedures). All reimbursable travel must be authorized in advance of the trip by the person in charge of the department or budgetary unit or appropriate governmental agency where necessary Procedure All employees who travel are responsible for reading the Travel and Entertainment Policy and Procedures Manual available on the Purchasing and Finance web pages. It is the responsibility of the traveling employee to understand which expenses are reimbursable and which are not.

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1000.2

Relocation Assistance Policy

Purpose To define and provide for guidelines for the acceptable expenditure and reimbursement of relocation expenses for newly hired Rensselaer employees. Definitions Relocation: for purposes of this Policy, relocation is the moving of a new employees household goods and personal effects from the old residence to the new residence that is within 50 miles of Rensselaer. Moving Expenses: for purposes of this Policy, moving expenses are those associated with moving household goods and personal effects. Specifically excluded are any costs associated with the sale or purchase of homes, visa/immigration expenses, attorneys fees, travel of family members (unless approved for house hunting trips), and car lease/purchase/transport. Policy Rensselaer will approve payment of certain moving expenses, as defined above, for new employees. The following expenses are eligible for relocation assistance up to the maximum approved by Rensselaer. All other expenses not listed below are the responsibility of the new employee. Moving of household goods by a professional mover Air travel for employee, and immediate family members Temporary lodging upon arrival Relocation reimbursement expenses paid to an employee must be refunded to Rensselaer if the employee is terminated or voluntarily separates from his/her position within one year of the hire date. This policy applies to all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Procedure Employees must use the services of a Rensselaer approved Relocation Services Company for the movement of household goods and personal effects. Original receipts must be kept and submitted to Rensselaer to be eligible for reimbursement. Employee must request reimbursement for approved relocation expenses in accordance with Purchasing Department Policy Guidelines.

1000 - 2

In accordance with IRS regulations, Rensselaer will report reimbursements paid for moving expenses, even if they are nontaxable reimbursements such as moving household goods, travel to the new home for employee and their family, etc., on the employees W-2. Use of Personal Car for the Move. In accordance with IRS rules and regulations, a new employee can request reimbursement for the use of his or her car for the move as follows: Submit a request for the actual expenses for items, such as gas and oil, by providing an accurate record of and original receipt for each expense; OR Submit a request for reimbursement that includes the actual miles driven. The Purchasing Department will use the current IRS mileage reimbursement rate to determine the reimbursement amount.

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1100.1

Eligibility Requirements for Rensselaers Benefit Plans

Purpose To designate the Rensselaer benefit plans and describe the conditions under which employees will be eligible to join such plans. Definitions Accidental Death and Dismemberment Insurance. Coverage to give additional protection to an employees family or beneficiary in case of death by accidental means, or to protect the employee in case of dismemberment resulting from accidental means. Dental Plan. Coverage to assist employees and eligible dependents in paying for the cost incurred for dental care. Dependent Child. Qualifying Child, as defined by IRS Rules and Regulations, includes the following: 1. The child must be the employees own child, step-child, legally adopted child, foster child, or a descendant of any of them. 2. The child must be: (a) under age 19 at the end of the year, (b) under age 24 at the end of the year and a full-time student, or (c) any age if permanently and totally disabled. 3. The child must have lived with the employee for more than half of the year. 4. The child must not have provided more than half of his or her own support for the year. 5. If the child meets the rules to be a qualifying child of more than one person, the employee must be the person entitled to claim the child as a qualifying child. Disability Insurance. Coverage to protect employee in case they are disabled by illness or injury. Health Insurance. Coverage to provide assistance in paying medical bills for employees and eligible dependents. Life Insurance. Coverage to protect an employees family or beneficiary in case of the employees death. Retirement Plan. Coverage to assist employees in providing for a source of retirement income.

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Policy Faculty and employees, and in some instances, spouses, and dependent children may become members of the following benefit plans subject to the eligibility requirements indicated in the policy. These plans are available to non-union employees only. Employees who are covered by a collective bargaining agreement are not eligible for benefits at Rensselaer, unless the agreement expressly provides for plan eligibility. Defined Contribution Retirement Program. Faculty and employees who are: Scheduled to work 1,000 or more hours per year and Not participating in the Contributory Defined Benefit Retirement Plan or the Noncontributory Pension Plan for Nonexempt Employees. Faculty and employees in either of these plans needed to elect to participate in the Defined Contribution Retirement Program by June 30, 1994. Supplemental Retirement Program. Any faculty member or employee, regardless of eligibility for other benefits, may participate, provided he/she makes a minimum contribution of $200 in any calendar year. Participation in this program is subject to Internal Revenue Service limitations. Life Insurance and Accidental Death and Dismemberment Insurance Plan. Eligible employees, including faculty, staff and members of the Presidents Cabinet, scheduled to work 20 or more hours per week for a minimum of 16 weeks are automatically covered. Health Insurance. Eligible employees, including faculty, staff and members of the Presidents Cabinet, scheduled to work 40 hours or more per week for a minimum of 16 weeks, may enroll for individual, two-person, or family coverage. Dental Plan. Eligible full-time and part-time employees, including faculty, staff and members of the Presidents Cabinet, scheduled to work at least 1440 hours per fiscal year may enroll for individual, two persons or family coverage. Long Term Disability Insurance. Eligible full-time employees, including faculty, staff and members of the Presidents Cabinet, scheduled to work 20 hours or more per week for a minimum of 16 weeks. New York State Disability Insurance. Nonexempt and fixed-term exempt employees are automatically covered. (Regular exempt employees are covered under Rensselaers PTO and RTO Program;

1100 - 2

faculty are covered under Rensselaers salary continuation policy). Voluntary Group Life Insurance and Dependent Life Insurance. Eligible employees, including faculty, staff and members of the Presidents Cabinet, scheduled to work 20 hours or more per week for a minimum of 16 weeks. Their spouses and eligible dependent children may also be covered. Voluntary Accidental Death and Dismemberment Insurance. Eligible employees, including faculty, staff and members of the Presidents Cabinet, under age 70 scheduled to work 20 hours or more per week for a minimum of 16 weeks are eligible. Their spouses and eligible dependent children may also be covered. Tuition Scholarships (Dependent Children). Dependent Children under age 26 for undergraduate education at Rensselaer of: Full-time employees, including faculty, staff and members of the Presidents Cabinet, with three years of full-time continuous service. For purposes of this policy, if an employee had prior service and the length of the break in service was less than the length of prior service, then the prior service may be used in the calculation of continuous service. Regular part-time employees, including faculty, staff and members of the Presidents Cabinet, with the equivalent of ten continuous years of full-time service credit. Part-time employees receive a half year of service credit for each year that they work 1040 hours or more. Any employee who meets the above requirements of this section who dies, retires and is eligible for retirement benefits, or becomes disabled while her or his child is enrolled in a recognized accredited program. Any employee with ten or more continuous years of full-time service or the equivalent who dies, retires and is eligible for retirement benefits, or becomes disabled before his or her child starts college. Tuition Scholarships (Employees and Spouses) For Classes Offered at Rensselaer Polytechnic Institute. Rensselaer will pay tuition for the regular and fixed-term full-time exempt and nonexempt employees and for the spouses of full-time employees, for classes to be taken at Rensselaer. Part-time regular and fixed-term employees scheduled to work 20 or more hours per week are eligible for a partial benefit for classes to be taken at Rensselaer. Rensselaer will pay the tuition for an employee and his/her spouse to take two courses each semester at Rensselaer, up to a

1100 - 3

maximum of six courses per fiscal year. However, if an individual seeks a tuition scholarship or other financial assistance to enroll in classes at an educational institution other than Rensselaer, then the coursework must be job-related and approved in advance by a supervisor or the Division of Human Resources. A Request Form can be obtained from the Division of Human Resources and must be completed and approved prior to the commencement of the course. Flexible Spending Accounts. Full-time regular and fixed-term employees or part-time regular and fixed-term employees scheduled to work 20 hours or more per week for a minimum of 1000 hours per fiscal year (July 1 through June 30) are eligible to participate in this program. Employee Assistance Services. All employees and dependent family members are eligible. Procedure Regular and fixed-term employees, including faculty, staff and members of the Presidents Cabinet, may become members of the following Rensselaer benefit plans subject to the eligibility requirements contained in the respective plan contracts. The actual terms of the various benefit plans are stated in and governed by the formal plan documents. A participant and/or beneficiary, including retirees, shall not have any right to benefits under the plans that in any way interfere with Rensselaers right to terminate or amend any plan. Rensselaer makes no promise to continue plan benefits in the future and rights to future benefits will never vest (except to the extent such vesting is provided in a Rensselaer retirement plan).

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1100.2

Eligibility/Termination Dates of Rensselaers Benefit Plans

Purpose To set forth the dates upon which the various coverages indicated will become effective for eligible employees and the dates on which such coverage shall cease following separation of employment.

Policy An employee may enroll in a variety of benefit plans offered by Rensselaer Polytechnic Institute provided he/she meets the eligibility requirements for the benefit plan. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Health Plan ELIGIBILITY DATES First day of the month following the date of hire for new employee, provided employee enrolls within 30 days of hire. Otherwise, enrollment may take place: Only during the open enrollment period to be effective January 1 each year. Within 30 days of a qualifying family status change. First day of the month following the date of hire for new employee, provided employee enrolls within 30 days of hire. Otherwise, enrollment may take place: Only during the open enrollment period to be effective January 1 each year. Within 30 days of a qualifying family status change. First day of the month following the date of hire for new employee. Otherwise, enrollment may take place: Only during the open enrollment period to be effective January 1 each year. Within 30 days of a qualifying family status change. First day of employment.

Domestic Partner Health Plan

Dental Plan

Life, Accidental Death, and Dismemberment Insurance

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ELIGIBILITY DATES Voluntary Group Life Insurance Voluntary Accidental Death and Dismemberment Insurance Long Term Disability Insurance Defined Contribution Retirement Program Supplemental Retirement Program Tuition Scholarships (Employee, Spouse, Dependents) Flexible Spending Accounts First day of the month after approval by the Insurance Company. First day of the month following enrollment.

First day of the month following completion of 3 months of service, if actively at work; if not, the date the employee returns to active work. First day of any month following the date of hire.

First day of any month following receipt and approval of a signed salary reduction agreement The start of the first semester coinciding with or the next following date the employee, spouse or dependents are eligible.

First day of the month following the date of hire for new employee. Otherwise, enrollment may take place: Only during the open enrollment period to be effective January 1 each year. Or within 30 days of a qualifying family status change. Re-enrollment must be completed annually during open enrollment. First day of employment.

Employee Assistance Program Disability Insurance

30 days following date of hire unless currently covered by another employer.

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All Health and Dental Plans

TERMINATION DATES Last day of the month in which the employee separates. Continuing coverage is available at 102% of cost for up to 18 months for separating employee and 36 months for dependents who lose their dependency. Additional periods of coverage may be available under certain circumstances. (Employees with pretax premiums may discontinue coverage any December 31 or within 30 days of a qualifying family status change.) The date of separation from employment. Life Insurance is convertible with the carrier within 31 days following the date coverage ceased.

Life and Accidental Death and Dismemberment Insurance Voluntary Group Life Insurance Voluntary Accidental Death and Dismemberment Insurance Long Term Disability Insurance Defined Benefit and Defined Contribution Retirement Plans Supplemental Retirement Programs Tuition Scholarships

The date of separation of employment. Convertible with carrier within 31 days following the month coverage ceased. The date of separation of employment. Coverage is convertible within 31 days following the month coverage ceased.

Last day of the month in which the employee separates. Credited service ceases on the date of separation of employment.

Contributions cease on the date of separation from employment. Tuition benefits for employees and spouses will not be paid for any semester commencing after the separation date. Tuition benefits for dependent children cease as stated in the policy (Tuition Scholarship BenefitsDependent Children).

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Flexible Spending Accounts

TERMINATION DATES Contributions cease on the date of separation from employment. Services utilized after the date of separation may not be submitted under the Flexible Spending Account. Employees may continue to submit requests for reimbursement from the Flexible Spending Account (if any) for expenses incurred up to the employees termination or retirement date. (Participating employees may discontinue pretax contributions effective December 31 or within 30 days of a qualifying family status.) Continuing coverage is available for up to 18 months.

Employee Assistance Services

For benefits to become effective, the proper benefit forms must be completed and received by the Division of Human Resources within the designated time limits.

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1100.3

Tuition Scholarship BenefitsEmployees and Spouses

Purpose To define the conditions under which Rensselaer Polytechnic Institute will pay tuition scholarship benefits for employees and their spouses. Policy Internal Tuition Policy. Rensselaer will pay the tuition for full-time employees and their spouses for a maximum of two courses per semester up to a maximum of six courses in each fiscal year for courses taken at Rensselaer. Rensselaer will pay the tuition for regular part-time employees taking job related courses as determined by the supervisor for a maximum of one course per semester for courses taken at Rensselaer. Employees are eligible for tuition scholarship benefits starting with the semester beginning on or following the date of employment. External Tuition Policy. Rensselaer will reimburse the cost of tuition for regular full-time employees for up to two job related courses per fiscal year taken at other recognized colleges or universities. However, the coursework must be job-related and approved in advance by a supervisor or the Division of Human Resources. A Request Form can be obtained from the Human Resources Department and must be completed and approved prior to the commencement of the course. Procedure Courses Taken at Rensselaer. A. Employees and their spouses who wish to take courses at Rensselaer must use the following procedure: 1. Apply for admission through the Offices of Undergraduate or Graduate Admissions. They may apply to enroll in an undergraduate or graduate degree program, or as a nonmatriculating student. 2. Employees/spouses applying for a degree program should apply well in advance of the semester in order to allow time for required test scores and other credential reviews. Those applying as non-matriculating students should apply no later than two weeks before the start of the course(s) they wish to take. In both instances, a certified copy of the applicants high school (or equivalent) or college transcript will be required. Any other requirements for acceptance may be determined by contacting either the Undergraduate or Graduate Admissions Offices.

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If there are questions about the admissions process including qualifications, contact the Dean of Undergraduate Admissions or the Dean of Graduate Admissions. The offices of Undergraduate or Graduate Admissions will inform the applicant by letter of the course(s) to which they have been admitted and will also inform the Registrar of the acceptance. 3. After admission, the employee must forward to Human Resources a completed Tuition Scholarship Request Form (available from the Division of Human Resources) signed by the employee, and the employees Dean, Director, Division Head, or Chairperson. The process must be followed for each semester the employee is taking courses. 4. The reimbursement rate is up to 100 percent of tuition provided the employee and/or spouse has passed the course with a grade of C or higher (or pass in a pass/fail grading system). B. When, during a semester, an employee separates from the Institute for reasons other than death, disability, retirement, a violation of Institute policies, or changes to a position not covered by this policy and the Division of Human Resources has approved the application for tuition benefits, the tuition benefits will continue through the end of the academic semester. In determining eligibility for such separating employees and their spouses, the employee must have been considered an active employee for four weeks during the semester for which the benefit is being utilized. C. Employees may enroll in courses offered during the workday, subject to the approval of their immediate supervisor and department head. In deciding whether to grant approval, the supervisor and department head should take into consideration the work requirements of the office and whether the course is job-related. Time away from work to attend classes must be made up. D. The President, Cabinet Members, and the Director of Internal Audit may not enroll in degree programs at Rensselaer unless an exception has been granted by the President or the Board of Trustees. E. Professors, associate professors and assistant professors normally may enroll in up to two courses per semester offered by Rensselaer with the approval of the Provost. However, if the

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course is being taken for credit, credit must be transferred to another institution. F. Instructors may enroll for one or two courses per semester. G. All other cases regarding educational opportunities and benefits for faculty are subject to the Provosts approval after a recommendation is made by the appropriate department head or chairperson and dean of the school concerned. Courses at another university or college. Courses must be jobrelated as verified by the employees supervisor on the Tuition Scholarship Request Form. The reimbursement rate is up to 100 percent of tuition provided the employee has passed the course with a grade of C or higher (or pass in a pass/fail grading system). This benefit applies only to employees and is not available to spouses. The coursework must be approved in advance by a supervisor or the Division of Human Resources. A Request Form can be obtained from the Human Resources Department and must be completed and approved prior to the commencement of the course. Evidence of grade status and a tuition bill must be attached to the Tuition Scholarship Request Form in order for reimbursement to be processed. Responsibility. All questions regarding the interpretation or application of the provisions of this policy should be addressed to the Division of Human Resources.

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1100.4

Tuition Scholarship BenefitsDependent Children

Purpose To define the conditions under which Rensselaer will pay tuition scholarship benefits for dependent children of Rensselaer employees. Definitions Dependent Child. For purposes of Policy #1100.4, Tuition Scholarship Benefits Dependent Children, the definition of a dependent child is a son, daughter, stepson, stepdaughter, adopted son, or adopted daughter for whom more than half of the support was received from the taxpayer during the taxable year or one for whom legal guardianship or adoption proceedings have been initiated. Children age 26 and over; adopted brothers, adopted sisters, and/or other adopted relatives are not dependent children for purposes of this policy. College. Any college, university or other accredited institution as listed in the Accredited Institutions of Post Secondary Education and accredited by one of the following accrediting agencies: Accrediting Council for Independent Colleges and Schools Accrediting Commission for Career Schools/Colleges of Technology Accrediting Commission of the Distance Education and Training Council Board of Commissioners, Accrediting Bureau of Health Education School Middle States Association of Colleges and Schools/Commission on Higher Education (MSA) New England Association of Schools and CollegesCommission on Institutions of Higher Education (NEASC-CIHE) North Central Association of Schools and Colleges (NCA) Northwest Association of Schools and Colleges (NASC) Southern Association of Colleges and SchoolsCommission on Colleges (SACS-CC) Western Association of Schools and Colleges-Accrediting Commission for Senior Colleges (WASC-Sr.) Western Association of Schools and Colleges-Accrediting Commission for Junior Colleges (WASC-Jr.) College shall also include foreign institutions when the Provost determines that the institution would be accredited by one of the above agencies if it were in the United States.

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Semester. Semester is defined as one half of an academic year. If a college or university uses a different division of the academic year, the amount of scholarship will be limited in order not to exceed fifty percent of Rensselaers current tuition or $3,000 per academic year depending on the date of hire of the parent of the eligible dependent child. A tuition scholarship may be paid for summer school or evening school and then be credited as a semester toward the eight undergraduate semester maximum. Policy This policy applies to the dependent children of: A. Full-time faculty and staff who complete 3 years of full-time continuous service. B. Regular part-time employees who have the equivalent of ten continuous years of full-time service credit. Part-time employees receive a half year of service credit for each year that they work 1040 hours or more. C. Any employee meeting the requirement of A or B above whose child is currently enrolled in an undergraduate program and who meets one of the conditions below will continue to receive a tuition benefit for the remainder of the eight undergraduate semesters if the employee (1) dies; (2) retires with ten years of continuous service and is at least age 55; or (3) becomes totally disabled as determined by Rensselaer. D. Any employees meeting the requirements of A or B above with ten or more continuous years of full-time service or the equivalent whose child has not yet been enrolled in an undergraduate program and who meets one of the conditions below is eligible to receive the tuition benefit for eight undergraduate semesters if the employee (1) dies; (2) retires and is at least age 55; or (3) becomes totally disabled as determined by Rensselaer. Rensselaer pays for up to eight undergraduate semesters of up to 100% tuition scholarship benefits for an employees eligible dependent children when they attend Rensselaer Polytechnic Institute. If the eligible children elect to attend another college that is recognized by Rensselaer, Rensselaer will pay tuition scholarship benefits for each eligible child for eight undergraduate semesters as follows:

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1. For eligible dependent children of full-time employees hired prior to October 1, 1978, Rensselaer will grant an amount not exceeding the lesser of 50% of the current Rensselaer tuition per semester or the total tuition for the semester at the other college. Dependent children of part-time employees receive one half of this benefit. 2. For eligible dependent children of full-time employees hired after September 30, 1978, Rensselaer will grant an amount not exceeding the lesser of $1,500 per semester or the total tuition for the semester at the other college. Procedure An employee must submit a signed Tuition Scholarship Request Form for each eligible child for each payment to be made; i.e., each semester, trimester or quarter requires that a separate request form be filed. A copy of the students tuition bill must be attached to the request except if the dependent child is attending Rensselaer. The Division of Human Resources will forward the appropriate payment to the college. An employee eligible for the scholarship benefit must be employed by Rensselaer for at least 8 weeks of the academic semester for which the scholarship benefit is being provided. When a dependent child receiving benefits under this policy separates from or transfers to a college, the child and/or parent must notify the Division of Human Resources immediately. The employee and the Division of Human Resources must take every reasonable effort to obtain a refund of any monies already paid on the childs behalf for the semester during which the dependent child separates from a college. The amount of tuition paid and the amount of refund received will be considered by the Division of Human Resources when determining the remaining benefit available, if any. An employee with an eligible dependent child attending Rensselaer or another college in New York State may be required to apply for a New York State Tuition Assistance Program (TAP) award. Employees may contact the Division of Human Resources to determine if the TAP requirement applies to them. In addition, if the dependent has been awarded a New York State Regents scholarship, the value of that scholarship is applied toward the cost of tuition. If the amount of these awards plus Rensselaers scholarship exceeds the childs tuition, the Rensselaer Tuition scholarship will be reduced by the amount of the excess.

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Scholarships issued under this policy are for the benefit of the child. If both parents are employed at Rensselaer and are within the scope of this policy, no more than one scholarship per semester will be granted on behalf of the child. However, if the $36,000 maximum is exceeded for one employee parent, additional scholarships will be applied against the $36,000 maximum of the other employee parent. This benefit covers undergraduate tuition only. It does not cover graduate tuition, board, room, books, supplies, breakage, deposits, activity or athletic fees, student union and health fees, fines or penalties.

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1100.5

Employee Assistance Services

Purpose Rensselaer Polytechnic Institute provides employee assistance services designed to assist employees and their dependent family members with a means to solve problems. Definition Primary Services 1. Short-term counseling for each family member (up to three sessions). 2. Assessment and referral for on-going counseling or specialized problem areas. 3. Education provided to the Rensselaer Community on special interest topics related to mental health and substance abuse. 4. Intervention for disciplinary process alternative (initiated by supervisor). 5. Coordination with community resourcesboth public and privatewhen applicable. Utilization of Services To access these services, employees should call the EAP Carrier. (Visit the Division of Human Resources web page for contact information.) Counseling sessions are by appointment and scheduled as quickly as possible. Messages may be called in after working hours and the call will be returned as soon as possible the next workday. Policy All employees and their dependent family members may use these services. A professional counselor is available to assist with problems such as depression, anxiety, marital conflict, alcoholism, drug abuse, legal, financial, and other stresses. Procedure Services are Free of Charge and Include: Up to three counseling sessions to define a problem and, if necessary, develop a plan for working on it. Assistance in arranging any determined further help an employee may decide upon. Confidentiality. The use of the Employee Assistance Program (EAP) is strictly confidential. Rensselaers EAP contractor will not release to anyone, including Rensselaer, information about any individual employee or family member, unless the employee authorizes it in writing. Privacy is guaranteed by federal and state laws on confidentiality.

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1100.6

Domestic Partner Medical Coverage

Purpose To define Rensselaers policy on domestic partnership and health coverage for domestic partners Definitions Domestic partners are people who: Are same sex. Are at least 18 years old. Are competent to contract at the time the domestic partnership is registered. Are not married to anyone, having dissolved any prior marriages of either domestic partner through death or divorce. Are not related to each other by a degree of closeness that would prohibit legal marriage in the State of New York. Are each others sole domestic partner. Share a household that is the primary residence of both (although they may live apart for reasons of education, health care, work, or military service). Are responsible for each others common welfare and financial obligations. Have registered their domestic partnership with the Benefits Office by submitting an Affidavit of Domestic Partnership that has been signed by both partners and notarized. Both the employee and the domestic partner must meet all these criteria. Policy Rensselaers policy of domestic partnership and health and dental coverage for domestic partners allows employees to obtain health and dental insurance benefits under the available group insurance programs. Procedure Registration of Domestic Partnership An employee who wishes to register a domestic partnership should contact the Benefits Office to obtain an Affidavit of Domestic Partnership. The employee and his or her domestic partner should complete the affidavit, sign and date it in the presence of a notary, have it notarized, and return it to the Benefits Office within 30 days of the date of signature. Upon receiving the completed, signed, and notarized affidavit, the Benefits Office will consider the domestic partnership to have been registered on the date on which the completed affidavit was signed by both partners and notarized.

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Termination of Domestic Partnership To terminate a domestic partnership, an employee must notify the Benefits Office in writing of the termination of the domestic partnership within 30 days of its termination. This notification must be provided via a Notice of Termination of Domestic Partnership. An employees failure to notify the Benefits Office within 30 days of this change or any other change that would affect a covered dependents eligibility for continued coverage under Rensselaers group health program may result in termination of the dependents health coverage, retroactive to the date of the coverage, and may result in a civil action to recover any losses. Registration of Subsequent Domestic Partnership As explained above, an employee may terminate a domestic partnership by notifying the Benefits Office in writing of the termination of that domestic partnership within 30 days of its termination. The employee must then wait six months from the date of that notice before registering another domestic partnership, except in either of the following cases: The employee is registering the same domestic partnership within 30 days of notification of the termination of that domestic partnership. The employees former domestic partnership was dissolved through the death of the employees domestic partner. Eligibility and Enrollment Eligible employees are regular or fixed-term employees scheduled to work at least 20 hours per week and who have registered a domestic partnership with the Benefits Office. An eligible domestic partner is one who has joined with an employee in registering a domestic partnership with the Benefits Office, as explained above. A domestic partners eligible children are those who meet the other criteria for eligible children under the group insurance programs and who make their primary residence with the employee. A domestic partners children whose primary residence is not with the employee are not eligible for coverage.

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An eligible employee who has registered a domestic partnership with the Benefits Office may enroll a domestic partner (and the domestic partners eligible children, if any) for coverage under the Companys group health program at any of these times: At the time the employee becomes eligible to enroll for coverage. Within 30 days of registering the domestic partnership. Within 30 days of a childs birth or adoption. During the annual open season enrollment period. Enrollment of domestic partners (and their eligible children, if any) is subject to the same rules as enrollment of other dependents and may occur only at the times listed above. An employee who wishes to enroll his or her domestic partner (and the domestic partners eligible children, if any) for coverage under Rensselaers group health program should obtain a Benefits Election Form, complete it, and return it to the Benefits Office. Coverage for the domestic partner (and the domestic partners eligible children, if any) will become effective on the date that both the Affidavit of Domestic Partnership and Benefits Election form have been completed and signed, or the date on which the employee became eligible for health coverage, whichever is later. Continuation of Coverage Although not legally obligated to do so, Rensselaer will extend to the employees domestic partner (and the domestic partners eligible children, if any) the same rights for continuation of health benefits that it extends to employees spouses under the Consolidated Omnibus Budget Reconciliation Act of 1986 (COBRA). These rights are extended to people who lose coverage under Rensselaers group health and dental programs because of specific qualifying events set forth under COBRA. Rensselaer will treat termination of a domestic partnership as a qualifying event. TAX/LEGAL CONSEQUENCES OF DOMESTIC PARTNERSHIP Tax Consequences Under the Internal Revenue Code, an employee is not taxed on the value of benefits provided by an employer to an employees spouse or dependent. However, the IRS has ruled that a domestic partner does not qualify as a spouse.

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The value of the benefits provided to an employees domestic partner (and the domestic partners eligible children, if any) is considered part of the employees taxable income, unless the employees domestic partner qualifies as a dependent under section 152 of the Internal Revenue Code. Rensselaer will treat the value of the benefits provided to an employees domestic partner (and the domestic partners children, if any) as part of the employees income, and will withhold the taxes on the value of those benefits from the employees paychecks. If the employees domestic partner qualifies as a depended under section 152 of the Internal Revenue Code, the employee may file the proper documentation with the IRS and seek a refund for the taxes withheld. Any tax consequences of domestic partnership are the responsibility of the employee, not of Rensselaer. Legal Consequences Registering as a domestic partner does not give the domestic partner the legal rights of a spouse under Rensselaers pension plan, life insurance plans or any other benefit plans. Any legal consequences of domestic partnership are the responsibility of the employee, not of Rensselaer.

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1200.1

Retirement

Purpose To outline Rensselaers retirement and pension rules and practices. For detailed information, employees should refer to each plans individual summary plan description. Policy To ensure that employees continue to receive work-related income once they retire from their job, Rensselaer Polytechnic Institute has established several types of pension and retirement programs for employees who meet certain requirements. Rensselaers pension plan provides a lifetime annuity for employees who retire under the provisions for standard, early, and disability retirement. Similarly, Rensselaer sponsors a 403(b) plan that allows employees to save money on a pretax basis to supplement their retirement income. For complete information about these retirement benefits, employees should consult the Summary Plan Description for each of these plans. Any questions should be directed to the Division of Human Resources. Any information provided by Rensselaer or Human Resources is not intended as investment advice. Employees should seek investment advice from his/her own investment consultant. This policy applies to all employees, including faculty and members of the Presidents Cabinet. Procedure Contributory Defined Benefit Retirement Plan Only employees who were participants in the Defined Benefit Plan prior to July 1, 1993 are eligible for continued participation and retirement benefits under this plan. Employees hired after July 1, 1993 are not eligible to participate, nor are they eligible for any benefits under the Defined Benefit Contributory Plan. Employees may not participate in both the Defined Benefit Plan and the Defined Contribution Plan. Prior to, and within ten years of, Normal Retirement Date, as defined in the Plan document, an employee may commence a retirement benefit under the Defined Benefit Plan only upon total and permanent disability or a bona fide separation from service. A bona separation is defined as a period of at least 90 days of separation, provided also that no discussion of rehire occurred prior to benefit commencement. A reduction in hours worked does not in itself constitute separation from service.

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Defined Contribution Retirement Plan Regular or fixed term employees scheduled to work at least 1,000 hours per fiscal year are eligible to participate in the Defined Contribution Plan. Employees may not participate in both the Defined Contribution Plan and the Defined Benefit Plan. If an employee elects to participate in the Defined Contribution Plan, one percent of his/her applicable gross earnings is deducted from the employees paycheck on a pre-tax basis up to a limit imposed by the IRS. Rensselaer will contribute 8% of the employees pay to the employees retirement program on the employees behalf. (8% of total regardless of material.) Employees will be vested in (own) Rensselaer contributions made on their behalf after completing three years of vesting service. Vesting service is counted from the employees date of employment (not the date of program participation). If an employee leaves Rensselaer prior to completing three years of vesting service, (i.e., 720 hours in each of three plan years), Rensselaer contributions made on the employees behalf will be forfeited. Contributions made by the employee, as well as those made by Rensselaer, will be invested in either TIAA-CREF or Fidelity Investment funds. Each employee may only elect to have his/her contributions invested with one Fund Sponsor per year. The plan year runs July 1 through June 30. Each employee will be given the opportunity to change Fund sponsors each July 1. Employees must contact the Sponsor directly to change their fund allocations during the plan year. Supplemental Retirement Program Employees may also participate in a tax sheltered retirement program provided they contribute at least $200 per year to the program, but do not contribute beyond the limit imposed by the IRS. The Internal Revenue Code imposes limits on how much each employee can contribute in a calendar year. An employee may begin participation in the plan on any first of the month. Each employee may choose from a wide variety of investment options offered by three investment service organizations Fidelity Investments, Scudder Investments, and TIAA-CREF. These options include stock funds, bond funds, money market funds, and combinations thereof.

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1200.2

Health Insurance Benefits for Retirees

Purpose This policy defines the conditions under which Rensselaer Polytechnic Institute retirees may obtain group health insurance through Rensselaer. Policy Group health insurance may be obtained through Rensselaer for retired employees who are at least age 55 at separation, have five or more years of service, retire directly from Rensselaer, and (if age 65 or over) have Medicare Parts A and B. Eligible dependents of retired employees may also obtain group health insurance through Rensselaer. Procedure Retired employees, their spouses, and unmarried dependent children under age 25 may obtain group health insurance through Rensselaer under any of the following circumstances: 1. Retirees and eligible dependents may enroll during any open enrollment period, typically during November and early December of each year, for a January 1 effective date. 2. Upon a change in family status. If a retiree is not currently enrolled in a Rensselaer health plan and, for example, loses coverage through a spouses health plan because of his or her loss of employment, then the retiree and eligible dependent can enroll outside of the open enrollment date. The effective date must coincide with the effective date of the change in family status. 3. If a retiree is enrolled in a Rensselaer health plan but his or her spouse is not, the spouse may enroll at any open enrollment date or during the year if there is a change of family status as described in item 2 above. Rensselaer will make a contribution of the lesser of 1.67 percent of the monthly health insurance premium for each year of service up to 30 years, or 50 percent of the premium for retirees and spouses. For retirees and spouses age 65 or over, Rensselaer will pay up to 50 percent of the premium to a maximum of $85 per month per individual. Dependent children who lose their eligibility may continue health coverage for up to 36 months by electing to pay 102 percent of the premium.

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1300.1

Paid Time Off (PTO) Program

Purpose To define the conditions and describe how regular full time and part time exempt and nonexempt employees, and fixed term employees may earn, use, and receive payment for absences from work because of vacation, personal reasons, sickness or injury.

Definition Paid Time Off (PTO): The PTO Program merges vacation and sick leave accrual rates for all eligible employees. The PTO Program contains the same leave accrual rates for exempt and nonexempt employees. Eligible Employees: Regular exempt and nonexempt employees scheduled to work a minimum of 20 hours per week, and fixed term exempt and nonexempt employees scheduled to work a minimum of 20 hours per week. Accrual: For calculation of length of service in this policy, the accrual year is the twelve month period beginning when the employee is eligible for benefits. Executive Officers: President, Vice Presidents, Provost, Deans of Five Schools, Secretary of the Institute

Policy Full-time and part-time exempt and nonexempt employees earn PTO based on years of service. After completion of the Initial Period of Employment, PTO time may be taken as accrued and used only with the approval of the employees supervisor. PTO is provided to all regular exempt, regular nonexempt, fixedterm exempt and fixed-term nonexempt employees. PTO is provided for the exclusive purpose of allowing employees to take time off for vacation, personal or medical reasons. Acceptable medical reasons include the employees own incapacitating illness or injury; an employees child who is sick; a seriously ill parent or spouse; and necessary medical treatment or medically advised rest. Visits to doctors and dentists also are acceptable reasons for PTO. Unscheduled absences (i.e., time off not approved by the employees supervisor) may result disciplinary action, up to and including dismissal.

Procedure Exempt and nonexempt employees scheduled to work 40 hours per week earn PTO according to the following schedules:

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Exempt and Nonexempt Staff Staff Years of Service 1st Year 2nd through 3rd Year 4th through 6th Year 7th through 10th Year Over 10 Years PTO Annual Accrual Rates 144 hours/18 days 168 hours/21 days 200 hours/25 days 232 hours/29 days 248 hours/31 days

Executive (Non-Cabinet) Years of Service 1st through 10th Over 10 Years PTO Annual Accrual Rates 232 hours/29 days 248 hours/31 days

Regular employees will be allowed to carry over and will be paid out upon separation a maximum of 200 Hours (25 days) of PTO. Fixed-term employees are not allowed to carry over PTO leave from one appointment to another, and are not paid out any PTO leave upon separation. Unused PTO above 200 Hours will be transferred into a Reserve Time Off (RTO) bank at the end of each fiscal year. There will be no maximum on the size of the RTO bank. Exempt and nonexempt employees who work less than 40 hours per week and a minimum of 20 hours per week accrue PTO on a pro-rated basis for all hours worked, according to the schedules noted above. ACCRUAL PTO accrues each pay period. A new exempt or nonexempt employee begins to accrue PTO time on the date the employee is first eligible for benefits, but may not use any PTO leave until completion of the Initial Period of Employment. Any change in accrual rates will occur on the anniversary of this day. Excused paid absence will not interrupt PTO accrual. Excused unpaid absences (other than those noted in the Leave of Absence Policy) will cause a prorated reduction of PTO accrual. PTO will accrue on a straight time basis.

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PTO will continue to accrue during absences for military reserve duty, approved paid leave of absence, illness and/or disability to a maximum of one year with documentation of the disability, or absences covered by workers compensation until benefits have been received up to a maximum of one year or until the date a permanent award is made, whichever occurs first. USE OF PTO After completion of the Initial Period of Employment, PTO may be taken as accrued and used only with the approval of the employees supervisor. Such approval shall not be unreasonably withheld. Rensselaers work requirements shall take precedence over the scheduling of any employees request for PTO. PTO can be used in increments of one hour for nonexempt staff. Any fraction of a day used that is less than this will be charged as one hour. PTO can be used in increments of one (1) hour for exempt staff, but no less than four (4) hours in a day. Fixed term employees must take PTO before the end of their appointment. There will be no payment for unused PTO at the end of their appointment and/or upon separation. All usage of PTO must be recorded on the payroll report in a timely manner. PAYMENT PTO pay will be at the pay rate in effect for the employee during the leave, including shift differential, if any. An employee will receive pay for a holiday, not PTO pay, when an official Rensselaer holiday falls during the employees PTO leave. An employee will not receive pay in lieu of PTO. However, in the event that there is a change in an employees position that results in a change in the employees classification from one that earns PTO to one that does not, the employee will be paid for all accrued PTO up to the maximum allowable. When an employee has scheduled PTO for five or more consecutive working days, PTO pay may be included in the last paycheck before the leave subject to the following conditions: The employee presents to the Payroll Office a written

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request for such an arrangement approved by the appropriate supervisor showing the dates and the number of days he/she will be on PTO leave. Such a request is received by the Payroll Office no later than ten business days before the applicable payday. SEPARATIONS In the event of the death of an employee, any PTO pay to which the employee was entitled will be paid in accordance with the law. All payments for accrued PTO will be paid in accordance with the maximum allowable and at the rate of pay in effect at the time of separation. No payment will be made for any PTO accrual if the employee separates before the end of his/her Initial Period of Employment.

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1300.2

Paid Sick Leave: Regular Exempt, Nonexempt, and Fixed Term Staff

Purpose To define the conditions under which eligible employees will be paid for absences from work caused by sickness or injury. Definition Eligible Employees: Regular exempt and nonexempt employees scheduled to work a minimum of 20 hours per week, and fixed term exempt and nonexempt employees scheduled to work a minimum of 20 hours per week. Policy Paid sick leave is provided to all regular exempt, regular nonexempt, fixed-term exempt and fixed-term nonexempt employees. Sick leave is provided for the exclusive purpose of allowing employees to take time off for medical reasons. Acceptable medical reasons include the employees own incapacitating illness or injury; an employees child who is sick; a seriously ill parent or spouse; and necessary medical treatment or medically advised rest. Visits to doctors and dentists also are acceptable reasons for taking sick leave. Taking sick leave under false pretenses is a violation of trust that is subject to disciplinary action, up to and including dismissal.

Procedure GENERAL Employees who have accrued Paid Time Off (PTO) will receive sick pay when they are unable to work because of sickness or injury. An employee may use their accrued PTO to care for any eligible family member who is ill or injured. This allows staff to use as much PTO as they need to care for eligible family members. Eligible family members are defined in the Family and Medical Leave of Absence Policy. An eligible employee will be required to utilize and exhaust Paid Time Off (PTO for first 5 consecutive days out sick, RTO (Reserved Time Off), New York State disability leave, and/or Workers Compensation Leave benefits) for an FMLA leave granted due to the employees serious health condition. Therefore, any usage of PTO or RTO in a 12 month period for an employees serious health condition constitutes time granted for an FMLA leave and will be counted as part of an eligible employees 12 week non-paid leave entitlement under the FMLA (see Family and Medical Leave Act, Policy #1300.6).

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ACCRUAL OF TIME FOR USE WHEN SICK Full-time regular exempt , nonexempt and fixed term employees who work 40 hours per week will accrue PTO time from date of hire at the accrual rate per the following charts: Exempt and Non-Exempt Staff Staff Years of Service 1st Year 2nd through 3rd Year 4th through 6th Year 7th through 10th Year Over 10 Years PTO Annual Accrual Rates 144 hours/18 days 168 hours/21 days 200 hours/25 days 232 hours/29 days 248 hours/31 days

Executives (Non-Cabinet) Years of Service 1st through 10th Over 10 Years PTO Annual Accrual Rates 232 hours/29 days 248 hours/31 days

Employees will be allowed to carry over and will be paid out upon separation a maximum of 200 hours (25 days) of PTO. Unused PTO above 200 hours will be transferred into a Reserve Time Off (RTO) bank at the end of each fiscal year. There will be no maximum on the size of the RTO bank RTO is never paid out upon separation or retirement. RTO can only be used in cases of illness or injury starting with the 6th consecutive day of absence, and the absence must be documented and certified, in writing, by the employees attending physician. Employees will be considered working and will therefore accrue PTO time during a paid absence for any of the following: Holidays PTO (Vacation Leave, Sick Leave, Personal Leave) RTO (Sick Leave greater than 5 consecutive business days) Jury Duty Bereavement Workers Compensation (until payments have been received for up to a maximum of one year of the date a permanent disability award is made, whichever occurs first) 1300 - 6

Military Reserve Duty FMLA Medical Leave If scheduled work hours are not completely covered by the situations listed above, the accrual will be reduced on a prorated basis. A full time employee who transfers to a part time position will carry forward all accrued PTO time up to the allowable maximum. Part-time regular and fixed term employees. An employee who is scheduled to work at least 20 hours per week but less than 40 hours per week will accrue prorated sick time for each pay period. The employee will be considered working and will therefore accrue PTO time during a paid absence for any of the following: Holidays PTO (Vacation Leave, Sick Leave, Personal Leave) RTO (Sick Leave greater than 5 consecutive business days) Jury Duty Bereavement Workers Compensation (until payments have been received for up to a maximum of one year of a permanent disability award is made, whichever occurs first) Military Reserve Duty FMLA Medical Leave If scheduled work hours are not completely covered by the situations listed above, the accrual will be reduced on a prorated basis. A part time employee who transfers to a full time position will carry forward all accrued PTO time up to the allowable maximum. Unpaid time. An employee who is absent without pay (and not receiving New York State non occupational Disability benefits, Workers Compensation benefits, or an FMLA Medical Leave) will not accrue PTO time during the applicable unpaid time. Accrual upon transfer. When an employee transfers to a position with a different PTO time accrual rate, the new accrual rate will become effective at the beginning of the first full pay period following the effective date of transfer.

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PAYMENT FOR TIME OUT SICK Employees will receive accrued PTO pay for absences due to the employees illness or injury up to five (5) consecutive days. When an employee is absent due to an illness or injury and has no accrued PTO time, they will not be paid for the first five (5) consecutive days of absence. PTO payments will be at the pay rate in effect during the period of leave, including shift differential wage adjustments, if any. PTO leave may be taken in units of one hour up to eight hours per day. On the sixth consecutive business day of absence due to a non work-related injury or illness, the employee may be eligible for short term disability benefits. Short term disability benefits allow an employee to receive RTO benefits that provide 4 hours per day of pay paid by Rensselaer and 4 hours of accrued RTO per day. If an employee has no accrued RTO time, Rensselaer will continue to pay 4 hours per day. Employees that work less than 40 hours per week will receive pro-rata portions of PTO, RTO and Rensselaer paid benefits. The supervisor and employee must notify Human Resources when the absence reaches six consecutive business days or is expected to go beyond five consecutive business days. Human Resources will forward information to the employee to initiate a short term disability. New York employees only On the sixth consecutive business day of absence due to a workrelated injury or illness, the employee is eligible for Workers Compensation benefits. Workers Compensation benefits cover two thirds of pay up to the scheduled maximum. These payments are

paid by the workers compensation carrier and not Rensselaer.

Connecticut employees only After the third consecutive business day of absence due to a workrelated injury or illness, the employee is eligible for Workers Compensation benefits. Workers Compensation benefits generally cover up to a scheduled maximum amount. These payments are

paid by the workers compensation carrier and not Rensselaer.

(For more information on Workers Compensation, see HR Policy # 1400.3.)

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If an employee does not have PTO time or RTO time to use but needs to take time off because of sickness or illness, time off may be granted without pay in accordance with the Leave of Absence Policy or the Family and Medical Leave of Absence Policy. For fixed term employees, if the appointment is extended, accrued PTO time will not be carried forward. NOTIFICATION AND REPORTING OF ABSENCE All absences must be coded on payroll as either scheduled or unscheduled. Scheduled absences are defined as absences that were scheduled and approved by the employees supervisor at least 48 hours in advance. To allow the department time to arrange coverage, re-distribute work or make any necessary schedule changes, if sickness or injury prevents an employee from reporting to work, the employee must notify the appropriate supervisor 60 minutes in advance of the scheduled start time or in accordance with departmental policy. If an employee is not able to notify his/her supervisor as required, the supervisor will consider the employees explanation of failure to notify in accordance with this policy. The supervisor will make the decision to accept or reject the explanation and will determine pay authorization and/or disciplinary action. If an employee is unable to notify the appropriate supervisor of the day when the employee will return to work, the employee must notify the supervisor of the absence each morning, unless other arrangements are made with and agreed to by the supervisor. If an employee becomes ill during the course of the workday and wishes to leave work, the employee must notify the supervisor before doing so. An employee who fails to provide notice will be considered to be on an unauthorized absence and will be subject to disciplinary action up to and including termination. Absences must be recorded as appropriately on the payroll report. RETURN TO WORK When an employee is absent from work for more than 5 consecutive business days due to a non occupational illness or injury, or one or more days due to an occupational illness or injury, the employee must submit to Human Resources a written release from a medical doctor indicating the date that the employee is able to return to work. If the release indicates any limitation on the employees ability to perform the regular duties, the return to employment will be at Rensselaers discretion consistent with applicable state and federal law. An employee will not be returned 1300 - 9

to work until such release has been submitted to and reviewed by Human Resources. The date of return to work for an employee on disability is subject to the approval of Rensselaers Medical Contractor or designee. If the employees physician and Rensselaers Medical Contractor or designee, disagree about the fitness of an employee, the opinion of the Medical Contractor or designee will prevail. Once Rensselaers Medical Contractor or designee approves the employees return, Human Resources notifies the employee and the department and follows up with a written confirmation. To save time, it is advisable to provide the release prior to the first day back. If the release is brought in on the actual first day back, the employee may experience a delay because the approval process may involve a call to the employees physician, a review of the Performance Management Tool and a second medical opinion. CONTINUATION OF BENEFITS An employee utilizing PTO or RTO leave will continue to receive Rensselaer benefits according to the provisions of the appropriate plans and provided appropriate employee contributions are made.

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1300.3

Consistent Attendance

Purpose To reward nonexempt employees who have perfect attendance.

Policy Regular and temporary nonexempt employees who do not have any recorded unscheduled PTO time for a six-month period will receive a day off following the end of the six month period.

Procedure The department supervisor will monitor attendance and inform any employee who has perfect attendance for a six-month period that the employee is eligible for a day off with pay to be taken at a mutually agreeable time within the next six-month period. The time taken will be recorded as other paid absence. An employees use of approved scheduled PTO, holiday, jury duty or bereavement time will not be considered when checking for perfect attendance.

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1300.4

Paid Holidays

Purpose To designate paid holidays, to define the conditions under which employees will be eligible for holiday pay, and to define how employees will be compensated for work performed on a paid holiday.

Policy Employees will be eligible for holiday pay on the days recognized by Rensselaer as paid holidays.

Procedure In general, Rensselaer provides employees with ten paid holidays per fiscal year (July 1 to June 30). In general, Rensselaer observes the following holidays: New Years Day Martin Luther King Jr.s Birthday Presidents Day Memorial Day Independence Day Labor Day Thanksgiving Day Day after Thanksgiving Day Christmas Day Rensselaer will designate the one remaining holiday. Rensselaer reserves the right to designate alternate holidays in any given year. The holiday schedule will be announced at the beginning of the fiscal year. When a paid holiday falls on a Sunday, it will be observed on the following Monday. When a paid holiday falls on a Saturday, it will be observed on the preceding Friday. When a paid holiday falls on or during an employees scheduled PTO, the employee will receive pay for a holiday, and not PTO pay. A holiday will begin at the end of the third scheduled shift on the day before the holiday and will end with the beginning of the first scheduled shift on the day after the

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holiday. Employees seeking time off for religious observances must utilize accrued PTO leave. ELIGIBILITY Employees will be eligible for designated holiday pay beginning on the date of employment. To be eligible for holiday pay, an employee must work on the first regularly scheduled workday preceding the holiday and the first regularly scheduled workday following the holiday, or on the holiday itself. When an employee is absent from the last scheduled shift before or after the holiday, or is scheduled to work on the holiday and does not do so, payment for the holiday will be made if the reason for the absence is one of the following: Personal illness, surgery or hospitalization and the employee has notified the appropriate supervisor. Medical certification of the illness may be required. The employee is on approve PTO leave and the holiday occurs during the PTO leave. The employee is on military reserve duty (not to exceed eight weeks). The employee is on jury duty. A member of the employees immediate family has died. Employees may utilize sufficient holiday pay to equal a regular days pay when combined with the following: Workers Compensation benefit. New York State disability pay. Not at work some time during the holiday week except for the reasons set forth above. On an approved leave of absence. Receiving PTO. PAYMENT Amount of pay for holidays not worked: A full time employee whose normal work schedule includes the day(s) on which a holiday occurs, but who is not required to work on the holiday, will receive pay for up to eight hours of work at his or her hourly rate (including shift

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differential). A full time employee whose normal work schedule does not include the day on which a holiday occurs will designate another regularly scheduled day as that holiday. The holiday pay will be prorated based on the number of hours worked per week. As an example, an employee who works 40 hours per week would receive eight hours of pay in lieu of eight hours time off. As another example, an employee who works 30 hours per week would receive six hours of pay in lieu of six hours time off. A part time employee whose normal work schedule includes the day(s) on which a holiday occurs but is not required to work on a holiday will receive holiday pay based on the average number of hours a day that he/she is scheduled to work during the normal work week. A part time employee whose normal work schedule does not include the day on which a holiday occurs will designate another regularly scheduled day generally within that pay period with supervisory approval as that holiday. If the department is unable to permit the employee to designate another regularly scheduled day as that holiday the department may pay the employee. The holiday pay will be prorated based on the number of hours worked per week. As an example, an employee who works 20 hours per week would receive an extra four hours of pay in lieu of time off. Amount of pay for work performed on holidays: A nonexempt employee whose normal work schedule includes the day(s) on which a holiday occurs, but who is scheduled to work on a paid holiday, will be paid time and a half for all hours worked in addition to designating another regularly scheduled day generally within that pay period with supervisory approval as that holiday. If the department is unable to permit the employee to take another day off as the holiday, the department may pay the employee. The hours paid would be the same as those worked on the actual holiday. A nonexempt employee called into work on a holiday who was not previously scheduled to work will receive overtime for all call-in hours worked and is guaranteed a minimum of four hours pay. Previously scheduled means an employee having been assigned to work for the holiday before the end of the last scheduled shift.

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An exempt employee who is scheduled to work on a paid holiday will designate another regularly scheduled day generally within that pay period with supervisory approval as that holiday. APPLICATION OF HOLIDAY PAY FOR THE PURPOSE OF DETERMINING OVERTIME PAYMENT For the purpose of computing overtime, a holiday will count as time worked. GENERAL If an employee is scheduled to work on a holiday and because of conditions beyond Rensselaers control work is not available during the holiday, call-in or report-in pay will not be paid. Normally, pay for a holiday will not be granted in addition to pay granted under other Institute policies. If a holiday falls during scheduled PTO leave, the PTO leave will not be charged for the holiday. HOLIDAY PAY FOR WORK ON CHRISTMAS AND NEW YEARS DAY Nonexempt staff scheduled to work the actual Christmas and/or New Years holiday will be paid straight time for that day, and will designate another regularly scheduled day, generally within that pay period, with supervisory approval. Christmas and New Years Holiday on a Sunday Nonexempt staff regularly scheduled to work on Sunday (the actual holiday) and scheduled off on Monday (the observed holiday), will be paid time and a half for all hours worked on Sunday and will designate another regularly scheduled day as the holiday, generally within that pay period, with supervisory approval. Nonexempt staff regularly scheduled to work on Sunday (the actual holiday) and on Monday (the observed holiday), will be paid time and a half for all hours worked on Sunday and paid straight time for hours worked on Monday. These employees will designate another regularly scheduled day as the holiday, generally within that pay period, with supervisory approval. Nonexempt staff regularly scheduled to work on Monday (the observed holiday), will be paid time and a half for all hours worked on Monday. These employees will designate 1300 - 15

another regularly scheduled day as the holiday, generally within that pay period, with supervisory approval.

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1300.5

Leave of Absence

(For leaves under the Family and Medical Leave Act, see FMLA Policy #1300.6) Purpose To define the circumstances under which an employee may be granted a leave of absence for reasons other than those covered under the Family and Medical Leave Act (FMLA).

Policy Regular employees are eligible to apply for a leave of absence for a variety of reasons including medical, parental, personal, military, or jury duty. Generally, no employees with less than six months of Rensselaer service shall be granted a leave of absence for medical, personal or parental reasons.

Procedure When requesting a leave of absence or an extension to any prior approved leave, employees must present a written request to the appropriate supervisor. Approval for a leave will be at the discretion of the supervisor, department head, Human Resources and the relevant Vice President. Rensselaer reserves the right to ask for documentation to support the request. A transaction form must be submitted by the department for all leaves of absence. Upon consultation, the responsible supervisor(s) and Human Resources will jointly approve or disapprove the requested leave of absence or extension to a prior approved leave and inform the employee in writing. For an approved leave of absence, both a designated start and return date shall be established prior to the commencement of the leave. If an employee does not return to work at the end of the approved leave, the employee may be terminated by the supervisor in compliance with the Progressive Discipline policy. The supervisor will ensure that the leave is reflected on the employees payroll record.

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TYPES OF LEAVES OF ABSENCE Medical Leave Of Absence. When an employee is no longer eligible for PTO leave, RTO leave, Workers Compensation Leave, New York State Non occupational Disability or FMLA leave and provides a doctors certification (such as a Social Security or long term disability award), a medical leave of absence may be granted at Rensselaers sole discretion. Normally, the maximum time allowed for a medical leave of absence is six months. An employee will be restored to the same or a substantially equivalent position following an approved medical leave provided such a position is still available, provided the employee is still qualified for the job as determined by Rensselaer and provided the employee returns to work within 10 months of the initial absence. If an employee is unable to work within 10 months of the initial absence the employees position may be filled. An employee will continue to accrue Rensselaer service while on an approved leave of absence provided the employee returns to work by the approved return date. Benefit plan coverage will be determined according to the provisions of the appropriate plans provided appropriate employee contributions are made. For leaves of less than 60 days, employee benefit contributions will be deducted from the first check upon return to work. For leaves greater than 60 days, an employee must pay contributions to Rensselaer by the first of each month. An employee will also receive detailed information from Human Resources on continuing benefit plan coverage. Benefits will continue provided the employees contributions are received on a monthly basis. It is not possible to contribute to a Rensselaer Retirement Plan during a leave without pay. However, employees should refer to plan documents for further information. Return from Medical Leave of Absence. An employee who is returning from a medical leave of absence must notify Human Resources of the intent to return to work. In addition, to allow his/her department to appropriately plan the return to work, the employee is also required to discuss the return to work with his/her supervisor. The employee must provide Human Resources with a written release from a doctor indicating the return date. If the release indicates any limitations on the staff 1300 - 18

members ability to perform normal duties, return to active employment will be at Rensselaers discretion consistent with applicable state and federal law. Parental Leave. In addition to 12 weeks of FMLA Leave (see Family and Medical Leave Act), an employee may request permission to work a minimum of half time and receive up to halftime unpaid leave for up to 8 weeks of parental leave. Parental leave under the policy is defined as leave to give birth to a child, to adopt a child, or to care for a newborn or newly adopted child. All parental leaves of absence under this policy must be taken and completed within twelve months of the date of birth or adoption. An employee who requests a parental leave must provide 30 days advance notice to the supervisor and Human Resources where the need for the leave is foreseeable. In the event it is not possible to provide 30 days notice, an employee should provide notice within one to two business days before the leave is to begin. Requests must be in writing and must be approved in writing. The request should contain the reason for the leave, the anticipated length of the leave and the anticipated start date of the leave. Medical certification of the birth of a child or documentation of an adoption must be provided to Human Resources at the time of the request. Benefit plan coverage will be determined according to the provisions of the appropriate plans. Benefits will continue provided the appropriate employee contributions are made. Personal Leave Of Absence. Personal leaves of absence will be granted only for documented, compelling reasons, at the discretion of the responsible supervisor, department head and Human Resources. Normally the maximum time allowed for a personal leave of absence is six months. An employee will be restored to the same or a substantially equivalent position following an approved personal leave provided such a position is still available, provided the employee is still qualified for the job as determined by Rensselaer and provided the employee returns to work within the time approved for the personal leave. If an employee is unable to return to work within the time approved for the personal leave, the employees position may be filled.

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During a personal leave, benefit plan coverage will be determined according to the provisions of the appropriate plans provided appropriate employee contributions are made. For leaves of less than 60 days, employee benefit contributions will be deducted from the first check upon return to work. For leaves greater than 60 days, an employee must pay contributions to Rensselaer by the first of each month. An employee will also receive detailed information from Human Resources on continuing benefit plan coverage. Benefits will continue provided the employee contributions are received on a monthly basis. It is not possible to contribute to a Rensselaer Retirement Plan during a leave without pay. However, employees should refer to plan documents for further information. Jury Duty Leave Of Absence. An employee, regardless of length of service, who is summoned to jury duty shall be granted a leave of absence for the duration of such duty. An employee must provide the supervisor with a copy of the jury duty summons prior to the jury duty sessions. The employee must secure from the court a statement of time of service and present this report to the appropriate supervisor upon return to work. The employees pay continues uninterrupted during the jury duty leave of absence. NOTE: Temporary employees will be paid only for the first three days of jury duty leave. An employee who is able to report for work during the period of jury duty for a minimum of four hours during the regular shift is expected to do so. However, such work should not interfere with obtaining proper rest or conflict with court sessions. All Rensselaer benefit plan coverage is continued uninterrupted during an approved jury duty leave of absence. An employee may retain any reimbursement received for jury duty. Military Leave Of Absence. As required by state or federal law, a military leave of absence will be granted to a Rensselaer employee in any position (other than a temporary position) who receives orders to report for active duty, initial active duty for training, or other

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required service in any branch of the United Sates Armed Forces (e.g., the Army, the Navy, the Marine Corps, the Air Force, the Coast Guard and their Reserve components, including the National Guard), or the Public Health Service. An employee in a military reserve unit who is called to serve in the armed forces or for training will receive makeup pay for the difference between the pay received for the tour of duty and the employees regular Rensselaer daily earnings, not to exceed eight hours per day, for a maximum of eight weeks. Make-up pay will be provided only when the tour of duty pay is less than regular Rensselaer daily earnings. Make-up pay will be calculated and obtained as described below. The total pay by the government, exclusive of travel and similar allowances, divided by the total number of days of active duty will be calculated to obtain a daily rate. Make-up pay will be determined by subtracting the daily rate from the employees normal earnings per day and then multiplying the result by the number of work days during the leave. The employee must obtain a report from the commanding officer showing the number of days on military leave and present the report to the appropriate supervisor upon return to work. The report should show the total amount of earnings for the employee to be eligible for make-up pay, if applicable. If training is scheduled during an employees PTO leave period, regular PTO pay will be received in addition to pay received for the tour of duty. If a holiday falls during the employees scheduled training the employee will receive make-up pay if the tour of duty pay is less than regular daily earning at Rensselaer. With the exception of training during PTO, in no instance will the employee receive more than regular daily earnings from a combination of Rensselaer pay and duty pay. Benefit plan coverage will be determined according to provisions of each plan for up to one year provided appropriate employee contributions are made. For leaves of less than 60 days, employee benefit contributions will be

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deducted from the first check upon return to work. For leaves greater than 60 days, an employee must pay contributions to Rensselaer by the first of each month. An employee will also receive detailed information from Human Resources on continuing benefit plan coverage. Benefits will continue provided the employees contributions are received on a monthly basis. It is not possible to contribute to a Rensselaer Retirement Plan during a leave without pay. However, employees should refer to plan documents for further information. An employee will accrue service during the time spent in military service provided the employee returns to work after discharge within the period specified by federal law. An employee returning from a military leave of absence (excluding inactive duty for training) must notify Human Resources of the intent to return to work by applying for reemployment within the period specified by federal law. (As a general rule, federal law provides that employees leaving active duty must apply for reemployment within 90 days of being released from active duty. Reservists and members of the National Guard returning from an initial period of active duty for training of not less than 12 consecutive weeks must generally apply for reemployment within 31 days of their release). A return to work date will be given to eligible and qualified returning employees by Human Resources. Employees who do not return to work at the appointed date may forfeit their rights to reemployment.

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1300.6

Family and Medical Leave Act

Purpose To define the circumstances under which eligible employees who comply with the requirements of the Family and Medical Leave Act (FMLA) and with Rensselaers medical certification requirements may be granted a leave of absence under the Act.

Definitions Serious Health Condition: FMLA defines a serious health condition as one that requires either inpatient care or continuing treatment by a health care provider. The definition is not meant to cover short term conditions where treatment and recovery are brief. Rather, it includes conditions that require absences on a recurring basis or for more than a few days off for treatment and recovery. Examples of serious conditions include heart attacks, heart conditions requiring heart bypass or valve operations, most cancers, back conditions requiring extensive therapy or surgical procedures, strokes, severe respiratory conditions, spinal injuries, appendicitis, pneumonia, emphysema, severe arthritis, severe nervous disorders, injuries caused by serious accidents on or off the job, pregnancy, severe morning sickness, the need for prenatal care, childbirth and recovery from childbirth. A serious health condition also is defined as one that makes an individual unable to attend work, school, or perform other daily activities for more than three days, and requires continuing treatment by a health care provider. Also qualifying under FMLA would be treatment for a serious, chronic health condition that if left untreated, would likely result in an absence from work of more than three days. For example, absences to receive treatment for early stage cancer, to receive physical therapy after a hospital stay, for severe arthritis, or for prenatal care are covered under FMLA. Not included in the definition are voluntary or cosmetic treatments that are not medically necessary unless inpatient hospital care is required. Prenatal care is included, but routine physical examinations are not. Eligible Family Member: An eligible family member includes a spouse as defined by federal or state law, parents, and natural, adopted, or foster children.

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Policy All Employees Under the federal Family and Medical Leave Act, eligible employees are entitled to take up to 12 weeks of unpaid leave each rolling 12month period for one or more of the following reasons: for the birth and care of the newborn child of the employee; for placement with the employee of a son or daughter for adoption or foster care; to care for an immediate family member (spouse, child, or parent) with a serious health condition; or to take medical leave when the employee is unable to work because of a serious health condition. Leave Related to Active Duty or Call to Duty: Eligible employees may take up to 12 weeks of FMLA leave in a 12-month period because of any qualifying exigency that arises from a spouses, sons , daughters or parents active duty in the United States Armed Forces, including an order or call to active duty. This leave is not confined to a single 12-month period. The 12 weeks is reduced by leave for any other qualifying FMLA event during the 12-month period. Leave to Care for Wounded Service Member: Eligible employees may take up to 26 weeks of FMLA leave during each rolling 12-month period to care for a spouse, son, daughter or parent or next of kin who are service members with serious illnesses or injuries incurred in the line of duty while in the United States Armed Forces, National Guard or Reserves. This leave is available only during one 12-month period and is combined with all other FMLA leaves during that period, resulting in a maximum total leave entitlement of 26 weeks. In addition to leave rights, all eligible employees receive job protection and health benefit continuation eligibility. State of Connecticut Employees Eligible employees in the State of Connecticut are entitled to take up to 16 weeks of unpaid leave each rolling 24-month period, but not more than 24 weeks in any rolling 24-month period. Washington D.C. Employees Eligible employees in the District of Columbia (Washington D.C.), are entitled to take up to 16 weeks of unpaid leave each rolling 12month period.

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Procedure FMLA MEDICAL LEAVE OF ABSENCE An eligible employee with a serious health condition who provides certification of that condition from a health care provider will be granted a medical leave under the FMLA. An eligible employee must utilize PTO for the first five consecutive business days and RTO thereafter as part of an FMLA medical leave. Medical certification must accompany the request on the form Certification of Healthcare Provider. An eligible employee who does not have a serious health condition may request a leave under Rensselaers Leave of Absence Policy and at Rensselaers discretion. An employee who requests an FMLA medical leave must provide 30 days advance notice to Human Resources where the need for the leave is foreseeable. In the event it is not possible to provide 30 days notice, an employee should provide notice as soon as practicable, either personally or through an authorized designee. Requests for medical leaves of absence not already documented for periods of total disability under Rensselaers RTO Policies must be in writing and must be approved in writing. The request should contain the reason for the leave, the anticipated length of the leave and the anticipated start date of the leave. The employee will be restored to the same or a substantially equivalent position at the end of an FMLA leave as required by Federal, State and local laws, provided such a position is still available, provided the employee is still qualified for the job as determined by Rensselaer and provided the employee returns to work at the end of the approved leave. An employee will continue to accrue Rensselaer service while on an approved leave of absence provided the employee returns to work by the approved return date. An employee will accrue PTO during that portion of FMLA leave when an employee is utilizing PTO leave. Benefit plan service and coverage will be determined according to the provisions of the appropriate plans provided appropriate employee contributions are made. For leaves of less than 60 days, employee benefit contributions will be deducted from the first paycheck upon return to work. For leaves greater than 60 days, an employee must make contributions to Rensselaer by the first of each month. An employee will also receive detailed information from Human Resources on continuing benefit plan coverage. Benefits will continue provided the employees contributions are received on a monthly basis. It is not possible to contribute to a Rensselaer Retirement Plan during leave without pay. However, employees should refer to plan document for further information.

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RETURN FROM AN FMLA MEDICAL LEAVE OF ABSENCE An employee who is returning from a medical leave of absence must notify Human Resources of the intent to return to work no later than seven calendar days prior to the anticipated date of return. For an FMLA medical leave of more than 30 days, the employee must provide Human Resources with a written release from a doctor or health care providers, as defined by FMLA, indicating the return date. If the release indicates any limitations on the employees ability to perform normal duties, return to active employment will be at Rensselaers discretion consistent with applicable state and federal laws. FMLA FAMILY LEAVE OF ABSENCE When an employee desires an unpaid leave of absence for personal reasons such as to care for a newborn child, to care for a parent, spouse or child with a serious health condition (each requires medical certification. See Certification of Healthcare Provider) or for the placement of a child with the employee for adoption or foster care (requires appropriate documentation), unpaid leave must be granted under the FMLA. An unpaid leave of absence for other reasons may be approved at Rensselaers discretion. (See Rensselaers Leave of Absence Policy #1300.5) A request for a family leave of absence must be in writing and must be approved in writing. The request should contain the reason for the leave, the anticipated length of the leave and the anticipated start date of the leave. An employee who requests a personal leave must provide 30 days advance notice to Human Resources where the need for the leave is foreseeable. In the event it is not possible to provide 30 days notice, an employee should provide notice as soon as practicable, either personally or through an authorized designee. The employee will be restored to the same or a substantially equivalent position at the end of an FMLA family leave as required by law, provided such a position is still available, provided the employee is still qualified for the job as determined by Rensselaer and provided the employee returns to work at the end of the approved leave. Benefit plan service and coverage will be determined according to the provisions of the appropriate plans provided appropriate employee contributions are made. For leave of less than 60 days,

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employee benefit contributions are made. For leaves of less than 60 days, employee benefit contributions will be deducted from the first check upon return to work. For leaves greater than 30 days, an employee must pay contributions to Rensselaer by the first of each month. An employee will also receive detailed information from Human Resources on continuing benefit plan coverage. Benefits will continue provided that the employees contributions are received on a monthly basis. It is not possible to contribute to a Rensselaer Retirement Plan during a leave without pay. However, employees should refer to plan documents for further information. An employee who is returning from a family leave of absence must notify Human Resources of the intent to return to work no later than seven calendar days prior to the anticipated date of return.

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1300.7

Bereavement Leave

Purpose To grant employees reasonable bereavement time without loss of pay when a death occurs in an employees family or to attend the funeral of a co-worker.

Definition Immediate Family: An employees spouse, parent, child, brother, sister, mother-in-law, father-in-law, daughter-in-law, son-in-law, brother-in-law, sister-in-law, grandparent, grandparent-in-law, grandchild, or another individual living in the employees residence.

Policy Rensselaer allows eligible employees limited paid time off for deaths of immediate family members, other relatives, or coworkers.

Procedure In case of death in the immediate family, employees will be allowed a maximum of five days, not necessarily in succession, with pay for bereavement. In case of death of another relative, employees will be allowed one day with pay for bereavement. An employee scheduled for PTO leave, not including a medical leave of absence or RTO leave, will receive bereavement pay in lieu of either when a death in the immediate family occurs. For extenuating circumstances, additional paid or unpaid time off may be granted by the supervisor. Employees will be allowed half a day with pay to attend the funeral of a co-worker with supervisors permission. An employee is required to notify the appropriate supervisor, as soon as possible, when not reporting to work due to a death in the family. Supervisors are responsible for maintaining employee absence records and should ensure that bereavement time off with pay is accurately reported on the payroll reports.

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1400.1

Safety and Health Policy Statement

Purpose To state Rensselaer Polytechnic Institutes commitment to faculty and employee well-being. Policy Rensselaer is committed to providing a safe and healthy workplace for all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Rensselaer complies with all applicable requirements issued by the federal Occupational Health and Safety Administration and implements a site-specific safety and health program. Management and all faculty and employees working at Rensselaer share the responsibility for the success of the safety and health program. It is the policy of Rensselaer to exercise all precautions necessary to protect faculty and employees from all work-related injuries and illnesses. Management firmly believes that all work-related injuries and illnesses are preventable. Rensselaer is committed to a program to prevent crime and provide a safe and secure environment for all faculty, employees and students. This policy applies to all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Procedure All employees are expected to take an active role in promoting workplace safety. If you witness an accident or an unsafe working situation, you must report it promptly to your manager or to the Division of Human Resources. You should take note of where the fire extinguishers, first-aid kits, and emergency exits for your department are located. For more information on safety and health procedures, please contact the Division of Human Resources. Rensselaer is committed to providing all employees, including faculty, staff, student employees and members of the Presidents Cabinet, with a safe and healthy workplace. It is the policy of this organization that all employees report unsafe conditions and do not perform tasks if the work is considered unsafe. Faculty and employees must report all incidents, injuries, and unsafe conditions to their supervisors. No employee making a report will face retaliation, penalty, or any other disincentive.

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Faculty and staff recommendations to improve safety and health conditions are given thorough consideration by Rensselaers management team. Management gives top priority to, and provides the financial resources for, the correction of unsafe conditions. Similarly, management takes disciplinary action against employees that willfully or repeatedly violate workplace safety and health rules. Discipline can include verbal or written reprimands and can ultimately result in termination of employment. Senior management is actively involved with faculty and staff in establishing and maintaining an effective safety and health program. Managers participate with faculty and staff in ongoing safety and health program activities, including: (1) promoting safety and health committee participation; (2) providing safety and health education and training; and (3) reviewing and updating workplace safety and health rules. While everyone in the Rensselaer community has a basic responsibility for his or her own personal safety, certain faculty and staff have an increased level of responsibility in crime prevention and safety issues. In conjunction with the Department of Public Safety, management is responsible for developing and implementing security related procedures such as office opening and closing routines, recognition of duress signals and key control. Management is responsible to promote and maintain standards for security conscious awareness and behavior, as well as maintain and disseminate to faculty and employees current information regarding Rensselaers crime prevention and suppression programs and services. For more information regarding personal safety and crime awareness, please refer to the Department of Public Safety brochure, "Your Safety, It's a Full Time Responsibility". This publication is available at Public Safety in the Visitor Center or online at http://www.rpi.edu/dept/public_safety/ .

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1400.1

Safety and Health Policy Statement

Purpose To state Rensselaer Polytechnic Institutes commitment to faculty and employee well-being. Policy Rensselaer is committed to providing a safe and healthy workplace for all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Rensselaer complies with all applicable requirements issued by the federal Occupational Health and Safety Administration and implements a site-specific safety and health program. Management and all faculty and employees working at Rensselaer share the responsibility for the success of the safety and health program. It is the policy of Rensselaer to exercise all precautions necessary to protect faculty and employees from all work-related injuries and illnesses. Management firmly believes that all work-related injuries and illnesses are preventable. Rensselaer is committed to a program to prevent crime and provide a safe and secure environment for all faculty, employees and students. This policy applies to all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Procedure All employees are expected to take an active role in promoting workplace safety. If you witness an accident or an unsafe working situation, you must report it promptly to your manager or to the Division of Human Resources. You should take note of where the fire extinguishers, first-aid kits, and emergency exits for your department are located. For more information on safety and health procedures, please contact the Division of Human Resources. Rensselaer is committed to providing all employees, including faculty, staff, student employees and members of the Presidents Cabinet, with a safe and healthy workplace. It is the policy of this organization that all employees report unsafe conditions and do not perform tasks if the work is considered unsafe. Faculty and employees must report all incidents, injuries, and unsafe conditions to their supervisors. No employee making a report will face retaliation, penalty, or any other disincentive.

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Faculty and staff recommendations to improve safety and health conditions are given thorough consideration by Rensselaers management team. Management gives top priority to, and provides the financial resources for, the correction of unsafe conditions. Similarly, management takes disciplinary action against employees that willfully or repeatedly violate workplace safety and health rules. Discipline can include verbal or written reprimands and can ultimately result in termination of employment. Senior management is actively involved with faculty and staff in establishing and maintaining an effective safety and health program. Managers participate with faculty and staff in ongoing safety and health program activities, including: (1) promoting safety and health committee participation; (2) providing safety and health education and training; and (3) reviewing and updating workplace safety and health rules. While everyone in the Rensselaer community has a basic responsibility for his or her own personal safety, certain faculty and staff have an increased level of responsibility in crime prevention and safety issues. In conjunction with the Department of Public Safety, management is responsible for developing and implementing security related procedures such as office opening and closing routines, recognition of duress signals and key control. Management is responsible to promote and maintain standards for security conscious awareness and behavior, as well as maintain and disseminate to faculty and employees current information regarding Rensselaers crime prevention and suppression programs and services. For more information regarding personal safety and crime awareness, please refer to the Department of Public Safety brochure, "Your Safety, It's a Full Time Responsibility". This publication is available at Public Safety in the Visitor Center or online at http://www.rpi.edu/dept/public_safety/ .

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1400.2

Refusing Unsafe Work

Purpose To establish a policy on employee rights to refuse unsafe work. Policy Rensselaer Polytechnic Institute does not permit employees, including, faculty, staff, student employees or members of the Presidents Cabinet, to perform unsafe work. If a work hazard cannot be eliminated, the risks associated with the hazard must be effectively mitigated through proper training, engineering controls, and/or personal protective equipment. This policy applies to all employees, including faculty, staff, student employees and members of the Presidents Cabinet. Procedure If you ever are in doubt about the safety of a given task, always discuss it with your supervisor or with the Department of Environmental Health and Safety before performing the task. Rensselaers objective is to maximize safety by reducing risks. A safe working environment can be achieved most effectively through early identification and understanding of safety issues; close interaction among managers, faculty, staff, and safety specialists; and adherence to safety policies, requirements, and guidelines. Federal regulations give employees the right to refuse to perform unsafe work under certain narrowly defined circumstances. Rensselaer does not punish or discriminate against faculty or staff for exercising their rights under the Occupational Safety and Health Act, including their right to refuse to perform work that exposes them to the risk of death or serious injury. Employees, including, faculty, staff, student employees or members of the Presidents Cabinet, are urged to review OSHA regulations before asserting any right to refuse unsafe work. Copies of the regulation are available through Rensselaers Department of Environmental Health and Safety. In particular, faculty and staff should note that the regulation does not, under any circumstances, give faculty or employees the right to walk off the job because of safety concerns or potentially unsafe conditions. Faculty and staff who leave the workplace without prior permission are treated as absent without leave and can be subject to discipline, up to the including termination of employment. (It should be noted that emergency building or room evacuations require that faculty and staff congregate at designated muster points and remain on site until requested to disperse by qualified emergency responders.)

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1400.3

Workers Compensation Program

Purpose To ensure that supervisors, faculty and staff know their rights and responsibilities under the workers compensation law. Policy Rensselaer is committed to meeting its obligation under the Workers Compensation statutes in New York, Connecticut and the District of Columbia (Washington D.C.) to provide medical, rehabilitation, and wage-replacement benefits to employees who sustain work-related injuries or illnesses. This policy applies to all employees, including faculty, staff and members of the Presidents Cabinet. Procedure All employees must immediately report all injuries or illnesses, regardless of severity, to their supervisor. Supervisors must notify the Division of Human Resources immediately in the case of serious injuries. Supervisors also must work with the employees to complete a Occupation Injury/Illness Investigative Report, which must be filed with the Benefits Department within the Division of Human Resources as soon as possible, but in any case no later than 24 hours after the injury occurs. Employees, including faculty, staff and members of the Presidents Cabinet cannot use group health plans for injuries or illnesses covered under the Workers Compensation statutes. In addition, employees cannot use their accrued leave while they are receiving wage-replacement benefits under workers compensation. Rensselaer works with its workers compensation insurer to investigate any suspected fraudulent workers compensation claims. Rensselaer seeks the prosecution of any employee filing fraudulent claims or engaging in other workers compensation fraud. Rensselaer bears the full cost of this program. For more information regarding benefits under this program, contact the Division of Human Resources.

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1400.4

Return-to-Work Policy

Purpose To return injured employees to gainful employment as soon as medically possible. Policy This policy covers employees, including faculty, staff and members of the Presidents Cabinet, that are on leave due to an occupational injury or illness. Because employees are our most valuable resource, Rensselaer Polytechnic Institute attempts to help employees return to work as soon as possible after their attending physician certifies their fitness to do so. Procedure Coordination with attending physician. Any employee, including faculty, staff and members of the Presidents Cabinet, that leaves due to a work-related disability can return to work only when Rensselaer receives the attending physicians (and third-party consultants, as necessary) written medical release authorizing such return. An employee may be provided full, or detailed partial, clearance in writing from the attending physician(s). Job descriptions. The Division of Human Resources is responsible for working with supervisors to ensure that job descriptions accurately and completely describe the essential functions of each position. The Division of Human Resources may work with medical consultants to analyze any new transitional position and develop a job description describing the essential functions of that position. Return-to-Work Options. Arrangements to facilitate an employees early return to work are made in consultation with the employees attending physician and/or other qualified medical professionals retained by Rensselaer or its insurance carrier. The following options are explored: Return to prior position. Any faculty or staff member is offered the opportunity to return to his or her prior position if the attending physician certifies that the employee can perform the essential functions of the job with or without reasonable accommodations. The Division of Human Resources is responsible for working with the employees supervisor and attending physician (and third-party consultants, as necessary) to provide any reasonable accommodations. Transitional duty. Any faculty or staff member who is not yet able to return to his/her former duties is offered (subject to

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the restrictions set out in the Restrictions on Transitional Assignments section of this Policy) a transitional assignment that has been approved by the faculty member or employees attending physician (and third-party consultants, as necessary). The Division of Human Resources is responsible for working with the employees supervisor, and the employees attending physician (and third-party consultants, as necessary) to develop and implement the transitional assignment to the extent such assignment is practical. The assignment can consist of the employees regular job with reduced working hours and/or activities, or an alternative transitional position. Restrictions on Transitional Assignments. The following restrictions apply to light-duty assignments: No guarantee of work. As provided in the Return-to-Work Options section of this policy, Rensselaer must endeavor to return faculty or staff to gainful employment as soon as possible by exploring possible transitional assignments. However, Rensselaer does not guarantee the availability of transitional work. Pay rates and workers compensation benefits. Faculty or staff members on l transitional duty are not guaranteed the rate of pay they received for the position they held at the time they sustained their work-related injury or illness. The pay rate for a transitional assignment is based on the knowledge, skills, and abilities required for the job as well as general market conditions. Employees who return to work in transitional positions before they have reached maximum medical improvement are eligible for temporary partial disability benefits under your States workers compensation program if they earn less than they earned in the position held at the time they sustained the work-related accident or illness. Employees in transitional positions are not permitted to supplement their workers compensation benefits by using salary continuation for faculty, and accrued PTO or RTO leave for staff. 12-Week limit. Transitional assignments are temporary arrangements intended to complement and facilitate the healing process. Transitional assignments cannot exceed 12 weeks without approval from Rensselaers Vice President of Human Resources.

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Faculty or staff refusal of work/training. In the event that a faculty or staff member refuses to return to regular or transitional position in response to a written, bona fide invitation of employment by Rensselaer sent via certified mail, the faculty or staff member is considered to have voluntarily resigned from his/her position at Rensselaer and his/her position will be filled permanently. (NOTE: An exception to this rule applies in the case of faculty or staff members who have not yet exhausted their FMLA leave entitlement. See the Coordination with FMLA section.) Permanent disabilities. When reaching maximum medical improvement, faculty or staff members can have a permanent disability that impairs the employees ability, with or without reasonable accommodations, to return to his or her regular position. Rensselaer, in consultation with the employees attending physician and the New York, Connecticut or District of Columbia (Washington D.C.) Workers Compensation Department, must evaluate the following options: Securing vocational rehabilitation services from the New York, Connecticut or District of Columbia (Washington D.C.) Employment Department or private consultants, as appropriate. Services can include assessment and testing, counseling, and training. Finding a position at Rensselaer commensurate with the faculty member or employees knowledge, skills, and abilities. Employees with permanent disabilities are paid partial or total permanent disability benefits as required under the New York, Connecticut or District of Columbia (Washington D.C.) workers compensation program. Medical information. All employee medical information is held in strict confidence in accordance with the Americans with Disabilities Act and HIPPA (Health Insurance Portability and Accountability Act). Medical inquiries are limited to those permitted under workers compensation statutes and applicable federal law. Coordination with FMLA. Nothing in this policy should be construed as denying employees their rights under the Family and Medical Leave Act or any other federal or state law. It is Rensselaers policy to designate an employees leave due to a work-related injury or illness as an FMLA leave. To the extent permitted by the FMLA, Rensselaer counts the period of a faculty or staff members light-duty assignment toward the employees FMLA entitlement.

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Faculty and staff entitled to FMLA leave can voluntarily accept lightduty assignments while they are recuperating, but they cannot be required to do so. Employees who lose their workers compensation benefits as a result of declining a light-duty assignment are required to substitute any available paid leave, such as PTO leave or RTO leave, for unpaid FMLA leave. Faculty who lose their workers compensation benefits as a result of declining a light-duty assignment are required to substitute any available paid leave for unpaid FMLA leave. Until employees have exhausted their 12-week FMLA entitlement, they have the right to be reinstated to their original job or an equivalent job provided that they are able to perform the jobs essential functions.

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1500.1

Institute Closings

Purpose To outline the procedure regarding the manner in which a determination will be made to close Rensselaer Polytechnic Institute if an emergency occurs. Policy During an emergency, a decision will be made by the President or designee regarding the closing of the Institute. In all cases of closing, some key employees, as determined by the appropriate Cabinet Member or Portfolio owner, will be required to be at work. In the event of an emergency during the class/workday, the President or designee will make a determination regarding the canceling of classes and will make a determination regarding whether to invoke the Liberal Leave Policy concerning a termination of the workday. (See HR Policy #1500.3, Liberal Leave Policy.) The appropriate Cabinet Members will be informed, and will then inform their employees and units reporting to them. A decision on canceling evening classes will be made by 2:00 p.m. Procedure Radio stations WTRY, WPYX-FM, WPTR, WFLY-FM, WROW-FM, WGY/WGFM, WRPI, WQBK-FM, WWCN, and WGNA/WHAZ will be informed of the closing by the Director of Public Safety or designee in order that they may make a public announcement. Inquiries by students, faculty, and staff should be referred to the Department of Public Safety Closing/Delay Information Line (2766600) or the Visitors Information Center (276-INFO).

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1500.2

Workplace Violence

Purpose To establish a zero-tolerance workplace violence policy. Policy Rensselaer Polytechnic Institute does not tolerate acts of workplace violence committed by or against employees. Rensselaer strictly prohibits employees from making threats or engaging in violent acts. This policy applies to all employees, including faculty, staff and members of the Presidents Cabinet. Procedure Prohibited conduct. Prohibited conduct includes, but is not limited to: Injury to another person physically. Engaging in behavior that creates a reasonable fear of injury in another person. Engaging in behavior that subjects another individual to extreme emotional distress. Possessing, brandishing, or using a weapon while on Rensselaer premises or engaged in Rensselaer business. Damaging property intentionally. Threatening to injure an individual or damage property. Committing injurious acts motivated by, or related to, domestic violence or sexual harassment. Identifying and responding to risks. Rensselaer identifies and responds to workplace violence hazards as follows: Threat assessment. The Rensselaers Comprehensive Emergency Response Plan provides for a threat assessment team to assess Rensselaers vulnerability to violence and determine the appropriate preventative measures. The team reviews the workplace to identify existing or potential violence hazards. The worksite review includes, but is not limited to, inspecting security measures, analyzing records of violent incidents and monitoring trends, and conducting screening surveys to learn about employees security concerns. The Division of Human Resources maintains records of all threats and incidents of violence committed against employees. Access to such records can only be authorized by the Vice President for Human Resources.

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Security planning for at-risk employees. Some employees are known to be at risk for violence because of the nature of their jobs. Other employees can be at risk because they are subject to violence, threats, or harassment from a current or former spouse or partner or other non-employee. Human Resource and Public Safety personnel work with at-risk employees and their supervisors to develop safety plans that address the specific risks employees face while at work. Pre-hire screening. The Division of Human Resources must take reasonable steps to review job candidates backgrounds to determine if they have a history of committing violent acts or making threats. Pre-hire screening generally consists of reference checks with prior employers, but the screening can include rigorous background investigations for safety-sensitive positions and jobs involving extensive, unsupervised contact with the public. Guidelines for Handling Violent Situations. The Department of Public Safety maintains and distributes to all employees detailed guidelines and procedures for handling workplace violence and threats. The guidelines are developed with the advice of local law enforcement personnel and/or qualified security consultants. Rensselaers Emergency Planning Committee is responsible for periodically reviewing the guidelines to ensure that they are adequate and up-to-date. If a violent incident occurs, the Emergency Planning Committee must re-evaluate the guidelines and procedures and modify them accordingly. Support for Victims of Violence. Victims of violent incidents in the workplace might have to contend with a variety of medical, psychological, and legal consequences. Rensselaer accommodates victims of workplace violence by: Referring victims to appropriate community resources, such as medical centers, Employee Assistance Programs (EAP), victim advocacy groups, legal aid, and domestic violence shelters. Providing flexible work hours or short-term or extended leave. Cooperating with law enforcement personnel in the investigation of the crime and the prosecution of the offender. Providing a debriefing for employee 24 to 48 hours after a serious violent occurrence to explain what happened and what steps are being taken by Rensselaer to support affected employees.

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Enforcement. Human Resources and Public Safety personnel must immediately investigate any reported violence, harassment, or threats committed on Rensselaer premises. All employees who commit violent acts or who otherwise violate this policy are subject to corrective action or discipline, up to and including termination of employment. Rensselaer will seek the prosecution of all of those who engage in violence on its premises or against its students or employees while they are engaged in employer business.

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1500.3

Liberal Leave Policy

Purpose As an academic research university, Rensselaer Polytechnic Institute requires campus services to be available at all times. Due to our resident student community, Rensselaer operates seven days a week on a twenty-four hour basis. To provide these services, Rensselaer will make every effort to remain open at all scheduled times. However, during inclement weather or emergency situations, it may be deemed necessary to allow liberal leave. Policy This Liberal Leave policy provides all staff the option of utilizing Paid Time Off (PTO) or leave without pay, without the leave being previously scheduled and approved in advance by their immediate supervisor. Also, this policy provides non-essential staff with a twohour grace period to report to work without being charged PTO leave when Liberal Leave is in effect. If Liberal Leave is invoked before or during the scheduled work shift, staff may elect to use PTO leave. If an employee chooses not to report work, but does not have PTO available, he/she will not be paid for the time away from work. The use of PTO leave and/or an unpaid leave of absence applies to both exempt and non-exempt employees. PTO leave will be charged in accordance with the PTO Program Policy guidelines. When the Liberal Leave Policy is invoked, it means that all staff who have been designated as essential must report to and/or remain at work. All other staff not deemed Essential Employees are permitted to arrive up to two hours after their normal scheduled start time or may choose not to report to work. Employees not reporting to work should follow department procedures to report an absence. Time will be charged to PTO leave, if available, otherwise as an unpaid leave of absence. Staff who report to work within two hours of the normal start time will not experience a loss of pay or have time charged to PTO leave. If Liberal Leave is invoked during the work shift, nonessential employees may elect to leave work and use PTO leave. If PTO leave is not available, the employee will not be paid for the time away from work. Procedure From time-to-time, it may be deemed necessary to modify the operating schedule. Altered schedules have resulted from events such as weather emergencies, interruption of utilities and local conditions. Altered schedules may, therefore, pertain to the Institute, a campus, a school or a department.

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When conditions warrant, the President, in consultation with the Provost, Vice President for Administration and the Vice President for Human Resources, will decide whether and when to alter/curtail operations. It is recognized, however, that conditions may be local. Announcement: When there is an alteration or curtailment of Rensselaers operating schedule, an official announcement approved by the President or designee, will be made on the Public Safety Closing/Delay Information Line, through designated radio stations, through RenServe communication announcements, or by the designated Vice President/portfolio owner. Since conditions may vary in the geographic areas where Rensselaer has campuses, there may be times when Liberal Leave Policy is invoked for some locations and not others. In addition, conditions may be different on campus than they are in the area where an employee lives. Although every effort will be made to ensure consistency across media, the official operating scheduled will be the one reported on the Public Safety system. Essential Employees: When the Liberal Leave Policy is invoked, it means that all Essential Employees must report to work and/or remain at work. An Essential Employee is defined as an employee who has been designated by the Vice President or portfolio owner as vital to the operation of a work group, whose presence is required regardless of the existence of an emergency condition, and whose presence allows the continuation of critical services, protects the safety and well being of the university population and/or physical plant and supports necessary timely work. Examples of such employees include, but are not limited to: security personnel, engineers or other heating plant and maintenance personnel and snow removal employees. Designated Essential Employees must remain at work or report to work. Employees who fail to remain at or report to work may be considered on an Unauthorized Absence Without Approval pending discussion with their supervisor. Annually, or on a rotating schedule, certain employees will be designated by their supervisors as Essential Employees. This designation should be put in writing indicating that these employees provide critical services and are required to report to work or remain at work. Human Resources can provide guidance on making the determination.

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An Essential Employee may also be designated by the Vice President or portfolio owner based on the business needs of the department at the time of the emergency condition. Each unit/department will define its own staffing requirements in times of an emergency. Essential Employees in this category will be advised at the time of the liberal leave announcement. Compensation: When Rensselaer at Troy or Hartford, or a department of either (including offices in New York City, Washington D.C or other locations) are officially closed or Liberal Leave is invoked due to inclement weather or an emergency, non-exempt, Essential Employees will be compensated at one and one-half times their hourly rate (for hours worked over 40 hours in a pay period) and will receive equal time off for time worked from the time their campus or work location is closed or Liberal Leave is invoked to the end of their normally scheduled work shift. Such time off must be approved by the employees immediate supervisor and must be taken within a reasonable period of time. All staff not deemed Essential Employees arriving to work within a two hour period of time from the start of their shift will be paid other paid time oth for time taken within the two hour period of time. Staff electing not to report to work for the entire duration of their shift will utilize PTO leave or leave without pay for the entire shift. Temporary and Fixed-term employees who are not eligible for PTO leave are paid for time worked only.

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1600.1

Staff Performance Management and Evaluations

Purpose To define the staff performance management principles at Rensselaer and strengthen the feedback and evaluation process for staff. To provide employees with the opportunity for performance improvement through discussions with the supervisor of significant strengths and areas needing improvement in a positive, constructive manner. To provide a systematic means for supervisors to make merit wage/salary determinations based upon their candid, objective assessment of an employees performance in relation to the employees duties and responsibilities. To provide a means for evaluating suitability for continuation of employment past the initial appraisal period and for job transfer and/or promotions. To provide for the identification of training needs. Policy The performance management procedure is a continuous process of employee assessments through Rensselaers performance evaluation system. Regular, temporary and fixed-term exempt and nonexempt employees, both part-time and full-time, are required to undergo a written evaluation of performance at least annually, following the completion of the initial period of evaluation. Performance appraisals may be conducted at times other than as set forth above when requested by the employee and/or deemed necessary or appropriate by supervisors. The Performance Management Tool (PMT), which addresses duties, responsibilities, standards of conduct, and competencies relating to employee job performance, will be the basis for rating the performance level of employees. During the performance management process, Rensselaer preserves an at-will employment relationship with employeesthat is, an employment relationship that either the employer or the employee can terminate at any time and for any reason.

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Procedure The performance evaluation process is an opportunity for leaders to provide each direct report with a formal evaluation in relation to their assigned job responsibilities and performance standards, as well as an opportunity to communicate goals and expectation for the coming year. The assessment process should include clear and honest feedback regarding job performance, needs for improvement, needs for development, and career advancement opportunities. The Division of Human Resources notifies the supervisor when annual evaluations are due; the supervisor is responsible for completing performance evaluations at the completion of the initial evaluation period and/or under other circumstances as indicated above. The supervisor shall inform the employee that a performance appraisal will be conducted and recommend that the employee complete a self-appraisal in preparation for the appraisal interview. Performance appraisals are a function of evaluating employees on the basis of their performance and behavior in relation to their job. Supervisors are responsible for conducting thorough, impartial, and timely performance appraisals with employees that report directly to them. PMT forms are intended to assist supervisors in recording their assessments of an employees performance and behavior and in communicating with the employee as follows: Performance in each factor should be rated independently of other factors. Employees and supervisors should be encouraged to make comments for the record. A supervisor may choose to conduct an alternative method of performance appraisal in lieu of the standard form, but only with the written approval of the Division of Human Resources. The supervisor shall prepare the performance appraisal and review it with the next level of supervision before reviewing it with the employee. The supervisor shall conduct the appraisal interview with the employee on or before the scheduled review date during an uninterrupted meeting. Performance appraisal discussions should closely interface with assigned duties and responsibilities, performance standards and used to guide employees in their development. The supervisor shall invite the employee to comment

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on the performance appraisal. If there are significant changes to the original appraisal, the supervisor will review those changes with the next level of supervision. The employee shall sign and return the appraisal form to the supervisor to be retained in the employees official personnel file maintained by the Division of Human Resources. The employee signature on the evaluation form indicates he/she has received the performance evaluation, and does not necessarily connote agreement with the evaluation. Should an employee disagree with the performance evaluation, the employee may discuss the differences with the supervisor in an effort to come to a resolution. The supervisor may make changes in the performance evaluation after discussion, or may leave the performance evaluation as it was originally. If the employee and his/her supervisor are unable to achieve a resolution, the employee should discuss the appraisal with the next level of supervision, up to the Portfolio owner, who will seek a resolution. If a resolution cannot be reached, the employee can prepare a written statement of the reasons for dissenting from the departmental appraisal. This statement will be attached to the performance appraisal and sent to the Division of Human Resources. The Division of Human Resources will review all the information, and if necessary, discuss the matter with the supervisor and employee in an attempt to reach a resolution. The Division of Human Resources will encourage accurate and consistent evaluations by monitoring evaluation ratings.

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1600.2

Staff Evaluations Initial Period of Employment

Purpose To define the feedback and evaluation process for employees during the initial employment period at Rensselaer. Policy Regular, temporary and fixed-term exempt employees, both parttime and full-time, undergo an initial period of evaluation during the first six (6) months of employment in any new position. Regular and temporary nonexempt employees, both part-time and full-time, undergo an initial period of evaluation during the first three (3) months of employment in any new position. During this period, employees accrue, but are not eligible to utilize leave from the Paid Time Off (PTO) Program. Procedure The initial period of employment is a time during which employees receive extra feedback while they learn a new job. The immediate supervisor is responsible for completing the evaluation process utilizing the Performance Management Tool (PMT). After completing the initial period of employment, an employee gains the same rights and benefits as other employees, including access to the peer review appeals process, consideration for transfer to other positions, and use of accrued leave. PTO Leave accruals begin with the date of hire, but PTO leave will not be available until completion of the initial period of employment. All exceptions must be reviewed and approved through the Vice President for Human Resources or his/her designee. During and after the initial period of employment Rensselaer preserves an at-will employment relationship with employeesthat is, an employment relationship that either the employer or the employee can terminate at any time and for any reason. A management decision to terminate employment during this period must be reviewed and approved by the Division of Human Resources.

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