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Human Resources Policy Manual 30 May 2008

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Human Resources Policy Manual Table of Contents

Introduction Functions of the Human Resources Policy Manual and Disclaimer Form Section 100 to 199 - General Regulations 100 Equal Employment Opportunity and Diversity Statement 101 Anti-Harassment and Anti-Sexual Harassment 102 Alcohol and Drug Free Workplace 103 Consensual Relationships 104 Confidentiality of Student and Employee Information 105 Conflict of Interest 106 Americans with Disabilities Act/Reasonable Accommodations Process 108 Workplace Violence 109 Whistleblower Policy Section 200 to 299 - Employment Policies 200 Categories of Employment 201 Employment of Minors 202 Employment of Relatives 203 Employment Procedures 204 New Employee Orientation to Employment 207 Personnel Records 208 Separation from Employment (Resignation/Termination) 209 Reduction in Force 210 Criminal Background Check Section 300 to 499 - Benefit and Leave Policies 300 Open Enrollment for Benefits Coverage and Flexible Benefits Plan 302 Domestic Partner Policy and Statement 311 Post Retirement Health Insurance 320 On the Job Illness and Injuries/Workers Compensation Page 5

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330 Vacation Benefit 331 Sick Leave With Pay 332 Holidays 333 School Visitation 334 Leave of Absence: Funeral 335 Leave of Absence: Military and Military Family 336 Leave of Absence: Jury and Witness 337 Leave of Absence: Personal 339 Leave of Absence: Family and Medical and Servicemember leave 340 Leave of Absence: Victims of Domestic and Sexual Violence 350 Tuition Assistance: Employee 351 Tuition Assistance: Family 352 Tuition Assistance: Toward Advanced Degree 354 Life Long Learning Recognition 355 Tuition Exchange 360 Employee Assistance Program 361 Direct Deposit/Electronic Fund Transfer of Payroll Checks 362 Communication Allowance Program 370 Relocation and Moving Expenses 371 Travel and Entertainment Expense 400 Staff Complaints and Grievances Section 500 to 599 - Compensation and Pay Policies 501 Work Scheduling and Attendance 504 Payment of Wages 505 Inclement Weather Section 600 to 699 - Standards of Conduct 602 Business Casual Environment 605-AUR Smoke Free Campus - Aurora campus 605-GWC Smoke Free Buildings - George Williams College campus 606 Standards of Performance and Conduct

71 73 77 79 81 83 91 93 95 101 105 107 109 111 113 117 119 121 125 129 133

139 143 145

149 151 153 155

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FUNCTIONS OF THE AURORA UNIVERSITY HUMAN RESOURCES POLICY MANUAL AND DISCLAIMER STATEMENT

The Human Resources Policy Manual is an outline of the basic human resources policies, practices and procedures at Aurora University. The Policy Manual is intended only as an advisory guide. The University may add, revoke, or modify the policies as necessary without prior notice to Employees. The University will attempt to keep the Human Resources Policy Manual and its on-line version current, but there may be times when a policy will change before this material can be revised on-line. This Manual does not constitute an expressed or implied contract of employment for any period of time. Either Aurora University or an Employee may terminate the employment relationship at any time with or without cause and with or without notice. Printed versions of the Human Resources Policy Manual are available in Human Resources. A PDF version may be downloaded from the Human Resources website. The Human Resources Policy Manual supersedes any and all prior Human Resources Policy Manuals of the University. The effective date of each Policy indicates the current policy and practice in effect for the University. Each employee of the University receives two copies of this Statement, and a copy of the Table of Contents for the Human Resources Policy Manual. The employee understands that it is his/her responsibility to read and review the policies. He/she further understands that if he/she does not have on-line access it is his/her responsibility to obtain a copy of the Human Resources Policy Manual either by downloading the PDF or from Human Resources. Please sign below acknowledging and agreeing it is your responsibility to access and read the Policies located at the Human Resources Page on the Aurora University Web Page at www.aurora.edu/hr. Please return the top copy of this form to Human Resources. I have received the Table of Contents and understand it is my responsibility to be familiar with the Human Resources Policies of Aurora University. Please Print Full Name:________________________________________________

Please Sign:__________________________________________________________

Today's Date:_________________________

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FUNCTIONS OF THE AURORA UNIVERSITY HUMAN RESOURCES POLICY MANUAL AND DISCLAIMER STATEMENT

The Human Resources Policy Manual is an outline of the basic human resources policies, practices and procedures at Aurora University. The Policy Manual is intended only as an advisory guide. The University may add, revoke, or modify the policies as necessary without prior notice to Employees. The University will attempt to keep the Human Resources Policy Manual and its on-line version current, but there may be times when a policy will change before this material can be revised on-line. This Manual does not constitute an expressed or implied contract of employment for any period of time. Either Aurora University or an Employee may terminate the employment relationship at any time with or without cause and with or without notice. Printed versions of the Human Resources Policy Manual are available in Human Resources. A PDF version may be downloaded from the Human Resources website. The Human Resources Policy Manual supersedes any and all prior Human Resources Policy Manuals of the University. The effective date of each Policy indicates the current policy and practice in effect for the University. Each employee of the University receives two copies of this Statement, and a copy of the Table of Contents for the Human Resources Policy Manual. The employee understands that it is his/her responsibility to read and review the policies. He/she further understands that if he/she does not have on-line access it is his/her responsibility to obtain a copy of the Human Resources Policy Manual either by downloading the PDF or from Human Resources. Please sign below acknowledging and agreeing it is your responsibility to access and read the Policies located at the Human Resources Page on the Aurora University Web Page at www.aurora.edu/hr. Please return the top copy of this form to Human Resources. I have received the Table of Contents and understand it is my responsibility to be familiar with the Human Resources Policies of Aurora University.

Please Print Full Name Please Sign: Today's Date

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Section 100 to 199 General Regulations

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TOPIC:

Equal Employment Opportunity and Diversity Statement EFFECTIVE DATE: 1 January 1998 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP Finance Policy Number: 100

POLICY Aurora University affords equal employment opportunities regardless of race, religion, color, sex, marital status, national origin, disability, sexual orientation, gender identity or status in any group protected by Federal, State or Local law. The University expressly prohibits any form of unlawful employee discrimination or harassment based on race, color, religion, marital status, sex, national origin, age, sexual orientation, gender identity disability or status in any group protected by Federal, State or Local law. Please refer to Human Resources Policy 101 Anti-Harassment for further details, and for how to register a complaint regarding harassment. Aurora University complies with Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the bases of race, color and national origin. The university complies with the Americans with Disabilities Act of 1990 and Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities. The university complies with the Age Discrimination in Employment Act of 1975, as amended, which prohibits discrimination on the basis of age. PURPOSE Aurora University seeks to provide an employment environment free from discrimination. Aurora University is committed to becoming a model university of the twenty-first century. Toward this effort we are determined to have a faculty, staff, and student body reflecting the cultural demographics of the Greater Chicagoland Area. Hence, we encourage all qualified individuals to apply for open positions. RELATED POLICIES 101 Anti-Harassment and Anti-Sexual Harassment 606 Standards of Performance and Conduct Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: Anti-Harassment and Anti-Sexual Harassment EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 101 POLICY Aurora University is committed to maintaining an educational and work environment that is free of discrimination. In keeping with this commitment, Aurora University will not tolerate harassment of its students or employees on Aurora University property by anyone, including any student, staff member, faculty member, co-worker, vendor or any third party. Harassment consists of unwelcome conduct, whether verbal, physical, or visual, that is based upon a person's protected status, such as sex, color, race, religion, creed, ancestry, national origin, age, physical or mental disability, marital status, sexual orientation, gender identity or other protected group status. Sexual harassment encompasses a wide range of unwanted, sexually directed behavior. Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:

· · ·

submission to such conduct is made either explicitly or implicitly a term or condition of an individual's education or employment, submission to or rejection of such conduct by an individual is used as the basis for educational or employment decisions affecting such individual; or such conduct has the purpose or effect of unreasonable interference with an individual's educational or work performance or creating an intimidating, hostile or offensive working environment

This Anti-Harassment and Anti-Sexual Harassment Policy applies to the conduct of a supervisor toward a subordinate, an employee toward another employee, a non-employee toward an employee, or an employee toward an applicant for employment, university administrator toward a student, faculty member toward a student, staff member toward a student, a student toward another student or an employee to a non-employee. In addition, consensual relationships among members of the university community in which one party exercises academic or administrative control over the other are deemed unwise and are strongly discouraged. If a charge of sexual harassment is lodged regarding a once-consenting relationship, the burden may be on the alleged offender to prove that this Anti-Harassment Anti-Sexual Harassment policy was not violated. Any employee or student of the university who feels that he/she has experienced harassment should notify one or more of the following university officials: their supervisor, the Director of Human Resources, the Provost, the Faculty Ombudsperson and/or any appropriate official designated by the President. TITLE Director of Human NAME Terri Hoehne PHONE # 630-844-3866 E-MAIL ADDR. [email protected]

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Resources VP for Finance Director of Counseling Center Provost Faculty Ombudsperson Staff Exec Committee VP and COO of George Williams College Beth Reissenweber Marcia Hanlon Andrew Manion Don Phelps Matt Khoury Michael Moser 630-844-5490 630-844-5416 630-844-5252 630-844-4238 630-844-4578 262-245-8596 [email protected] [email protected] [email protected] [email protected] [email protected] [email protected]

Aurora University forbids retaliation against anyone for reporting harassment, assisting in making a harassment complaint, or cooperating in a harassment investigation. Allegations of harassment and sexual harassment will be investigated promptly. To the fullest extent practicable, the university will keep the complaints and the terms of their resolution confidential. Employees are required to attend on-line or in-class training when hired and annually, thereafter. On-line training is available throughout the year at http://www.aurora.edu/hr/training.htm. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Alcohol and Drug-Free Workplace 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 102

POLICY In compliance with federal, state and local law, university policy prohibits the unlawful manufacture, dispensation, distribution, sale, possession or use of a controlled substance or alcohol by students, faculty and staff in the workplace or while conducting university business or activities. In carrying out this commitment, Aurora University will fully comply with the federal Drug-Free Schools and Communities Act of 1986 as amended by Public Law 101-226 and the Drug-Free Workplace Act of 1988 (Public Law 100690, Title V, Subtitle D, Section 5160). PROCEDURE Sanctions for Alcohol or Controlled Substance Violations As an educational institution, Aurora University expects its students, faculty and staff to behave in a mature and responsible manner. As an alcohol-free campus, intoxicants are not permitted on campus, no matter the student's age. When a student, faculty or staff member fails to abide by this policy, the university considers such a violation to be serious and the individual will be subject to disciplinary action. The university also reserves the right to pursue criminal action against the offending individual(s). According to state statutes, penalties for the delivery of controlled substances are increased if conducted on school grounds or within 1,000 feet of school grounds (720 ILCS 550/4, Section 5). The sanctions given for alcohol violations represent a commitment to providing learning outcomes that will help the student, faculty or staff member to understand the impact of their behavior not only on themselves but also on the university community. The sanctions listed below (for faculty and staff) and in the Judicial Policy Statements of the A-Book for students, found at www.aurora.edu/abook/judpolicies.htm#alcoholandcontrolledsub do not represent allinclusive lists. Based on the severity of the violation, the level of cooperation with staff members during the incident, the disciplinary history of the individual, and/or any other factors, any Class of sanctions, any combination thereof, or any additional sanctions may be instituted, as deemed appropriate by the Vice President/Provost in conjunction with Human Resources (for employees) or Student Life (for students). Please note that other policies violated in conjunction with an alcohol or controlled substance violation may result in additional sanctions. One or more of the following sanctions will apply if a faculty or staff member violates the alcohol or controlled substance policy: · Termination of employment

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· ·

"Last Chance Agreement" administered by the Employee Assistance Program and Human Resources. Agreement will include monitoring and ongoing random drug/alcohol testing for up to 24 months. Additional sanctions are imposed as deemed appropriate by the Vice President/Provost in consultation with the Director of Human Resources.

Violators convicted of distributing drugs will automatically be terminated from employment with the university. Employees may appeal the sanction given through the Grievance Procedure. Students may appeal the sanction through the student appeal process. Health Risks Associated with Illicit Drugs and Alcohol Abuse Our primary interest is to assist Aurora University students, faculty and staff in avoiding the physiological and psychological damage that results from drug and alcohol abuse. The health risks associated with the use of illicit drugs and the abuse of alcohol include physical impairment such as liver, heart, digestive impairment, memory loss, impaired judgment and other personality disorders. Substance and alcohol abuse not only affects the users, it affects their loved ones, and those with whom they work, live or attend class. Abusers can be unpleasant and dangerous. Substance/alcohol abuse can cause impaired eyesight, slower reaction time, lessened concentration, and poor judgment. In addition, it can affect the safety, motivation, and attitude of the abusers and those they are around. Students should be aware of the health risks associated with the use of illicit drugs and alcohol. Student employees in supervisory roles, such as Resident Assistants, will be provided with training in the recognition of or early warning signals of drug/alcohol abuse. Informational materials will be made available to students and staff through Student Life. The following counseling and treatment services are available to Aurora University faculty, staff and students: · · · · Counseling Center at Aurora University ­ (630) 844-5416 Students only, no fees. Employee Assistance Program ­ 800-EAP-0321 (800-327-0321) No fees, employees and their immediate families only. Breaking Free - (630) 859-0670 Located in Aurora, Illinois. Chemical dependency treatment services. Early intervention services. Students and employees. Rush-Copley Medical Center (Care Unit) - (630) 978-6200 Located in Aurora, Illinois. Drug and alcohol consultation service. Free consultations. Students and employees.

Questions regarding this policy may be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Consensual Relationships 30 May 2008 B. Reissenweber, VP for Finance 103

POLICY All employees should recognize the possible negative consequences of romantic, intimate or sexual liaisons in the workplace and academic programs. This Policy prescribes actions required to remove conflicts of interest and avoid adverse effects on third parties, and further specifies the situations where consensual relationships are prohibited. Consensual romantic, intimate, or sexual relationships are of concern to the university when one of the parties has institutional responsibility for or authority over the other. Consensual relationships in this context can compromise the integrity of the exercise of institutional responsibility, create the potential for abuse of the authority or cause problems due to the perceptions of third parties. Integrity can be compromised when individuals evaluate the work or academic performance of other individuals with whom they have a consensual relationship. The interest in the consensual relationship can impair the judgment required for the exercise of the institutional responsibility or authority. Power may be abused within a consensual relationship between an employee and someone for whom he or she has supervisory, decision-making, evaluative, academic or advisory responsibilities. There is potential for use of the academic or supervisory role to maintain or promote the relationship. Another potential problem involves perceptions of third parties who feel they have lost equality in terms of assignments, promotions, etc., and who may feel that the only way to succeed is to engage in a romantic, intimate, and/or sexual liaison. DEFINITIONS Consensual relationships to which this policy applies are those romantic, intimate or sexual relationships where one of the parties has institutional responsibility for or authority over the other or is involved in evaluation of the other party, whether the other party is staff, faculty, or a student. Sexual harassment is distinguishable from situations covered by this Policy in that sexual harassment always involves conduct that is unwelcome, is a clear abuse of authority, or produces defined negative effects on individuals. Aurora University's policy HR-101 Anti-Harassment and Anti-Sexual Harassment should be consulted regarding such situations.

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PROCEDURE I. An employee entering or in a consensual relationship as defined in this Policy, or a current or prospective employee offered a position who will be in such a relationship should the position be accepted, shall immediately: A. Report the relationship to either the Dean, the Vice President/Provost, the hiring official, or the Director of Human Resources; and Cooperate in actions taken to eliminate any actual or potential conflicts of interest and to mitigate adverse effects on third parties.

B.

II. The administrator or official who receives the report shall treat the information confidentially and shall promptly: A. B. Consult with the Director of Human Resources; and In cooperation with the Director of Human Resources and Vice President/Provost eliminate conflicts of interest and mitigate adverse effects on third parties by: C. Transferring one of the individuals to another position; Transferring supervisory, decision-making, evaluative, academic or advisory responsibilities; or Providing an additional layer of oversight to the supervisory role; and

Document the steps taken, providing a copy of the documentation to the Director of Human Resources and appropriate Vice President/Provost.

PROHIBITIONS AND SANCTIONS An employee shall not exercise academic responsibility (instructional, evaluative or supervisory) for any student with whom the employee has a consensual relationship. II. An employee shall not conduct performance evaluations, or make salary decisions, decisions regarding promotion and tenure, or decisions on continuation of employment for a person with whom he or she has a consensual relationship. III. Consensual relationships are prohibited when effective arrangements to remove the conflict and mitigate adverse effects on third parties cannot be made. IV. Sanctions for violation will be imposed in accordance with the Faculty Handbook and/or policy HR606 Standards of Performance and Conduct. NO RETALIATION Retaliation against persons who report concerns about consensual relationships is prohibited and constitutes a violation of this Policy. Questions regarding this policy may be directed to Human Resources. I.

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HUMAN RESOURCE POLICY MANUAL TOPIC: Confidentiality of Student and Employee Information EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 104

POLICY Aurora University recognizes that confidentiality of student and employee information is vital. This policy outlines the standards of confidentiality expected of all staff, faculty and students of the university. Under Federal law (FERPA - the Family Educational Rights and Privacy Act of 1974 as amended, also known as the "Buckley Amendments"), every institution of higher education is responsible for safeguarding the confidentiality of student records. Employees may be permitted access to confidential student records if, under the university's guidelines, they have been found to have a "legitimate educational interest" that will be served by allowing them such access. Additionally, employee records are considered confidential. RELATED POLICIES 207 Personnel Records 606 Standards of Performance and Conduct REQUIREMENTS UNDER THE LAW The summary below covers pertinent information regarding confidentiality of student information. See the current undergraduate and graduate catalogs at www.aurora.edu/catalog for full FERPA disclosure. A The following types of information are confidential: 1. Student records. 2. Verbal discussions of student information. 3. Social Security Numbers are not to be utilized as identification nor are they to be put into email messages. Information in student records is available for uses that are directly related to education duties. An individual MAY share information in student records with other Aurora University personnel who also have official duties that require them to have access to records. An employee MAY NOT disclose any confidential record information with any person OUTSIDE of Aurora University. The law allows a college to release confidential information to certain government authorities in case of certain types of emergencies. However, there are special procedures and record keeping requirements for such disclosure. Therefore, if an individual is contacted by the police, public health officials, or others seeking confidential student information, refer them to the Registrar for student information, or to Human Resources for student employee information. Do not release the information. Under the law, students do have a right to inspect their records, and to receive copies. However, there are established procedures for this, including copying fees established by the university. Those advising students may provide a copy of the transcript worksheet or other records of planned and

B

C

D

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completed courses related to the advising process. If the student requests copies of any other items in the student file, refer the student to the Registrar's Office. PROCEDURE All employees are required to read, sign, and abide by the Employee Confidentiality Agreement. The Agreement is signed at time of hire, and becomes a permanent part of the employee's Personnel File. Breach of Confidentiality may be grounds for termination, as stated in Human Resources Policy 606, "Standards of Performance and Conduct." Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Conflict of Interest 30 May 2008 B. Reissenweber, VP for Finance 105

POLICY The Conflict of Interest Policy describes the responsibility of all members of the university community to conduct the fiscal business of the university with integrity, and in compliance with all applicable laws and regulations. Members of the university community are expected to maintain the highest ethical standards in the conduct of university affairs. PURPOSE The consistent conduct of university business in an honest and ethical manner is vitally important to maintaining public trust and confidence in the university and its employees and representatives. Thus, members of the Board of Trustees and Administrative Officers, faculty and staff shall at all times act in a manner consistent with their fiduciary responsibilities to the university and shall exercise particular care that no detriment to the university results from conflicts between their interests and those of the university. This policy is to assure that conflicts of interest which occur are appropriately disclosed and resolved. FORMS/RELATED POLICIES Human Resources Policy 202 Employment of Relatives Faculty Handbook section Conflict of Interest Disclosure Form PROCEDURES AND REGULATIONS University trustees, officers, faculty and staff are expected to avoid even the appearance of impropriety when performing their duties, and must not use their positions or knowledge gained at the University to improperly influence decisions for their personal advantage or for the advantage of their families or friends. No member of the university may expend university funds for personal gain. I. Disclosure University trustees, officers, faculty and staff are expected to disclose to the appropriate university official as specified below any actual or potential conflicts of interest and should not initiate any contract or transaction to which the university is a party until approval is received. When any interest on the part of a trustee, officer, faculty or staff member of the university or a member of his/her family poses a possible conflict with the trustee's, officer's faculty's or staff's university responsibilities, the trustee, officer, faculty or staff member shall promptly report the conflict to the attention of the other trustees or the officers of the university who are

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participating in or voting on the matter which poses the possible conflict, and that person shall abstain from participation on or voting on such matters. The minutes of the meeting shall reflect that a disclosure was made and that the trustee or officer abstained from any participation in the matter. Each trustee and officer shall annually disclose to the university any potential conflicts of interest by signing and submitting a university Conflict of Interest Disclosure Statement to the Secretary of the Board of Trustees. Any disclosure of a conflict of interest by a University Trustee or Officer shall be reviewed by the Finance Committee of the Board of Trustees. It is the responsibility of any employee to report to the Vice President for Finance any potential conflict of interest of which he/she becomes aware affecting transactions to which the university is a party. The Vice President for Finance will investigate and report the results and findings to the appropriate university officer. II. Procurement An employee may not purchase or influence the purchase of goods or services for university use from a firm or organization if the employee or his/her family would receive financial gain, without disclosing such interest in writing to his/her immediate supervisor and to the Vice President for Finance. III. Conditions of Possible Conflict of Interest No individual within the scope of this policy shall participate in a transaction or procurement when the individual is employed by the outside party; has a pecuniary interest in the outside party; or is negotiating or has an arrangement concerning prospective employment with the outside party. IV. Solicitation and Acceptance of Gifts, Travel, etc. Members of the university must consult with and report to their superiors any instances of gifts or gratuities valued over $25.00 offered to them by any outside organization or any attempt to influence the performance of their assigned duties through the offer of gifts, gratuities or excessive entertainment. V. Conflict of Interest Statement Each Trustee and Executive Staff member shall sign the attached Conflict of Interest Disclosure Statement annually disclosing any potential conflict of interest and certifying that he or she has read this policy and agrees to abide by it. With respect to Executive Staff, the submission of such signed statement will constitute a condition of continued employment. Such statements shall be maintained with the official minutes of the Board. Additionally, all regular full and part time employees, and full and pro rata faculty are required to sign the Code of Ethics/Conflict of Interest form certifying that he or she has read the policy and agrees to abide by it. Certification is required on an annual basis and constitutes a condition of continued employment.

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VI.

State Law This policy is in addition to any obligations imposed on a Trustee or Administrative Officer by the laws of the State of Illinois.

Questions regarding this policy may be directed to Human Resources.

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Aurora University Conflict of Interest Disclosure Statement Board of Trustees / Executive Staff

No member of the Board of Trustees or Executive Staff of Aurora University shall derive any personal profit or gain, directly or indirectly, by reason of his or her participation with the institution. Each individual shall disclose to the organization any personal interest which he or she may have in any matter pending before the organization and shall abstain from votes of such matters. Any member of the Board or the Executive Staff who is an officer, board member, a committee member or staff member of a client organization or vender of the University shall identify his or her affiliation with such agency or agencies and shall remove him or herself from the room during discussions and votes of such matters. Any member of the Board or Executive Staff shall refrain from obtaining any list of clients for personal or private solicitation purposes at any time during the term of their affiliation. At this time, I am a Board member, a committee member, or an employee of the following organizations:

Now this is to certify that I, except as described below, am not now nor at any time during the past year have been: A. a participant, directly or indirectly, in any arrangement, agreement, investment, or other activity with any vendor, supplier, or other party; doing business with Aurora University which has resulted or could result in personal benefit to me. A recipient, directly or indirectly, of any salary payments or loans or gifts of any kind or any free service or discounts or other fees from or on behalf of any person or organization engaged in any transaction within the University.

B.

Any exceptions to statements A and B above are described below:

Date: ____________________________

Signature: _______________________________ Printed: _______________________________

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HUMAN RESOURCES POLICY MANUAL TOPIC: Americans with Disabilities Act/ Reasonable Accommodations Process 30 May 2008

EFFECTIVE DATE: Reviewed/Revised Date: Approved By: B. Reissenweber, VP for Finance Policy Number: 106 PURPOSE The Americans with Disabilities Act (ADA) requires employers to reasonably accommodate qualified individuals with disabilities. POLICY It is university policy not to discriminate against qualified individuals with disabilities in regard to application procedures, hiring, advancement, discharge, compensation, training, or other terms, conditions, and privileges of employment. Aurora University will reasonably accommodate qualified individuals with a long-term disability so that they can perform the essential functions of a job. Individuals with a temporary disability may be accommodated if departmental and university conditions permit. An individual who can be reasonably accommodated for a job, without undue hardship to the university, will be given the same consideration for that position as any other applicant. All employees are required to comply with safety standards. Applicants who pose a direct threat to the health or safety of other individuals in the workplace, which threat cannot be eliminated by reasonable accommodation, will not be hired. Current employees who pose a direct threat to the health of safety of the other individuals in the workplace will be placed on appropriate leave until an organizational decision has been made in regard to the employee's immediate employment situation. Human Resources is responsible for implementing this policy, including resolution of reasonable accommodation, safety, and undue hardship issues. Definitions Disability. A physical or mental impairment that substantially limits one or more of the major life activities of an individual. An individual who has such an impairment, has a record of such an impairment, or is regarded as having such an impairment is a "disabled individual." Direct threat to safety. A significant risk to the health or safety of others that cannot be eliminated by reasonable accommodation. Qualified individual with a disability. An individual with a disability who, with or without reasonable accommodation, can perform the essential functions of the employment position that the individual holds or has applied for.

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Reasonable accommodation. Making existing facilities readily accessible to and usable by individuals with disabilities, job restructuring, part-time or modified work schedules, reassignment to a vacant position, acquisition or modification of equipment or devices, adjustment or modification of examinations, adjustment or modification of training materials, adjustment or modification of policies, and similar activities. Undue hardship. An action requiring significant difficulty or expense by the employer. The factors to be considered in determining an undue hardship include: (1) the nature and cost of the accommodation; (2) the overall financial resources of the facility at which the reasonable accommodation is to be made; (3) the number of persons employed at that facility; (4) the effect on expenses and resources or other impact upon that facility; (5) the overall financial resources of the Company; (6) the overall number of employees and facilities; (7) the operations of the particular facility as well as the entire Company; and (8) the relationship of the particular facility to the Company. These are not all of the factors but merely examples. Essential job functions. Activities of a job that are core to performing said and cannot be modified. PROCEDURE 1, Individual (Applicant or Employee) requests accommodation via supervisor or Human Resources (HR). HR discusses the request, in order to learn: a. Position, Department, Supervisor b. Whether the individual has provided any formal notification that a job modification is needed due to a medical condition that may qualify as a disability under the ADA, or has provided other information to start the ADA process. 1 The EEOC states that an employer generally does not have to provide a reasonable accommodation unless an individual with a disability has asked for one. A request can be a statement in "plain English" that an individual needs an adjustment or change in the application process or at work for a reason related to a medical condition. 2 The request does not have to include the terms "ADA" or "reasonable accommodation," and the request does not have to be in writing, although the employer may ask for written documentation. A family member, friend, health professional, rehabilitation counselor or other representative also may request a reasonable accommodation on behalf of an individual with a disability. 3 The university does require written documentation during the ADA interactive process. c. University determines if the individual is qualified as defined by the ADA. As defined by the ADA, a qualified individual with a disability is 1 an individual with a disability who satisfies the requisite skill, experience, education and other job-related requirements of the employment position such individual holds or desires; and 2 individual who, with or without reasonable accommodation, can perform the essential functions of such position. 3 Has the requisite skills, experience and education and meets other job related requirements. 4 Can perform the essential functions of the job with or without accommodation. Determination is made whether the individual has a disability as defined by the ADA. The ADA defines an individual with a disability as a person who: a. Has a physical or mental impairment that substantially limits one or more major life activities; b. Has a record of such an impairment; or c. Is regarded as having such an impairment.

2.

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The employer needs to separate the three parts of this definition and review the definition of each to determine whether the individual has a disability as defined by the ADA. 3. What are the reasonable accommodation considerations for the individual? The ADA defines a "reasonable accommodation" as: a. Modifications or adjustments that enable a qualified applicant with a disability to be considered for the position such qualified applicant desires. b. Modifications or adjustments to the work environment, or to the manner or circumstances under which the position held or desired is customarily performed, that enable a qualified individual with a disability to perform the essential functions of that position. c. Modifications or adjustments that enable a covered entity's employee with a disability to enjoy equal benefits and privileges of employment as are enjoyed by its other similarly situated employees without disabilities. Reasonable accommodation may include but is not limited to: a. Making existing facilities used by employees readily accessible to and usable by individuals with disabilities. b. Job restructuring; part-time or modified work schedules. c. Reassignment to a vacant position. d. Acquisition or modifications of equipment or devices; appropriate adjustment or modifications of examinations, training materials or policies. e. The provision of qualified readers or interpreters. The Job Accommodation Network (JAN, www.jan.wvu.edu) provides lists based on specific disabilities as well as links to various other accommodation providers. 5. To determine the appropriate reasonable accommodation, it may be necessary for the university to initiate an informal, interactive process with the qualified individual with a disability in need of the accommodation. This process should identify the precise limitations resulting from the disability and potential reasonable accommodations that could overcome those limitations. a. What is the accommodation the individual requested? i. Describe: b. Is this a reasonable accommodation that does not impose an undue hardship on the employer? i. The ADA defines undue hardship as significant difficulty or expense incurred by a covered entity, considered in light of the following factors: 1. The nature and net cost of the accommodation needed under this part, taking into consideration the availability of or outside funding. 2. The overall financial resources of the facility or facilities involved in the provision of the reasonable accommodation, the number of persons employed at such facility and the effect on expenses and resources. 3. The overall financial resources of the covered entity, the overall size of the business of the covered entity with respect to the number of its employees and the number, type and location of its facilities. 4. The type of operation or operations of the covered entity, including the composition, structure and functions of the workforce of such entity, and the geographic separateness and administrative or fiscal relationship of the facility or facilities in question to the covered entity.

4.

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5. The impact of the accommodation upon the operation of the facility, including the impact on the ability of other employees to perform their duties and the impact on the facility's ability to conduct business. c. Is this a reasonable accommodation that does not impose an undue hardship on the employer? ___ Yes ____ No i. If no, describe the evidence to support undue hardship: d. In addition to actions that would result in undue hardship, the employer does not have to do any of the following: i. Provide an employee with an adjustment or modification that would assist the individual both on and off the job, such as a prosthetic limb, wheelchair or eyeglasses. ii. Remove or alter a job's essential functions. iii. Lower production or performance standards. iv. Excuse violations of conduct rules necessary for the operation of the business. 6. Decision regarding reasonable accommodation is provided to the employee by Human Resources. For all accommodation requests after 1/1/08, a memo will be placed in file and given to the individual regarding the determination.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Workplace Violence 30 May 2008 B. Reissenweber, VP for Finance 108

POLICY Aurora University is committed to a working, learning and social environment which is free of violence. Understanding and mutual respect toward all members of the Aurora University community are intrinsic to excellence in teaching and learning, to the existence of a safe workplace, and to the maintenance of a campus culture and environment which serves the needs of its many constituencies. Aurora University prohibits any violent act, threat of violence or any behavior which by intent, action, or outcome harms another person. Accordingly, possession of firearms, ammunition, and/or weapons of any kind is not allowed on campus unless authorized for law enforcement personnel. For the purpose of this policy, violence and threats of violence include, but are not limited to: · · Any act that is physically assaultive; or Any threat, behavior or action that is interpreted by a reasonable person to carry potential: o To harm or endanger the safety of others; o To result in an act of aggression; or o To destroy or damage property.

To fulfill this policy, the university will work to prevent violence from occurring through training, education, awareness and reporting and will ensure that federal and state laws, as well as university regulations prohibiting violence are enforced. Employees are required to report immediately to Human Resources any known or alleged threats of violence, including restraining orders and orders of protection, as these have the potential to affect the university community. Any situation that poses an immediate danger to oneself or others must be reported to the police by dialing 911. RELATED POLICIES HR-100 Equal Employment Opportunity and Diversity Statement HR-101 Anti-Harassment and Anti-Sexual Harassment HR-102 Alcohol and Drug Free Workplace HR-340 Leave of Absence ­ Victims of Domestic and Sexual Violence HR-606 Standards of Performance and Conduct A-Book (Student Handbook) Faculty Handbook Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Approved By: Policy Number: POLICY Aurora University recognizes its obligation to its employees and constituents to maintain the highest ethical standards and to promote the university's core values of integrity, citizenship, continuous learning, and excellence. To protect the integrity of the university's learning community, and to ensure the highest standards of conduct by and among members of the university community, the university will investigate any alleged Improper Activity by its employees or trustees. Anyone found to have engaged in an improper activity is subject to disciplinary action by the university up to and including dismissal or expulsion, and civil or criminal prosecution when warranted. All members of the university community are strongly encouraged to report any potential improper activity. The preferred method of reporting any issue of concern is for the employee, student, or other constituent to file a report describing the potential improper activity and the person or persons involved, with the Vice President for Finance or the Vice President & Chief Academic Officer at the George Williams College (GWC) campus of Aurora University. To initiate an investigation, the report should be in writing. The university may, in its discretion, investigate any report made orally that is subsequently not made in writing. Once a report has been filed, the Vice President for Finance, Vice President & Chief Academic Officer at GWC or legal counsel shall undertake an investigation by appointing another administrator or other qualified person to conduct the investigation. The Vice President for Finance and/or Vice President & Chief Academic Officer at GWC may obtain the assistance of the university's attorneys or other qualified professionals in the investigation. The report and the identity of the person who filed the report will not be disclosed except when necessary for a full investigation of the report. The investigator shall file a written report of his/her findings with the Vice President for Finance, Vice President & Chief Academic Officer at GWC, or legal counsel within twenty (20) working days after the report has been made. If the investigatory report cannot be completed within this time frame, the report shall state the reasons for the delay. The person who filed the report will be notified of the findings of the investigation within ten (10) working days of its filing. A confidential summary of activity will be provided to the Audit Committee of the Board of Trustees on a regular and on-going basis, as appropriate. The university will not tolerate any: 1) retaliatory actions against any employee or constituent for making a good faith report of a potential improper activity; or 2) direct or indirect use or attempted use of the Official Authority or Influence of an employee's position or office for the purpose of interfering with the right of another employee or constituent to make a Protected Disclosure directly to the university. The university will take whatever action that may be necessary to prevent and correct violations of this Whistleblower Policy; notwithstanding the foregoing, any individual who files a Baseless Allegation shall not be protected under this policy. Whistleblower Policy July 24, 2008 Audit Committee of the Board of Trustees 109

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DEFINITIONS Improper Activity. Any activity undertaken by a university employee or trustee which is found, after due process, to be in violation of any applicable local, state, or federal law, rule, or regulation, or university policy or procedure, including, but not limited to, those relating to: corruption; malfeasance; bribery; theft; fraud; coercion; conversion; or misappropriation or misuse of assets. Official Authority or Influence. Promising to confer or conferring, any benefit; effecting or threatening to effect, any reprisal; taking, or directing others to take, or recommending, processing, or approving, any personnel action, including, but not limited to, appointment, promotion, transfer, assignment, performance evaluation, suspension, or other disciplinary action. Protected Disclosure. Any good faith communication that discloses or demonstrates an intention to disclose an alleged improper activity. Baseless Allegation. Any allegation of improper activity made without reasonable cause to believe that the information disclosed is true. Individuals making such allegations may be subject to institutional disciplinary action and/or legal claims by individuals wrongfully accused of such conduct.

Contact Information:

Ms. Beth Reissenweber Vice President for Finance 347 S. Gladstone Ave. Aurora, IL 60506 630-844-5490 [email protected]

Dr. William B. Duncan Vice President & Chief Academic Officer 350 Constance Blvd. Williams Bay, WI 53191 262-245-8514 [email protected]

Questions regarding this policy should be directed to Human Resources.

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Section 200 to 299 Employment Policies

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Categories of Employment 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 200

POLICY Aurora University utilizes the guidelines set under the Fair Labor Standards Act (FLSA) in order to determine eligibility for overtime payments. Additionally, employee benefits may be differentiated by employment category. DEFINITIONS I. Fair Labor Standards Act (FLSA) Classification A. Exempt: Employees in positions which meet specific tests established by FLSA, as determined by Human Resources. These employees are not eligible for overtime payments for work performed over 40 hours in a workweek. FLSA overtime exemption criteria include, but are not limited to, type of work, salary level, and compensation basis. Common exempt positions include management, professional and administrative positions. B. Non-Exempt: Employees in positions which do not meet FLSA exemption tests are paid overtime for work performed beyond 40 hours in a work week. Common non-exempt positions include clerical, service and maintenance positions. II. Employment Categories A. Regular Full-Time Employee: Includes full-time faculty members, and other employees budgeted at least 32 hours a week, 52 weeks a year, or 1,664 hours per year. Regular full-time employees are eligible for all benefits provided they meet the requirements specified in the individual benefit plans. B. Regular Part-Time Employee: Faculty members teaching less than 100%, and other employees working less than 32 hours a week. Employees budgeted 1,000 or more hours in a year (.5 FTE status) are eligible for the matching portion of retirement benefits. Non-faculty employees are also eligible for vacation, sick leave and holiday pay. C. PRN Employee: A non-faculty non-exempt employee scheduled to work on an "as needed" basis, working less than 20 hours per week on a regular basis, and less than 1,000 hours on an annual basis. PRN employees are not eligible for benefits provided by the university. D. Temporary Employee: An employee who is hired to supplement the regular work force during employee absences, peak work periods, or to handle the work overload. Temporary employees are not eligible for benefits. Typically, temporary employees are hired for a specific project or assignment. Temporary employee status may not exceed 6 months.

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E. Regular Faculty: Covered under the Faculty Handbook, must be budgeted 50% FTE or greater. A Faculty member is a full time or prorated part time employee of the University who has been appointed to either the Clinical or Tenure track for a Visiting or Regular position in one of the four regular academic ranks: Instructor, Assistant Professor, Associate Professor, or Professor. Their duties must be greater than 50% teaching if combined with coaching or non-teaching duties. F. Adjunct Faculty: The faculty equivalent of a temporary employee. Adjunct faculty are contracted to teach a specific class for a specific term, contracts may or may not be extended for future terms. See the applicable sections of the Faculty Handbook. Adjunct faculty are not eligible for benefits. G. Student Employee: An individual whose primary purpose is to be a student. To be classified as a student employee, the individual must be enrolled in at least two courses per term and cannot work more than 20 hours per week during the term. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Employment of Minors 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 201

POLICY Aurora University has established guidelines which prohibit the employment of minors under 16 years of age. Additionally, the University will not employ individuals under 18 years of age in positions that would be detrimental to the individual's health or well-being. Individuals between 16 and 18 years of age will be considered for positions which do not involve the use of dangerous machinery. Human Resources will determine if a position can be filled by an individual under age 18. Determination will be based on a review of the job description in light of the State of Illinois and State of Wisconsin Child Labor Laws. All high school students in the State of Wisconsin under the age of 18 must have a work certificate from their high school principal stating their eligibility to work. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Revised Date: Approved By: Policy Number: Employment of Relatives 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 202

POLICY Aurora University seeks to avoid potential charges of favoritism and conflict of interest in the employment of family members. This policy applies to all regular employees. An immediate family member may not be hired if such employment would create: · · · A direct supervisor/subordinate relationship with a family member; or An actual conflict of interest or the appearance of a conflict of interest; or Cause family members to work closely in the same department and/or office.

This policy also applies when assigning, transferring, or promoting regular employees. The university requires full disclosure of any relationship as defined below to Human Resources at the time of employment or at any time that it occurs in the course of employment. For purposes of this policy, immediate family members include: spouse, domestic partner, brother, sister, parents, children, step-children, father-in-law, mother-in-law, sister-in-law, brother-in-law, daughter-in-law, son-in-law, and any other member of the employee's household. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Employment Procedures 1 November 2000 30 May 2008 B. Reissenweber, Vice President Finance 203

POLICY Recruitment of new employees who will exemplify the Mission and Core Values of the university, and provide the level of service expected of university employees is a joint responsibility of the hiring department and Human Resources. FORMS/RELATED POLICIES Personnel Requisition Form Payroll Change Form 100 Equal Employment Opportunity 202 Employment of Relatives PROCEDURE A. Personnel Requisition: Must be completed by the hiring supervisor and have signatures of the VP/Provost prior to submitting to Human Resources. 1. For new positions, a Preliminary Job Description must be attached to the Requisition. 2. For replacement of a terminating employee, a Termination Report and employee resignation letter should accompany or precede the Personnel Requisition. B. All executive and management positions shall be filled through a search conducted by a search committee. All other administrative or professional positions may be filled through an abbreviated search to expedite the process. 1. Search committee: minimally includes hiring manager and two to three other individuals. May include an individual from outside the discipline. 2. Abbreviated search: includes hiring manager and individuals from within the department. C. Human Resources will prepare the Position Vacancy Notice listing the title, job duties and responsibilities, and minimum qualifications. It will be distributed via email to the campus community, posted on the university web site and may be advertised. D. Human Resources will determine the timing and placement of advertisements and notify local agencies as needed. E. Human Resources will acknowledge receipt of resumes/applications. Resumes of qualified applicants will be forwarded to the hiring supervisor. F. Reference checks will be performed by Human Resources and/or the hiring department to assist in the hiring decision. G. Once a final candidate is selected, the hiring supervisor will complete a Payroll Change Form for the President's approval. This signature must be obtained prior to an offer being extended. H. When an offer has been made and accepted, Human Resources will create a letter of appointment for the President's signature. The appointment letter will include Criminal Background Check forms.

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Interview and selection forms and notes must be forwarded to Human Resources along with copies of resumes and applications. J. Human Resources will notify unsuccessful candidates that the vacancy has been filled. K. Hiring supervisors must schedule an appointment for the new employee within the first or second day of work for Human Resources to review benefits and to complete necessary paperwork. Questions regarding this policy should be directed to Human Resources.

I.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University provides a New Employee Orientation Period (introductory period) of on-the-job experience to new hires. The successful completion of this period should not be considered as creating a contract or guaranteeing employment for any specific duration or as establishing a "just cause" termination standard. As is the case at any time during the employment relationship, employment is at-will; an employee may be discharged for any reason at any time during the introductory period or after, with or without cause or notice. Aurora University strives to provide new employees with important information about their job responsibilities, the university, university policies and procedures, and employee benefits. The orientation period is intended to acquaint the new employee with the university and its culture. For employees transferring within the university, this policy is intended to smooth the employee's transition into the new job. PROCEDURE I. Duration: The New Employee Orientation Period normally extends: A. Three months for non-exempt employees B. Six months for exempt employees C. New or Visiting Faculty fall under the guidelines of the Faculty Handbook An extension may be granted for one to three months if the supervisor feels additional time is warranted to achieve satisfactory job performance. A supervisor may recommend termination of an introductory employee prior to the end of the Orientation Period if repeated documented training and counseling indicates the employee is not suitable for the position. The supervisor is encouraged to consult with Human Resources throughout the Orientation Period and must consult with Human Resources to review documentation prior to taking any action. New Employee Orientation to Employment November 1, 2000 30 May 2008 B. Reissenweber, VP for Finance 204

II

Assigned Responsibilities A. HUMAN RESOURCES RESPONSIBILITY Human Resources will meet with the employee to explain general Aurora University employment policies, employment benefits and to obtain the necessary paperwork to enroll the employee in selected benefits. This initial orientation must occur within the first three days of employment to ensure that payroll documents (federal and state forms and eligibility to work in the United States) are

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completed in a timely fashion. It is recommended that this meeting be scheduled on the morning of the employee's first day of employment. B. SUPERVISOR/DEPARTMENT RESPONSIBILITY The supervisor (or designee) is responsible for explaining the department's function and its organization, for reviewing the employee's job; and for discussing working conditions and expectations. Supervisors are responsible for training and ongoing evaluation of the employee's progress. When appropriate, weaknesses in performance, conduct, or attitude are to be brought to the employee's attention promptly. Documentation is vital throughout the employment of every individual. Effective orientation will reduce misunderstandings and turnover, save the supervisor's working time, create a sense of belonging, and contribute to favorable attitudes toward Aurora University which can help make the employee more effective on the job. C. NEW EMPLOYEE RESPONSIBILITY The new employee is responsible for providing documentation for the I-9 form, completing other forms on a timely basis for payroll and benefits purposes. The new employee should review Human Resource Policies and the Employee Handbook as soon after hire as possible. The new employee should ask questions as necessary and learn about the job, the university, its Mission and Core Values. The Mission and Core Values may be found on the university website at http://www.aurora.edu/geninfo/mission.htm.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Personnel Records 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 207

POLICY Official personnel files are maintained in Human Resources in order to document employment-related decisions and to comply with government record keeping and reporting requirements. ACCESS TO EMPLOYEE RECORDS Personnel files are kept confidential and are accessible only by the employee, authorized university personnel, and federal, state or local law enforcement agencies where and when required by law, court order or subpoena. In the case of an employee applying for another job position within the university, the supervisor for that area may review the file in order to determine work history, including performance appraisals and disciplinary issues. EMPLOYEE RESPONSIBILITY Employees are responsible for assuring their personnel records are up to date and should notify Human Resources in writing or via e-mail regarding changes in name, address, telephone number, marital status, number of dependents, and persons to be notified in case of emergency. Employees are also requested to report changes of name, addresses and telephone numbers of dependents and spouse/partner or former spouse/partner (domestic partner information is for benefits purposes only). Employees wishing to add/delete individuals from insurance coverage may do so if the reason for the change is allowable under the provisions of the Flexible Benefits Plan. Employees doing this, or who wish to change beneficiaries, must complete appropriate paperwork in Human Resources. EMPLOYEE REQUESTS FOR REVIEW Employees may request, in writing, to review their personnel files. Requests should be made to Human Resources. A mutually convenient time will be scheduled within seven business days after receipt of the request. Copies of materials may be made at the employee's expense. Former employees may request review and copies within twelve (12) months of end of employment. Requests should be made in writing to Human Resources. A mutually convenient time will be scheduled within seven days after the request. Copies of materials may be made at the former employee's expense. If an employee feels that any file material is incomplete, inaccurate, or irrelevant, the employee may submit documentation outlining the employee's position to Human Resources. That statement becomes a part of the record although inclusion does not imply the employer's agreement with the counter-statement.

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REQUESTS OUTSIDE AURORA UNIVERSITY Requests for personnel information on current and past employees made by outside individuals or organizations should be referred to Human Resources. Except for limited information regarding employment date and position held, information is only released after obtaining the written consent of the individual involved. Exceptions on the release of information may be made to cooperate with properly identified law enforcement officials; to cooperate with federal, state and local governmental agencies; or to comply with court orders or subpoenas. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: Separation from Employment (Resignation/Termination) EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 208

POLICY

Aurora University seeks to assure smooth and timely processing of an employee's final pay, and to obtain information regarding the reasons for voluntary turnover. DEFINITIONS A. Resignation is defined as a voluntary separation including: 1. 2. 3. B. Resignation of employment with or without notice. An absence of three or more consecutive working days without notification to the supervisor. Failure to return from leave of absence as arranged with the university.

Retirement: A voluntary separation which usually occurs when the employee becomes eligible for Social Security or retirement plan payments. Reduction in Force: An involuntary separation due to economic conditions, program changes, or other unforeseen circumstances. Discharge: A separation in which the employee is removed from the payroll for violation of established standards of conduct or safety regulations, unsatisfactory job performance, or any other reason deemed by the university to warrant discharge.

C.

D.

NOTIFICATION REQUIREMENTS Resignation (voluntary): Employees are requested to provide advance written notice to their supervisor of an employee's intent to resign. The following guidelines are suggested: A. B. C. Supervisory/managerial employees are requested to give at least four weeks notice. Faculty employees are requested to give at least one term notice. Non-Exempt (clerical and service) employees are requested to give at least two weeks notice.

Termination (involuntary): There are no requirements for advance notice to employees. Supervisors must send recommendations for termination to Human Resources for review and approval. These recommendations must include supporting documentation such as performance appraisals or disciplinary reports. All employer-initiated terminations must be approved in advance by Human Resources and the appropriate senior management official prior to action.

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EXIT INTERVIEWS All terminating employees, whether voluntary or involuntary, are required to attend an exit interview with Human Resources prior to or on the employee's last day of work. The purpose of this interview is to 1. Review eligibility for benefit continuation or conversion; 2. Ensure all necessary forms are completed; 3. Collect university property in the employee's possession (if not already done); and 4. Discuss the employee's job-related experiences. BENEFIT ELIGIBILITY Employees separating from employment are eligible for the following: A. B. C. Accrued unused vacation based on the most current policy. COBRA - Continuation of health, dental and flexible benefits in which the employee is currently enrolled. Conversion of group life insurance.

Questions regarding this policy should be referred to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Reduction in Personnel 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 209

POLICY It is the policy of Aurora University to plan for and to distribute workload in such a manner as to stabilize employee population and minimize the need for reduction in personnel. In some instances, it may be necessary to eliminate or change a regular position due to reorganization, lack of available work, budgetary constraints, or other circumstances. PROCEDURE No regular employee will be laid off in an office while there are introductory or temporary employees working in comparable positions in the office. If there is more than one person in the position classification in which the reduction in staffing is to occur, the determination of the employee(s) to be laid off shall take into consideration length of service, performance, and the ability to perform the work remaining. Affected employees will be granted a notice of at least ten (10) working days prior to actual layoff or ten (10) working days of regular pay (excluding overtime) in lieu of notice. If the same position in the same department from which an employee was laid off is re-established within 60 calendar days from the date of the layoff, the former employee will be notified of the position availability by Human Resources. If the former employee is interested in the position, a return to work date will be determined. Seniority and benefits will revert back to the original hire date. If a return to university employment occurs after more than 60 days, the individual will receive a new hire date and seniority will resume from the new hire date. Human Resources will meet with employees being laid off in order to discuss severance (if applicable), unemployment insurance, and continuation of benefits. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Criminal Background Check 1 July 2004 30 May 2008 B. Reissenweber, VP for Finance 210

POLICY Aurora University seeks to provide a safe and productive environment for faculty and staff employees, students and visitors. To accomplish this goal, the University requires criminal background checks for all individuals being offered regular employment, and certain volunteer and student positions. FORMS Applicant Release and Authorization Form

PROCEDURE A B Human Resources will initiate a criminal background check for candidates having been provisionally offered positions with the university. A request for a criminal background check form will be completed and signed by the employee and witnessed by Human Resources or an appropriate designee. The form will be mailed to the applicant at time of provisional offer so that the check can be completed prior to the date of hire. The request form will include the "Disclosure Regarding Procurement of Consumer Report." For purposes of this policy, governmental law enforcement or administrative agencies are not consumer reporting agencies. Signed Disclosure documents will be retained in the employee's personnel file. Conditional job offers may be extended pending the results of the criminal history record check. Except with written authorization of the Vice President for Finance, individuals may not begin working in regular employee or faculty positions until the criminal background check has been returned by the agency and accepted by the university. If a criminal history record check is reported affirmatively, Human Resources will consult with the Vice President for Finance, the hiring manager, any other appropriate administrators or university counsel to determine whether or not the individual should be disqualified from employment as a result of the record check. Except where employment is expressly prohibited by law, the university will review each individual's criminal background and consider factors such as, but not limited to, the nature and age of the crime(s) reported, the position sought and duties, rehabilitation, the candidate's employment history, and references. Prior to taking any adverse employment action based on information contained in a criminal history record check report obtained from a consumer reporting agency, Human Resources will provide the individual with a copy of the report and a notice summarizing the individual's rights under the Fair Credit Reporting Act. The individual will also be given information on the credit reporting agency providing the report and a reasonable opportunity to submit information to Human Resources disputing the accuracy or completeness of the report before a final decision is made and communicated.

C

D

E

F

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G

H

I

In the event of a discrepancy in a criminal background check report involving the individual's identity, a criminal background fingerprint check will be requested from the local Police Department (Aurora IL or Williams Bay WI). The university will take appropriate interim steps regarding any current employee's employment status until the report of the fingerprint-based check is received. If an individual fails to disclose felony related criminal background on his/her application when asked to do so and is later found to have such a record, a job offer may be rescinded or employment terminated for cause due to falsification of records. The results of the criminal history record check and fingerprint check will be placed in each employee's or candidate's file and marked confidential. This information will be disclosed only to university personnel with a need to know or as otherwise required by law.

For purposes of this policy, evidence of a criminal background includes any conviction or plea of guilty, a plea of no contest, a suspended imposition of sentence, any suspended execution of sentence, any period of probation or parole, or any other action (other than an arrest record) involving a finding that an individual committed or attempted to commit a crime. Sealed convictions, arrest records and expunged convictions will not be considered evidence of criminal history. Questions regarding this policy should be directed to Human Resources.

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Section 300 to 499 Benefit and Leave Policies

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HUMAN RESOURCES POLICY MANUAL TOPIC: Open Enrollment for Benefit Coverage and Flexible Benefit Plan EFFECTIVE DATE: 1 November 2000 Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 300 POLICY Aurora University offers an Open Enrollment Period each calendar year to allow employees to review and revise their benefit selections under the Flexible Benefit Plan covered by Section 125 of the IRS Guidelines. While certain benefits (such as retirement and supplemental retirement) may be adjusted throughout the year, most benefits may only be changed during the Open Enrollment Period, or within 30 calendar days of a defined "life status change" event. RELATED POLICIES/DOCUMENTS 302 Domestic Partner Policy and Statement 311 Post Retirement Health Insurance Summary Plan Descriptions Benefit Plan Documents ELIGIBILITY All active full-time employees, part-time benefit eligible employees, individuals covered under COBRA, and eligible retired employees. PROCEDURE Each fall, all eligible employees and retirees are provided with an Open Enrollment packet which includes information on Plan changes, election options, and the deadline for submission of changes to Human Resources. Health, Dental, Vision and Flexible Spending Account (health or dependent care) Elections made for the Plan Year, which is January 1 through December 31, may not be changed, except due to specific "life status change events" as defined by the Health Insurance Portability and Accountability Act (HIPAA), and outlined in the Summary Plan Description. Such election changes must be made within thirty (30) calendar days of the life status change. Supplemental Life or AD&D insurance may be dropped during a Plan Year, however, the individual may not re-start coverage until the next Plan Year, and then only with Evidence of Medical Insurability as acceptable to the Plan. Supplemental Retirement and Retirement accounts through TIAA-CREF may be adjusted at any time during the year. DISCLAIMER In the event of any contradiction between the information appearing in this document or the Summary Plan Description (SPD) for the benefit, the Plan Document and/or Master Contract shall govern in all cases. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: PURPOSE Aurora University seeks to promote a university-wide acceptance of diversity in all its dimensions, including sexual orientation. In light of this goal, certain benefits will be provided to domestic partners as if they were legal spouses of employees. POLICY Effective May 1, 2000, Aurora University Human Resources Policies will be adjusted to reflect coverage of domestic partners under appropriate policies. Registration of a domestic partnership is not required in order to take advantage of Human Resources Policy provisions, with the exception of benefits, including health, dental, supplemental life/AD&D, and tuition assistance. I. Definition of Domestic Partner Domestic partners are persons who: A. Are at least 18 years of age, and of the same gender. B. Are competent to contract at the time the domestic partnership statement is completed. C. Are not legally married to any other person, and not related in a way that would prohibit marriage in the States of Illinois or Wisconsin. D. Are each other's sole domestic partner. E. Share permanent residence. F. In addition, domestic partners must have either 1. One of the following... a. Domestic Partnership Certificate or Registration b. Proof of Commitment Ceremony (printed invitation, announcement, etc) c. Marriage Certificate d. A legal document issued by a governmental body equivalent to a marriage certificate. 2. Or any two of the following... a. Revocable living trust or living trust agreement naming each other b. Durable power of attorney or living will naming each other c. Joint tenancy documents verifying partners have lived together for a period of time d. Joint utility bills e. Designation of each other as beneficiary for life insurance or retirement benefits f. Joint bank account g. Joint legal guardianship of children h. Will, drawn up by an attorney, bequeathing personal belongings to one another Domestic Partner Policy and Statement 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 302

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i. II.

Joint ownership of a vehicle.

Registration of Domestic Partnership Registration of domestic partnership will be required for coverage under group health, dental, dependent life and tuition benefits. Employees may register domestic partnerships with the Human Resources Office for health, life and dental benefits coverage. Additionally, registration is required for coverage under other benefits, such as tuition remission and FMLA. A. An employee who wishes to register a domestic partnership should complete and submit the Statement of Domestic Partnership to Human Resources. Upon receiving the signed Statement, the Human Resources Department will consider the Partnership registered as of the date the form is received in Human Resources. B. Children of domestic partners are eligible for benefits under the same conditions as the children of employees' legal spouses. C. Enrollment of domestic partners and eligible dependent children is subject to the same rules as enrollment of other dependents. See contract guidelines. D. An employee must notify Human Resources in writing of the termination of a domestic partnership within 30 days of its termination in order to protect COBRA rights. (The same guidelines apply to legally married couples who divorce.) E. Domestic partners and their enrolled dependents will receive the same or equivalent benefits as spouses and their enrolled dependents receive for group continuation of health and dental coverage through COBRA and/or individual conversion of life insurance. F. As noted above, an employee may terminate a domestic partnership by notifying Human Resources in writing of the termination of that domestic partnership within 30 days of its termination. The employee must then wait 6 months from the date of that notice before registering another domestic partnership, except in either of the following cases. 1. The employee is registering the same domestic partnership within 30 days of notification of the termination of that domestic partnership. 2. The employee's former domestic partnership was dissolved through the death of the employee's domestic partner.

III.

Tax Consequences of Domestic Partnership Under the Internal Revenue Code, an employee is not taxed on the value of benefits provided by an employer to an employee's spouse or dependent. However, the IRS has ruled that a domestic partner does not qualify as a spouse. The value of benefits provided to an employee's domestic partner (and the domestic partner's eligible children, if any) is considered part of the employee's taxable income, unless the employee's domestic partner qualifies as a dependent under Section 152 of the Internal Revenue Code. Aurora University will treat the value of the benefits provided to an employee's domestic partner (and the domestic partner's eligible children, if any) as part of the employee's income, and will withhold the taxes on the value of those benefits from the employee's paychecks. If the employee's domestic partner qualifies as a dependent under Section 152 of the Internal Revenue Code, the employee may file the proper documentation with the IRS and seek a refund for taxes withheld. Any tax consequences of domestic partnership are the responsibility of the employee, not Aurora University.

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IV.

Legal Consequences of Domestic Partnership Some courts have recognized non-marriage relationships as the equivalent of marriage for the purpose of establishing and dividing community property. A declaration of common welfare, such as the registration of Domestic Partnership, may therefore have legal implications.

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STATEMENT OF DOMESTIC PARTNERSHIP

Employee Name: (Please print) Partner Name:

(First, Middle Initial, Last)

(Soc. Sec. Number)

M F Gender M F Gender

(First, Middle Initial, Last)

(Soc. Sec. Number)

We affirm or attest that we: Are at least 18 years of age, and of the same gender. Are competent to contract at the time the domestic partnership statement is completed. Are not legally married to any other person, and not related in a way that would prohibit marriage in the States of Illinois or Wisconsin. Are each other's sole domestic partner. Share permanent residence. Are in a relationship of mutual support, caring, and commitment, and intend to remain in such a relationship for the foreseeable future. Domestic Partnership Verification:

We understand that, upon request, we may be asked to produce the following documents: One of the following... Domestic Partnership Certificates or Registration Proof of Commitment Ceremony (printed invitation, announcement, etc.) Marriage Certificate A legal document issued by a governmental body equivalent to a marriage certificate Or any two of the following... Revocable living trust or living trust agreement (naming each other) Durable power of attorney or living will (naming each other) Join tenancy documents verifying partners have previously lived together for a period of time Joint utility bills Assignment of life insurance documents (naming each other) Joint bank account documents Joint legal guardianship of children Will, drawn up by an attorney, bequeathing personal belongings to one another Joint ownership of a vehicle

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Statement of Domestic Partnership Page 2

We understand that the employee is obligated to file a Notice of Termination of Eligibility with the plan administrator within 30 days of the earliest of (a) the death of a Domestic Partner, (b) the date on which we no longer meet the criteria for domestic partnership set forth above, in order to protect COBRA rights. We understand that acknowledging our Domestic Partner relationship in this Statement may subject us to legal obligations to each other, taxing authorities, or other third parties, and that we should consult an attorney to learn the extent of those obligations. We understand that Aurora University will keep enrollment forms and Statements of Domestic Partnership confidential. The information will be utilized within Human Resources, Payroll and Accounting only for the purposes of implementing and administering benefits, and as required or permitted by law.

We hereby swear or affirm that the information stated herein is true and correct to the best of our knowledge. We agree to notify Human Resources of any changes in the status of the Domestic Partnership relationship.

_ ___________________________________ Employee Signature Date

___

___________________________________________________________ Partner Signature

_________________ Date

Filed in Human Resources:

Date_________________

Initials of HR Representative____________

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Post Retirement Health Insurance 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 311

PURPOSE Aurora University allows individuals retiring from the university the opportunity to continue health insurance coverage, subject to certain stipulations and guidelines. DEFINITIONS AND GUIDELINES Eligible Retiree: Individual aged 59½ or older who works for Aurora University in a benefit eligible position and who was hired to work at the Aurora campus prior to 22 April 1996. The individual must have carried medical insurance on the day prior to the retirement day. All Other Retirees: Individuals hired at the Aurora campus on or after April 22, 1996, or who were employees at George Williams College campus prior to that date, who are in benefited positions with at least 10 continuous calendar years of employment with Aurora University. Retirement: · Early Retirement is available upon an employee's attainment of age 59 ½ and completion of at least 10 years continuous employment with Aurora University. · Full Retirement is available upon an employee's attainment of age 65 and completion of at least 10 years continuous employment with Aurora University.

Insurance continuation: · Eligible Retirees: o An Eligible Retiree, their legal spouse, domestic partner, and eligible dependents may continue health coverage if the eligible retiree, spouse, domestic partner and eligible dependents were covered on the Plan on the day prior to the retirement date. Individuals may only be added or dropped from the Plan after Retirement in accordance with the Plan Guidelines. o An Eligible Retiree may continue medical insurance upon retirement by paying cost of the benefit less the university contribution. The current cost is on file in Human Resources. Costs are typically reviewed on an annual basis, individuals will be notified during the Open Enrollment Period of upcoming changes. Employees and their covered spouse/domestic partner are eligible to continue insurance throughout their lifetimes. o University contribution levels for eligible retirees Retiree under 65 $138.00 per month Retiree/Spouse under 65 $192.00 per month Retiree/Family under 65 $232.00 per month Retiree over 65 $133.00 per month Retiree/Spouse over 65 $183.00 per month Retiree under 65/Spouse over 65 $188.00 per month Retiree over 65/Spouse under 65 $185.00 per month Spouse over 65 $ 50.00 per month

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o

Eligible retirees pay for their coverage in advance. Each retiree may choose whether to pay for two, three or six months at a time. Retirees are billed at the start of each calendar year and may select their payment option at that time. Nonpayment will terminate coverage.

·

Individuals in the "All Other Retirees" group may continue insurance under the COBRA guidelines. No coverage beyond that provided under COBRA is extended to this group. A Retiree may continue medical insurance upon retirement by paying the full monthly cost of the benefit as outlined under COBRA. The current cost is on file in Human Resources. Costs are reviewed on an annual basis, individuals will be notified during the Open Enrollment Period of upcoming changes.

Questions regarding this policy should be directed to the Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: On the Job Illness/Injury Reporting (Worker's Compensation) EFFECTIVE DATE: 1 January 2001 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 320 POLICY Aurora University requires that all injuries or illnesses sustained by employees during work time must be reported immediately to the supervisor and to Human Resources in order to determine coverage under Workers Compensation. FORMS/RELATED POLICIES Accident Report Form 339 Leave of Absence: Family and Medical ELIGIBILITY Any individual actively employed by Aurora University. PROCEDURE I. Reporting injuries or illnesses: A. All potentially work-related injuries or illnesses must be reported immediately by telephone, email, or in person to the supervisor and to Human Resources. An Accident Report Form must be completed within 24 hours of a work-related accident (forms are available online, from the supervisor, or in the Human Resources). This report will be the basis of a review to determine if the illness/injury is covered by Workers Compensation under the guidelines of the State of Illinois or State of Wisconsin. B. Notice to a fellow employee who is not part of management is not considered notice to the employer. C. Employees who will be off work for more than three calendar days must consult with Human Resources regarding eligibility for FMLA. II. Injuries requiring medical attention should be referred to the Dreyer Medical Clinic in Illinois or the Aurora Health Clinic in Wisconsin. The employee may see his/her own doctor. If this option is selected, the employee must notify the Human Resources of the change in medical care provider. Compensation/pay continuation: A. If the incident is covered by Workers' Compensation, and time off of work is required and authorized by a healthcare provider, the first three days of an absence will be paid time.

III.

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Following the first three full days off, the remainder of time off will be covered by Workers' Compensation benefits. B. If the incident is not covered by Workers' Compensation and time off work is required and authorized by a healthcare provider, the individual may use accumulated sick and/or vacation time if available. IV. Return to Work: A. Employees with injuries or illnesses covered by Workers' Compensation will be encouraged to return to temporary light duty assignments as soon as they are able and authorized by a healthcare provider. The healthcare provider must provide the university with a release indicating the specific nature of limitations and the expected duration of limitations. B. Employees with injuries or illnesses covered by Workers' Compensation resulting in restrictions expected to last 12 months or more will be assessed individually by the Workers' Compensation carrier and university. C. Employees off work due to an accident or injury must comply with Leave Of Absence return-towork rules. In particular, they must keep the supervisor and Human Resources advised of medical status, eligibility to return to work. Written documentation must be obtained from the appropriate health practitioner indicating the date the employee is eligible to return to work.

Questions regarding this policy should be directed to Human Resources.

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AURORA UNIVERSITY ON THE JOB ACCIDENT / ILLNESS REPORT

Supervisors must report all incidents involving an injury or illness of an employee. This form must be completed and forwarded to the Human Resources within 24 hours of the incident. Employee Name:________________________________________ Date of Accident/Illness:______________________________Time: Location of Accident: Nature of injury/illness: Specific part of body affected (e.g. left hand, right foot): Object or substance responsible: Details of incident: Department:

Is this a lost workday case? Y N Last day worked: Please explain how the accident occurred:

Any hazardous conditions, methods or lack of protective devices?

Y

N Explain:

How could accident/injury be prevented?

Names of witnesses: Medical services provided? Y Results (if known):

N

Where:

I have read this report and it is correct: _______________________________________________ Employee's Signature _______________________________________________ Date

Supervisor's Signature _ Date

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INSTRUCTIONS FOR COMPLETING ON THE JOB ACCIDENT/ILLNESS REPORT Employees who sustain an injury arising out of and in the course of their employment may be eligible for Workers' Compensation benefits in accordance with the laws of the State of Illinois or the State of Wisconsin. If an employee sustains an injury or illness while working, it must be reported to the supervisor immediately. The supervisor must call, e-mail or come to Human Resources immediately to give an initial report with as much information as possible. The supervisor must complete the On the Job Accident/Illness Report and submit it to Human Resources within 24 hours of the incident. In accordance with The Federal Occupational Safety and Health Act of 1970, all injuries must be reported, no matter how minor the injury may be, and all information requested on the form must be provided. Any delay in notifying Human Resources could delay the payment of benefits to the employee, and a delay of more than 45 days may result in a total loss of benefits. Please record the information provided by the injured employee as completely and accurately as possible on the appropriate form. To the fullest extent possible, all areas of the form should be completed. TREATMENT: Please indicate the location where the employee has gone or is going for treatment. Encourage the employee to seek immediate treatment, either from Dreyer Clinic (Aurora), Mercy Clinic Walworth (GWC) or from his or her own physician. The employee should advise the physician that the injury may be job-related, in which case the clinic or physician's office will provide the university's Workers' Compensation insurer with periodic updates as to his or her condition. Please inform Human Resources if the employee is expected to be absent from work due to the injury or illness, and when he or she is expected to return to work. A healthcare provider's note must be provided by a returning employee indicating that the employee may return to work and detailing any restrictions. This will minimize the risk of further injury both to the employee and to the university. A. If temporary light duty is necessary, coordinate the return to work with Human Resources. B. If permanent restrictions are indicated, contact Human Resources prior to allowing the individual to return to work.

LOST TIME:

RETURN TO WORK:

If you have any questions please contact the Human Resources immediately at 630-844-5493 or [email protected]

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University provides regular full-time and regular part-time employees with vacation benefits so that individuals may better balance work and personal lives, and have a period of rest and relaxation from time to time. ELIGIBILITY A. All regular employees who are scheduled to work at least 1,040 hours per year and classified nonexempt or exempt administrative are eligible for vacation pay. B. Faculty are not eligible for vacation pay. The work schedule for faculty is set by the Provost and complies with the contractual terms of faculty employment (See the Faculty Handbook). C. Eligible employees begin to accrue vacation as of their first day of work and may request to take vacation upon completion of 90 days of employment. An employee's most recent hire date is used to determine years of service for vacation eligibility. D. A maximum of 80 hours of accrued vacation may be carried forward to the new year each 31 December. Should an employee have a balance greater than 80 hours as of that date, the remaining hours shall be forfeited (lost). VACATION ACCRUAL AND MAXIMUMS A. Hours are accrued per payroll based on regular hours paid during the payroll period Accruals shown below indicate the per-hour and expected annual amount. Employment Status Non-exempt Non-exempt Non-exempt Exempt Senior Staff Length of Service 1 to 4 years 5 to 9 years 10 or more years n/a n/a Per Hour Paid Accrual 0.0385 hours 0.0577 hours 0.0770 hours Per Pay Period 6.67 hours 8.34 hours Expected Annual Accrual two weeks three weeks four weeks four weeks five weeks Vacation Benefit 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 330

Exempt employees on less than 12 month contracts accrue: Length of Contract Per Payperiod Accrual 9 month contract 10 month contract 11 month contract 1.67 hrs/payperiod 3.34 hrs/payperiod 5.00 hrs/payperiod

Expected Annual Accrual one week two weeks three weeks

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B. For Non-Exempt employees, hours begin to accrue at the next higher level at the start of the year of service indicated. That is, an individual hired 1/1/2000 will begin to earn 0.0577 hours per regular hour worked on 1/1/2004, the beginning of the 5th year of employment. C. Active employees may not be paid in lieu of using vacation time. D. All accrued vacation time is paid at separation from employment (resignation/termination). SCHEDULING VACATION TIME: A. Supervisors are encouraged to allow employees to take vacations without requiring calling in, checking e-mail or checking voicemail during the vacation. B. Eligible, accrued vacation may be taken at times mutually acceptable to the employee and the supervisor. The university reserves the right to deny requests that might impair operations. C. Departments may, within reason, specify "blackout" periods when no vacation may be taken by any department member. Departments may also set the number of individuals who may be on vacation at any given time, and may adjust that number based on seasonal, departmental requirements. D. Employees are encouraged to schedule vacations well in advance, so that appropriate coverage is ensured, cross training can be updated as necessary, and overall department needs may be met. Requests less than one workday in advance that are granted by the supervisor may be considered unscheduled leave for attendance purposes. E. An employee will only be paid for accrued vacation time. Supervisors and the employee must verify that time is accrued before scheduling vacation. Time off in excess of actual accrued vacation accruals will not be compensated. F. Exempt employees may take vacation time in increments of one-half day. Non-exempt employees may take vacation time in increments of one hour. G. Employees who work less than 12 months per year must take vacations within their scheduled months of employment. H. Vacations are reported via WebAdvisor (non-exempt) or on the Vacation and Sick Leave Report (exempt).

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University provides paid sick leave as a benefit to regular full time and regular part time employees in order to minimize the effects of potential economic loss sustained by an employee unable to work because of illness or injury. FORMS/RELATED POLICIES WevAdvisor WebTime Entry (non-exempt) Vacation/Sick Leave Report (exempt) 106 Americans with Disabilities Act/Reasonable Accommodations Process (ADA) 337 Leave of Absence: Personal 339 Leave of Absence: Family and Medical (FMLA) All absences related to contagious diseases, whether personally contracted or exposed to, must be reported to the Wellness Director/RN. PROCEDURE I. Accumulation of Paid Sick Leave A. Non-exempt staff: A regular non-exempt employee working a minimum of 1,040 hours per year accumulates paid sick leave based on hours paid during the pay period. The employee accumulates .0452 hours of sick leave for each hour paid. 1. Sick leave may be accumulated up to a maximum of 90 days (720 hours). 2. Unused accumulated sick leave is not paid out upon termination of employment nor upon retirement. 3. Medical certification may be requested for leaves over three calendar days, recurring time off indicating a pattern of absence, or in other situations as deemed necessary by the supervisor and Human Resources. B. Exempt Staff including Faculty 1. Regular exempt employees working half time or more, including faculty, also are eligible for paid sick leave. 2. Medical certification may be requested for leaves over three calendar days, recurring time off indicating a pattern of absence, or in other situations as deemed necessary by the supervisor and Human Resources. 3. Exempt employees who have been with the university under two years may have a maximum of 30 days paid in a given anniversary year. 4. Exempt employees who have reached their second anniversary may have up to the full elimination period for long term disability covered as paid time in the event of an extended personal illness. Sick Leave with Pay 9 March 1995 30 May 2008 B. Reissenweber, VP for Finance 331

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II.

Use of Paid Sick Leave Employees may use accumulated paid sick leave for absence for the following reasons: A. The employee's own illness/disability. B. The employee's own appointments with a health practitioner, when such appointments can only be arranged during working hours. C. Short-term disability or health practitioner appointments for immediate family (spouse/partner, dependent children, and parents). D. All sick leave must be reported on WebTime Entry/Vacation and Sick Leave Report. Scheduled/Unscheduled Sick Leave The abuse of sick time may have consequences, as it takes time away from the workplace and places additional burden on co-workers. Occurrences of absenteeism throughout the year must be tracked and monitored by supervisors. Used sick time falls into two categories: A. Scheduled Sick Time: When the supervisor is notified at least 24 hours in advance of a scheduled appointment or procedure for the employee and/or family member, the time is considered scheduled sick time. The supervisor may deny the time off if departmental needs do not permit an absence on that day. B. Unscheduled Sick Time: Last minute use of sick time places a burden on the department and the university. Abuse of unscheduled sick time may lead to disciplinary action up to and including termination. NOTE: Intermittent or full leave covered by the FMLA and/or the ADA will not count as unscheduled leave for purposes of this section. Please see policies listed above, and sections V.A and V.C below. Notification It is the responsibility of the employee who is absent for any reason to personally notify his/her supervisor no later than one hour after the beginning of the normal scheduled work day. Extended Illness/Disability A. Family and Medical Leave Act (FMLA): Absences exceeding 3 calendar days may fall under the Family and Medical Leave Act. Please review policy 339, Leaves of Absence: Family and Medical. Human Resources must be notified no later than the fourth day of absence in order to review applicability of coverage under FMLA. B. Medical certification will be requested for all leaves of 10 or more work days, regardless of coverage under FMLA. C. Americans with Disabilities Act (ADA): Employee absences related to the ADA will be reviewed on a case by case basis. Please see HR 106, Americans with Disabilities Act/Reasonable Accommodations Process. D. Upon the exhaustion of paid sick leave not covered by the FMLA, the employee will be required to utilize any accrued vacation time and/or personal time prior to going on to unpaid leave. E. An employee's position will be held open while the employee is on paid and/or FMLA and/or ADA leave. If neither FMLA nor ADA applies, there is no guarantee of a position if a leave extends beyond two weeks and no paid time is available. If the employee is unable to return to work and the university decides the position can no longer be held, the individual's employment status will be changed to "resigned due to medical reasons." F. An employee is required to keep the supervisor advised as to their condition and availability to return to work at least once a week for approved short-term leaves.

III.

IV.

V.

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G.

Prior to returning to work the employee must obtain a statement from the treating healthcare practitioner stating the date the employee is able to return to work and perform the essential duties of the position. The note must be given to Human Resources. It will be placed in the employee's medical file.

VI.

Other Provisions A. Sick Leave payments will not be made for months that do not fall within the normal term of appointment for less than 12 month staff. B. Sick leave payments will not be paid for days an employee is not scheduled to work. C. Abuse of sick leave privileges may result in discipline up to and including termination. Abuse includes excessive occurrences of sick time, use of sick time for purposes other than for which it was intended, patterns of sick usage indicating abuse, and associated harm on the department in covering the duties and responsibilities of the employee on sick time. D. Payroll maintains official sick leave accumulation and use records. Each day of absence for sickness must be reported via WebTime Entry (non-exempt) or the Vacation/Sick Leave Report (exempt and faculty). However, Payroll cannot track scheduled versus unscheduled absences. The Supervisor must track types of occurrences within the department.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University designates and observes certain days each year as holidays. OBSERVED HOLIDAYS · · · · · · · · New Year's Eve Day / New Year's Day Rev. Martin Luther King, Jr. Day Good Friday Memorial Day Independence Day Labor Day Thanksgiving Day / Day after Thanksgiving Christmas Eve Day / Christmas Day Holidays 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 332

Employees will be advised at the beginning of each calendar year of the dates each holiday will be observed. Personal days: Benefit eligible regular employees (exempt and non-exempt, non-faculty) receive two personal days to be taken within the calendar year. No time will carry over into a subsequent calendar year. NOTE: During the first year of employment, personal days will be pro-rated as follows: Hire date: 1 January through 30 April Two personal days 1 May though 31 August One personal day 1 September through 31 December No personal days Winter floating days: The days between Christmas Day and New Years Eve Day (typically three work days) may be taken as holidays at that time if scheduling permits, or taken as floating holidays during the months of December and January of the holiday season. If they cannot be taken during that time, they are not carried beyond 31 January. PROCEDURE I. All active, regular benefit eligible non-exempt and exempt employees are eligible for holiday pay. Holiday hours are pro-rated for part time employees.

II. Faculty, temporary or seasonal employees, student employees, and part-time employees who regularly work less than 20 hours per week are not eligible for holiday pay. III. Eligible employees must work or have an authorized paid absence on the scheduled work days immediately before and immediately after the day the day holiday is observed in order to receive holiday pay.

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IV. A regular benefit eligible hourly employee who works on the holiday will be paid time and one half for the hours worked. For example, if a full time hourly employee works 6 hours on the holiday, 6 hours will be paid as "holiday worked" at time and one half, 2 hours will be paid as holiday for a total of 8 hours paid. V. A benefit eligible exempt employee working on the holiday will be given an alternate day off if possible within 30 days of the holiday. VI. Faculty observe work and break schedules in accordance with the academic calendar. VII. An eligible employee who is on unpaid status (e.g. leave of absence, workers compensation, between terms, etc.) will not be eligible for holiday pay. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCE POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: School Visitation 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 333

POLICY Aurora University complies with State of Illinois guidelines regarding school visitation which allows parents or guardians to attend school conferences or classroom activities that cannot be scheduled outside of working hours. ELIGIBILITY

·

Regular full-time and benefit eligible part-time employees who have worked at least six months

PROCEDURE

· · · ·

Eligible employees may receive unpaid leave of up to eight hours during any school year. No more than four hours of this leave may be taken on a single day. Employees are required to use accrued vacation time for hours taken or unpaid leave when no accrued vacation time is available. Employees must provide a written request for the leave to their supervisor at least seven days in advance (24 hours if an emergency). Employees must furnish verification of the school visit within two days of the visit, if requested by the employee's supervisor.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Leave of Absence--Funeral 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 334

POLICY The university provides time-off with pay to arrange and/or attend funeral and memorial services of certain family members. This leave recognizes the anxiety, grief and personal difficulties employees may experience in connection with the death of a close family member. ELIGIBILITY All regular full-time and benefit eligible part-time employees. The length of time granted is defined below: Immediate Family Members: 3 days. Immediate family member is defined as a current spouse or partner, child, stepchild, parent, step-parent, sibling, step-sibling, grandchild, or in-laws (mother, father, sister, brother). Other Family Members: 1 day. Other family member is defined as grandparent, aunt, uncle, cousin, niece, nephew. PROCEDURE Employees may be required to provide documentation of a death and the relationship to the deceased before leave time may be approved or paid. The employee must attend the funeral or memorial service to be eligible for paid leave. An employee must notify the immediate supervisor as soon as possible of their request. Additional time may be allowed if it does not put a burden on the department, at the discretion of the immediate supervisor. Accrued vacation or personal time must be utilized for additional time off, unpaid time will be authorized only if no accrued vacation or personal time is available. The supervisor should notify Human Resources of the approved leave. The employee must report funeral leave on WebTime Entry (Non-exempt) or Vacation and Sick Leave Report (Exempt) to be eligible for payment. Hours paid for funeral leave are not considered hours worked and therefore will not be considered in determination of overtime pay. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: Leave of Absence ­ Military and Military Family EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 31 May 2008 Approved By: B. Reisssenweber, VP for Finance Policy Number: 335 PURPOSE Aurora University provides employees who are members of the uniformed services of the United States of America granted leaves of absence in accordance with the Federal Uniformed Services Employment And Reemployment Rights Act of 1994 (USERRA), and any amendments to that act. The primary purpose of USERRA is to assist employees with re-entry into the workforce after up to five years of voluntary or involuntary "service in the uniformed services." It also grants to eligible employees certain rights in connection with pensions and other employee benefit plans. Aurora University provides that employees who are spouses/partners or parents of a person called to military service shall be eligible for a protected leave of absence in specific situations, in accordance with Public Act 094-0589 of the State of Illinois (see Policy 339 regarding Family Medical Leave Act). This leave provision shall apply to all Aurora University employees, regardless of state of residence. RELATED POLICIES 339 - Family Medical Leave Act 106 ­ American with Disabilities Act ELIGIBILITY CRITERIA In order to be eligible for these rights, employees must meet the following five eligibility criteria:

1. 2.

3. 4. 5.

They must have held a civilian position with Aurora University before their service in the uniformed services; They must have given notice to Aurora University that they were leaving the job for uniformed service (unless giving notice is precluded by military necessity or otherwise is impossible or unreasonable); Their period of uniformed service must not exceed a cumulative total of five years during their employment (not including the exempted categories of service listed below); They must not be released from uniformed service under dishonorable or other punitive conditions; and They must apply for re-employment within specified time limits after return, ranging from eight hours (following service of less than 31 days) to 14 days (following service of between 32 and 180 days), to 90 days following return (after service of more than 181 days). However, these time limits may be extended for up to two years following the date of completion of service when an employee suffers service-related injuries that prevent him/her from applying for re-employment.

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DEFINITIONS "Uniformed Services" The "uniformed services" include the Army, Navy, Marine Corps, Air Force, Coast Guard, Public Health Service commissioned corps, and the reserve components of each of these services. USERRA rights also extend to employees who receive federal training or perform service in the Army National Guard and Air National Guard. "Service in the Uniformed Services" "Service in the uniformed services" includes active duty, active duty for training, inactive duty training (such as drills), initial active duty training, and funeral honors duty performed by National Guardsmen and reserve members. It also includes the time spent by an employee being examined to determine fitness to perform any such service. In addition, under the Public Health Security and Bioterrorism Response Act of 2002, certain disaster response work (and authorized training for such work) is considered "service in the uniformed services". "Maximum Period of Service" Time towards the maximum period of service includes only actual uniformed service time. An employee's maximum period of service shall not exceed five (5) years except: · · · · Service required beyond five years to complete an initial period of obligated service; Service from which a person, through no fault of the person, is unable to obtain a release within the five-year limit; As required to fulfill additional training requirements determined and certified in writing by the Secretary concerned, to be necessary for professional development, or for completion of skill training or retraining; or Performed by a member of a uniformed service who is: Ordered to or retained on active duty under section 688, 12301(a), 12301(g), 12302, 12304, or 12305 of title 10 or under section 331, 332, 359, 360, 367 or 712 of title 14; o Ordered to or retained on active duty (other than for training) under any provision of law because of a war or national emergency declared by the President or the Congress as determined by the Secretary concerned; o Ordered to active duty (other than for training) in support, as determined by the Secretary concerned, of an operational mission for which personnel have been ordered to active duty under section 12304 of title 10; o Ordered to active duty in support, as determined by the Secretary concerned, of a critical mission requirement of the uniformed services; or o Called into Federal service as a member of the National Guard under chapter 15 of title 10 or under section 12406 of title 10. Travel time immediately preceding and following actual service are not included even if those periods may involve absences from the employment position for reasons that are service related, such as intermittent related time off as defined below. USERRA also allows an employee to complete an initial period of active duty that exceeds five years (e.g., enlistees in the Navy's nuclear power program are required to serve six years).

o

·

·

"Intermittent Related Time Off" An employee may need intermittent time off from work prior to military service for brief but repeated periods to put his/her affairs in order, and such periods may be necessary to, for example, interview child

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care providers, go to meetings with bank officers regarding financial matters or seek assistance for elderly parents. These intermittent times are covered and protected leave, but are not considered part of the five years. The duration of military service, the amount of notice supplied to an employee called to military service and the location of this service are all factors that influence the amount of time an employee may need in order to rest and/or put his/her affairs in order. PROCEDURE I. All employees called to active military duty or for reserve training must present written documentation to the immediate supervisor as soon as possible after notification. Paperwork should be attached to a Military Leave of Absence form when it is routed to Human Resources. If paperwork is not available, return the Leave of Absence form with as much information as possible. USERRA recognizes that it may be difficult or impossible for an employee to give advance notice to his/her employer. To accommodate these cases, the advance notice requirement may be excused by reason of "military necessity." In light of access to cell phones, e-mail and other readily available sources of communication, it is expected that such situations will be extremely rare. Determination of Military Compensation: A. Full-time employees who have been employed at least twelve months will be eligible for two weeks leave with adjusted pay for training periods of ten or more calendar days (up to ten days of pay each fiscal year) for annual training or other Reserve duties. B. In the event of war, national emergency, or other non-voluntary call to extended active duty, the employee will receive adjusted pay from the university for normally scheduled time during the first 30 calendar days of leave. C. Employees must provide a copy of the pay statement showing the dates of active duty and base pay for the period in order to receive adjusted pay. D. The university will pay the difference between the amount of basic pay received (military) and the employee's base pay exclusive of overtime. For example: 1. Military basic pay $960.00 for 15 active duty days = $64.00/military daily rate 2. Aurora University hourly rate $10.00 times 8 hours = $80.00/AU Daily rate 3. 10 workdays missed: 10 days at $64.00 = $640.00 military pay 4. 10 days at $80.00 = $800.00 AU pay 5. $800.00 - $640.00 = $160.00 to be paid to the employee by Aurora University E. Payment will be made based on the employee's regularly scheduled hours. F. Vacation pay may be used for time needed in excess of the paid time. Those not eligible for paid time as described in A through D above may utilize accrued vacation time if available. G. Employees on short-term military leave (two weeks or less) will continue to accrue vacation and accumulate sick leave benefits (if eligible). Returning to work: Impact on the Returning Employee A. Managers should work with Human Resources to discuss how the returning employees will transition back into the workforce. B. The university will make reasonable efforts to accommodate the employee upon request if he/she returns with a disability. In that process, the university must comply with the ADA and state disability discrimination laws, as well as the USERRA. These laws require employers to make reasonable efforts to accommodate a returning employee's disability or short-term injury. Under the USERRA, for example, if the employee cannot perform the particular job to which he/she is entitled to return, then the employer must provide the "nearest approximation" to the previous job in light of the limits of the disability. C. The university is not required to reemploy a person if: 1. The university's circumstances have so changed as to make such re-employment impossible or unreasonable;

II.

III.

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IV.

V.

In the case of a person entitled to re-employment under subsection (a)(3), (a)(4), or (b)(2)(B) of section 4313 of USERRA, such employment would impose undue hardship on the employer; or 3. The employment from which the person leaves to serve in the uniformed services is for a brief, non-recurrent period and there is no reasonable expectation that such employment will continue. Benefit continuation A. USERRA guarantees a re-employed individual pension plan benefits that accrued during his/her uniformed service in defined contribution plans. At the university, this means at the time of re-employment, the university will contribute to TIAA-CREF an amount equal to the matching portion the individual would have received during his/her leave if the individual contributes the corresponding matched portion. Any payment to the Plan described in this paragraph shall be made during the period beginning with the date of reemployment and may be spread over a period up to three times the period of the individual's service in the uniformed services, such payment period not to exceed five (5) years. B. For purposes of computing the university's liability or the employee's contributions under this section, the employee's compensation during the period of service shall be computed: 1. At the rate the employee would have received but for the period of service, or 2. In the case that the determination of such rate is not reasonably certain, on the basis of the employee's average rate of compensation during the 12-month period immediately preceding such period (or, if shorter, the period of employment immediately preceding the period). 3. Health insurance coverage will continue for the first 31 days of uniformed service, following which eligible employees will be offered COBRA -like benefits for up to 24 months. If university health care coverage is discontinued by the employee during his/her military service, he/she is entitled to immediate reinstatement of coverage upon re-employment with no waiting period or exclusion for pre-existing conditions. 4. USERRA prohibits employers from forcing employees to use their vacation time for their period of uniformed service. The university offers use of vacation time as an option to the individual. 5. Time spent on USERRA leave counts toward both the 12 months of employment and the 1,000 hours worked Family and Medical Leave Act (FMLA) eligibility requirement. Family of Military Leave Provisions A. The State of Illinois has enacted Public Act 094-0589, the Family Military Leave Act. This Act provides for up to thirty (30) days of unpaid family military leave to an employee during the time Federal or State deployment orders are in effect, subject to the conditions below. The employee may substitute paid vacation or personal time to cover the time off. B. The university will apply the provisions of Illinois Public Act 094-0589 to all eligible university employees, regardless of state of residence. C. Through this Act, the university will offer protected time off to the spouse/partner or parent of a member of the military called to service lasting longer than 30 days with the State or United States pursuant to the orders of the Governor or the President of the United States. The employee must meet certain qualifications: 1. The individual must have been employed by the university for at least 12 months; and 2. The employee must have worked least 1,250 hours during the 12-month period immediately preceding the leave.

2.

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D.

E. F. G. H.

The eligible employee shall give at least fourteen (14) days notice of the intended date upon which family military leave will commence if the leave will consist of five (5) or more consecutive work days. Where able, the employee should consult with his/her supervisor to schedule the leave so as not to unduly disrupt the operations of the university. Employees taking military family leave for less than five (5) consecutive days shall give the supervisor and university as much advanced notice as is practicable. The university may require certification from the proper military authority to verify the employee's eligibility for the family military leave requested. An employee shall not take unpaid leave as provided under this Act unless he/she has exhausted all accrued/accumulated vacation and personal leave. Employee Benefits Protections: 1. Any employee who exercises the right to family military leave shall be entitled to be restored by the university to the position held by the employee prior to the leave or to a position equivalent in status, benefits, pay and other terms and conditions of employment. This section does not apply if the employer proves that the employee was not restored because of conditions unrelated to the employee's exercise of rights under the Act. 2. During any family military leave taken under this Act, the university shall make it possible for employees to continue benefits at the employee's expense.

Updates to Federal or State law may supersede the guidelines set forth in this document. Questions regarding this policy should be directed to the Human Resources.

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MILITARY LEAVE OF ABSENCE RECORD SHEET 1. Name of Employee: ___________________________________________ 2. Branch of Service (check appropriate box) o Army National Guard o Air National Guard o U.S. Army Reserve o U.S. Air Force Reserve o U.S. Coast Guard Reserve o U.S. Navy Reserve o U.S. Marine Reserve 3. Employee Position Title: ___________________________________________________ 4. Name of Supervisor: ______________________________________________________ 5. Date university was notified employee was leaving for military duty: _______________ 6. Last day of work prior to leaving for military duty: ______________________________ 7. MILITARY ORDERS (complete only if orders are NOT attached and information is available) o Date ordered to report for active duty: _________________________________ o Duration of orders: ________________________________________________ o Military Commander or Point of Contact: ______________________________ o Active Duty location and telephone number: ____________________________ 8. For orders in excess of 30 days, does the employee elect to continue medical insurance: o Yes If yes, for how long: _________________________________________ o No Does the employee elect to use vacation time prior to departure: o Yes o No List benefits employee qualifies for at this time: Be specific. ________________________________________________________________________________ ____________________________________________________________________________ Has supervisor been told of rules, policies, and laws such as promotion policies, salary increases, and seniority of employee while on military duty: o Yes o No _________________________________ Signature of Employer/Date

9.

10. 11. 12.

_______________________________ Signature of Employee/Date

Please attach copy of position description and military orders if available. Copies furnished to Employer and Employee

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HUMAN RESOURCES POLICY MANUAL TOPIC: Leave of Absence ­ Jury and Witness Duty EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 336 PURPOSE Aurora University recognizes an employee's civic obligation to serve on a jury or as a subpoenaed expert witness. ELIGIBILITY All employees who have been summoned for jury duty or subpoenaed as an expert witness. PROCEDURE A. An employee must report the receipt of a subpoena or notice to report for jury duty immediately to their supervisor. Proof of service must be submitted to the supervisor when the period of jury or witness duty is completed. A copy should be forwarded to Human Resources. Payment for Jury and Witness Duty: 1. 2. 3. Regular employees called for jury duty or as an expert witness will be eligible for salary continuation for up to a maximum of ten regular work days per calendar year. Employees appearing in court on their own behalf must use vacation or personal time. Part-time regular employees will be eligible for pay based on their regular scheduled work days and hours. Temporary employees are not eligible for pay. If an employee is dismissed from jury or witness duty prior to the end of the employee's normal work day, the employee must report to work and complete the normal work day. Time spent on jury duty will not be used in calculating overtime pay. If jury or witness duty should exceed or be expected to exceed the ten paid work days, an employee must complete a Leave of Absence form and discuss continuation of benefits with Human Resources. (If an employee suspects that they may need extended time off - over ten days - it is recommended they perform these tasks prior to the trial commencing.)

B.

C.

D.

E. F.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Leave of Absence ­ Personal 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 337

POLICY Aurora University provides that leaves of absence may be requested by regular full time or regular part time employees in order to attend to personal business, family emergencies, or to return to school. ELIGIBILITY Regular employees who have been employed by the University for at least one year prior to the requested leave are eligible to apply. Approval will be determined based on the reason for the leave, departmental and university needs. FORMS Request for Leave of Absence PROCEDURE A. The employee must complete a Request for Leave of Absence form and turn it in to their supervisor at least 30 days prior to the requested leave date, unless it is an emergency. The employee must explain the reason for the request and the length of the proposed absence. In general, personal leaves will not be approved for more than 30 calendar days. Leave requests to attend school will be evaluated on a case-by-case basis. The university cannot guarantee that a position will be available to an employee upon return from a personal leave. Accrued vacation and personal time must be exhausted before going on a personal leave without pay. Employees are encouraged to discuss benefit continuation with Human Resources prior to beginning a leave. 1. Vacation benefits will not accrue while on leave without pay. 2. Sick time will not accumulate while on leave without pay. 3. If a leave should extend beyond 30 days, university-provided benefits (i.e. AD&D, life, disability, etc.,) will be discontinued. 4. Employees may continue medical, FSA, vision, and dental benefits through COBRA.

B.

C.

D.

E.

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F.

Prior to the stated return date, the individual must contact the supervisor and/or Human Resources to discuss return to work, and whether the position remains available. If no position is available, the individual will be considered a voluntary resignation. 1. The individual may be required to wait until Open Enrollment to re-start medical, FSA, vision and dental coverage if the leave extended beyond 30 calendar days and COBRA was not elected and paid. 2. For leaves of 30 calendar days or less, the employee will be required to reimburse the university for benefits premiums missed during the absence. Requests to return earlier than planned will require approval by the supervisor. Employees are expected to return to work on the date indicated on the leave form. Failure to contact the university and return to work may be considered a voluntary resignation.

G. H.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCE POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University will grant up to 12 weeks of family and medical leave during any 12-month period to eligible employees, in accordance with the Family and Medical Leave Act of 1993 (FMLA) and up to 26 weeks of leave in any 12-month period in compliance with the expansion of FMLA under The Support for Injured Servicemembers Act of 2007. The leave may be paid, unpaid or a combination of paid and unpaid leave, depending on the circumstances of the leave and as specified in this policy. FORMS Request for Leave of Absence Certification of Health Care Provider Family and Medical Leave Fact Sheet PROCEDURE I. General Requirements To qualify to take family or medical leave under this policy, the employee must meet all of the following conditions: A. The employee must have worked for the university for 12 months or 52 weeks. The 12 months or 52 weeks need not have been consecutive. For eligibility purposes, an employee will be considered to have been employed for an entire week even if the employee was on the payroll for only part of the week or if the employee is on leave during the week. 1. While the 12 months need not be consecutive, the university will not count employment prior to a continuous break in service of five years or more. 2. An exception will be made if the lapse was due to military obligations or approved leave where written agreement outlined the university's intent to rehire the employee. 3. If the employee is on leave at the time the 12 month provision is met, the period of time prior to meeting eligibility does not count against the FMLA leave. B. The employee must have worked at least 1,000 hours during the 12-month period immediately before the date when the leave is requested to commence. The principles established under the Fair Labor Standards Act (FLSA) determine the number of hours worked by an employee. The FLSA does not include time spent on paid or unpaid leave as hours worked. Consequently, these hours of leave are not be counted in determining the 1,000 hours eligibility test for an employee under FMLA. Leave of Absence ­ Family and Medical Leave and Servicemembers Leave 5 August 1993 30 May 2008 B. Reissenweber, VP for Finance 339

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C. The employee must work in an office or work site where 50 or more employees are employed by the university within 75 miles of that office or work site. The distance is to be calculated by using available transportation by the most direct route. II. Type of Leave Covered To qualify as FMLA leave under this policy, the employee must be taking leave for one of the reasons listed below: The birth of a child and in order to care for that child. The placement of a child for adoption or foster care and to care for the newly placed child. To care for a spouse, domestic partner, child or parent with a serious health condition. If a husband and wife both work for the university and each wishes to take leave for the birth of a child, adoption or placement of a child in foster care, or to care for a parent (but not a parent inlaw) with a serious health condition, the husband and wife may only take a combined total of 12 weeks of leave. D. The serious health condition (defined below) of the employee. 1. A condition that makes the employee unable to perform the function of the position AND 2. Requires inpatient care at a hospital, hospice or residential medical care facility, including any period of incapacity or any subsequent treatment in connection with such inpatient care or a condition that requires continuing care by a licensed health care provider, AND/OR 3. Illnesses of a serious and long-term nature, resulting in recurring or lengthy absences. Generally, a chronic or long-term health condition, which, if left untreated, would result in a period of incapacity of more than three days, would be considered a serious health condition. 4. Employees with questions regarding coverage under this FMLA policy or under the university policy HR-331 Sick Leave With Pay or under university policy HR -106 Americans with Disabilities Act are encouraged to consult with Human Resources. 5. The university may require an employee to provide a doctor's certification of the serious health condition. The certification process is outlined below. 6. If an employee takes paid sick leave for a condition that progresses into a serious health condition and the employee requests unpaid leave as provided under this policy, the university may designate all or some portion of related leave taken as FMLA, to the extent that the earlier leave meets the necessary qualifications. E. A covered family member's active duty or call to active duty in the Armed Forces. 1. An employee whose spouse, son, daughter or parent either has been notified of an impending call or order to active military duty or who is already on active duty may take up to 12 weeks of leave for reasons related to or affected by the family member's call-up or service. Reasons related to the call-up or service include helping the family member prepare for the departure or caring for children of the servicemember. 2. The leave may commence as soon as the individual receives the call-up notice. (Son or daughter for this type of FMLA leave is defined the same as for child for other types of FMLA leave, except that the person does not have to be a minor.) 3. This type of leave would be counted toward the employee's 12-week maximum of FMLA leave in a 12-month period. Employees requesting this type of FMLA leave must provide proof of the qualifying family member's call-up or active military service before leave is granted. A. B. C.

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F. To care for an injured or ill servicemember. 1. This leave may extend to up to 26 weeks in a 12-month period for an employee whose spouse, son, daughter, parent or next-of-kin is injured or recovering from an injury suffered while on active military duty and who is unable to perform the duties of the servicemember's office, grade, rank or rating. Next-of-kin is defined as the closest blood relative of the injured or recovering servicemember. 2. An employee is also eligible for this type of leave when the family servicemember is receiving medical treatment, recuperation or therapy, even if the servicemember is on temporary disability retired list. 3. Employees requesting this type of FMLA leave must provide certification of the family member or next-of-kin's injury, recovery or need for care. This certification is not tied to a serious health condition as for other types of FMLA leave. 4. This is the only type of FMLA leave that may extend an employee's leave entitlement beyond 12 weeks to 26 weeks. Other types of FMLA leave are included with this type of leave totaling the 26 weeks. G. The university will measure the 12-month period as a rolling 12-month period measured backward from the date an employee uses any leave under this policy. Each time an employee takes leave, the university will compute the amount of leave the employee has taken under this policy in the last 12 months and subtract it from the 12 weeks (or 26 weeks for the care of an injured or ill servicemember) of available leave, with the balance remaining being the amount the employee is entitled to take at that time. H. If a husband and wife both work for the university and each wishes to take leave for the birth of a child, adoption or placement of a child in foster care, or to care for a parent (but not a parent in-law) with a serious health condition, the husband and wife may only take a combined total of 12 weeks of leave. If a husband and wife both work for the university and each wishes to take leave to care for a covered injured or ill servicemember, the husband and wife may only take a combined total of 26 weeks of leave. III. Employee Status and Benefits During Leave A. While an employee is on leave, the university will continue the employee's health benefits during the leave period at the same level and under the same conditions as if the employee had continued to work. B. If the employee chooses not to return to work for reasons other than a continued serious health condition of the employee or the employee's family member or a circumstance beyond the employee's control, the university will require the employee to reimburse the amount the university paid for the employee's health insurance premium during the leave period. C. Under current university policy, the employee pays a portion of the health care premium. While on paid leave, the university will continue to make payroll deductions to collect the employee's share of the premium. While on unpaid leave, the employee must continue to make this payment, either in person or by mail. The payment must be received in Human Resources by the 15th day of each month. If the payment is more than 30 days late, the employee's health care coverage may be dropped for the duration of the leave. The university will provide 15 days notification prior to the employee's loss of coverage. D. If the employee contributes to a life insurance or disability plan, the university will continue making payroll deductions while the employee is on paid leave. While the employee is on unpaid leave, the employee may request continuation of such benefits and pay their portion of the premiums; or the university may elect to maintain such benefits during the leave and pay the employee's share of the premium payments. If the employee does not continue these

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payments, the university may discontinue coverage during the leave. If the university maintains coverage, the university may recover the costs incurred for paying the employee's share of any premiums whether or not the employee returns to work. IV. Employee Status after Leave A. An employee who takes leave under this policy will be able to return to the same position or a position with equivalent status, pay, benefits and other employment terms. The position will be the same or virtually identical in terms of pay, benefits and working conditions. B. The university may choose to exempt certain key employees from this requirement and not return them to the same or similar position. For purposes of the FMLA, a key employee is a salaried employee of the university who is among the highest paid ten percent (10%) of all university employees. V. Use of Paid and Unpaid Leave A. An employee who is taking FMLA leave may use all paid vacation, personal or sick leave prior to using unpaid leave. Paid leave will run concurrently with FMLA leave. B. Workers' compensation leave (to the extent that it qualifies), will be designated as FMLA leave and will run concurrently with FMLA. Intermittent Leave or a Reduced Work Schedule A. The employee may take FMLA leave in 12 consecutive weeks, may use the leave intermittently (take a day periodically when needed over the year) or, under certain circumstances, may use the leave to reduce the work week or work day, resulting in a reduced hour schedule. In all cases, the leave may not exceed a total of 12 work weeks (or 26 work weeks to care for an injured or ill servicemember over a 12-month period). B. The university may temporarily transfer an employee to an available alternative position with equivalent pay and benefits if the alternative position would better accommodate the intermittent or reduced schedule, in instances of when leave for the employee or employee's family member is foreseeable and for planned medical treatment, including recovery from a serious health condition or to care for a child after birth, or placement for adoption or foster care. C. For the birth, adoption or foster care of a child, the university and the employee must mutually agree to the schedule before the employee may take the leave intermittently or work a reduced hour schedule. Leave for birth, adoption or foster care of a child must be taken within one year of the birth or placement of the child. D. If the employee is taking leave for a serious health condition or because of the serious health condition of a family member, the employee should try to reach agreement with the university before taking intermittent leave or working a reduced hour schedule. If this is not possible, then the employee must prove that the use of the leave is medically necessary. The university may require certification of the medical necessity as discussed in Sections VII and IX. VII. Certification of the Serious Health Condition of the Employee or the Spouse, Partner, Child or Parent of the Employee A. The university may ask for certification of the serious health condition. The employee must respond to such a request within 15 days of the request or provide a reasonable explanation for

VI.

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the delay. Failure to provide certification may result in a denial of continuation of leave. Medical certification may be provided by using the Medical Certification Form. B. Certification of the serious health condition shall include the date when the condition began, its expected duration and a brief statement of treatment. a. For medical leave for the employee's own medical condition, the certification must also include a statement that the employee is unable to perform work of any kind or a statement that the employee is unable to perform the essential functions of the employee's position. b. For a family member who is seriously ill, the certification must include a statement that the patient, the family member, requires assistance and that the employee's presence would be beneficial or desirable. c. If the employee plans to take intermittent leave or work a reduced schedule, the certification must also include dates and the duration of treatment as well as a statement of medical necessity for taking intermittent leave or working a reduced schedule. C. The university has the right to ask for a second opinion if it has reason to doubt the certification. The university will pay for the employee to get a certification from a second doctor, which the university will select. If necessary to resolve a conflict between the original certification and the second opinion, the university will require the opinion of a third doctor. The university and the employee will mutually select the third doctor, and the university will pay for the opinion. This third opinion will be considered final. The employee will be provisionally entitled to leave and benefits under the FMLA pending the second and/or third opinion. VIII. Documentation of the Covered Family Member's Active Duty or Call to Active Duty in the Armed Forces Employees requesting this type of Servicemember FMLA leave must provide proof of the qualifying family member's call-up or active military service. This documentation may be a copy of the military orders or other official Armed Forces communication. IX. Documentation of the Need for Servicemember FMLA Leave to Care for an Injured or Ill Servicemember Employees requesting this type of Servicemember FMLA leave must provide documentation of the family member's or next-of-kin's injury, recovery or need for care. This documentation may be a copy of the military medical information, orders for treatment, or other official Armed Forces communication pertaining to the servicemember's injury or illness incurred on active military duty that renders the member medically unfit to perform his or her military duties. X. Procedure for Requesting Leave for 1) the birth of a child or in order to care for that child; 2) the placement of a child for adoption or foster care and to care for the newly placed child; 3) to care for a spouse, child or parent with a serious health condition; or 4) the serious health condition of the employee A. Employees requesting these types of FMLA leave must provide verbal notice with an explanation of the reason(s) for the needed leave to their immediate supervisor, who will advise Human Resources. If the leave is foreseeable, the immediate supervisor may require the employee to provide a written request for leave and reasons(s) with a copy to Human Resources. Failure of the employee to provide a written request for leave cannot be grounds to deny or delay the taking of FMLA leave.

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B. The university will provide individual notice of rights and obligations to each employee requesting leave within two business days or as soon as practicable. For employees on intermittent or recurring leave for the same incident, this notice will be provided every six months. C. When an employee plans to take leave under this policy, the employee must give the university 30 days notice. If it is not possible to give 30 days notice, the employee must give as much notice as is practicable. An employee who is to undergo planned medical treatment is required to make a reasonable effort to schedule the treatment in order to minimize disruptions to the university's operations. D. If an employee fails to provide 30 days notice for foreseeable leave with no reasonable excuse for the delay, the leave request may be denied until at least 30 days from the date the university receives notice. While on leave, employees are requested to report periodically to the supervisor regarding the status of the medical condition and their intent to return to work. XI. Procedure for Requesting Leave for 1) a covered family member's active duty or call to active duty in the Armed Forces or 2) to care for an injured or ill servicemember A. All employees requesting this type of FMLA leave must provide verbal notice with an explanation of the reason(s) for the needed leave to their immediate supervisor, who will advise Human Resources. Leave may commence as soon as the individual receives the call-up notice. If the leave is foreseeable, the immediate supervisor may require the employee to provide a written request for leave and reasons(s) with a copy to Human Resources. B. The university will provide individual notice of rights and obligations to each employee requesting leave within two business days or as soon as practicable. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: Leave of Absence ­ Victims of Domestic and Sexual Violence EFFECTIVE DATE: 1 January 2004 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 340 POLICY In accordance with Illinois Public Act 93-590, the university does not discriminate against employees who are victims of domestic or sexual violence or who are "perceived" as victims of domestic or sexual violence. This policy applies to employees at both the Aurora and the George Williams College campuses. Illinois Public Act 93-590 requires an employer of 50 or more employees to provide up to 12 weeks of unpaid intermittent leave for employees who are victims of domestic or sexual violence, or have family members that are victims of domestic or sexual violence FORMS TO BE USED I. Request for Family/Medical Leave form (Notification). II. Certification of Need for Leave GENERAL REQUIREMENTS I. Leave Benefit: The University will provide up to 12 weeks of paid or unpaid leave on an intermittent or reduced work schedule basis to an employee who is a victim of domestic or sexual violence or has a family or household member who is a victim of domestic or sexual violence whose interests are not adverse to the employee as it relates to the domestic or sexual violence may take unpaid leave from work to address domestic or sexual violence by: A. Seeking medical attention for, or recovering from, physical or psychological injuries caused by domestic or sexual violence to the employee or the employee's family or household member. B. Obtaining services from a victim services organization fro the employee or the employee's family or household member. C. Obtaining psychological or other counseling for the employee or the employee's family or household member. D. Participating in safety planning, temporarily or permanently relocating, or taking other actions to increase the safety of the employee or the employee's family or household member from future domestic or sexual violence or ensure economic security; or E. Seeking legal assistance or remedies to ensure the health and safety of the employee or the employee's family or household member, including preparing for or participating in any civil or criminal legal proceeding related to or derived from domestic or sexual violence. "Family or household member" means a spouse, parent, son, daughter, and persons jointly residing in the same household.

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II.

Employee Requirements: The employee must provide the University with at least 48 hours' advance notice of the employee's intention to take the leave, unless providing such notice is not practicable. The Request for Family/Medical Leave will be utilized to request leave under this policy. When an unscheduled absence occurs, the University will not take any action against the employee if the employee, within a reasonable period after the absence, provides certification. The employee is required to report at least weekly to the employer on the status and intention to return to work.

III.

Certification: The University will require the employee to provide certification that the employee or the employee's family or household member is a victim of domestic or sexual violence, and the leave is for one to the purposes enumerated in the law. The employee must provide such certification to the employer within a reasonable period (defined as 15 business days) after the employer requests certification. Completing the Request for Family/Medical Leave form initiates the process, and additionally, the employee shall provide: A. Documentation from an employee, agent, or volunteer of a victim service organization, an attorney, a member of the clergy, or a medical or other professional from whom the employee or the employee's family or household member has sought assistance in addressing domestic or sexual violence and the effects of violence. B. A police or court record; or C. Other corroborating evidence.

IV.

Restoration of Employee To Previous Position: Any employee who takes leave under this law shall be entitled, on return from such leave: A. To be restored by the University to the position of employment held by the employee when the leave commenced; OR B. To be restored to an equivalent position with equivalent employment benefits, pay and other terms and conditions of employment.

V.

Loss of Benefits: The Act provides that the taking of leave cannot result in the loss of any employment benefit accrued prior to the date on which the leave commenced. However, the employee is not entitled to: A. The accrual of any benefits during a period of leave which is unpaid (including vacation accrual and sick leave) and/or B. Any right, benefit or position of employment other than the right, benefit, or position to which the employee would have been entitled had the employee not taken the leave.

VI.

Health and Existing Leave Benefits: A. During any period of leave taken under this Act, the University will maintain coverage for the employee and any family or household member under any group health plan for the duration of such leave at the level and under the same conditions coverage would have been provided if the employee had continued in employment continuously for the duration of the leave. The employee is expected to pay the employee portion of the premium to the University.

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B. As with other leaves provided by the University, the employee must use accumulated sick time, accrued vacation time, and personal time prior to utilizing unpaid leave time. C. This Act does not create a right for an employee to take paid or unpaid leave that exceeds the leave time permitted by the federal Family and Medical Leave Act of 1993. VII. Failure to Return From Leave: A. The University may recover the insurance premium that the University paid for maintaining health coverage for the employee and the employee's family or household member under the group policy during any period of leave if: (1) the employee fails to return from leave under this Section after the period of leave to which the employee is entitled has expired, AND (2) the employee fails to return to work for a reason other than: (a) the continuation, recurrence or onset of domestic or sexual violence that entitles the employee to leave, or (b) other circumstances beyond the control of the employee. B. The University will require an employee who claims that s/he is unable to return to work because of a reason described above to provide, within a reasonable period after making the claim (15 business days), certification to the University that the employee is unable to return to work because of that reason. An employee may satisfy the certification requirement by providing to the University: (1) A sworn statement of the employee (2) Documentation from an employee, agent or volunteer of a victim services organization, an attorney, a member of the clergy, or a medical or other professional from whom the employee has sought assistance in addressing domestic or sexual violence and the effects of that violence; (3) A police or court record; or (4) Other corroborating evidence. VIII. Reasonable Accommodation Requirement: A. "Discriminate", used with respect to the terms, conditions, or privileges of employment includes not making a reasonable accommodation of the known limitations resulting from circumstances relating to being a victim of domestic or sexual violence or a family or household member being a victim of domestic or sexual violence of an otherwise qualified individual unless the University would face an undue hardship because of that accommodation. B. "Qualified Individual" means: an individual who, but for being a victim of domestic or sexual violence or with a family or household member who is a victim of domestic or sexual violence, can perform the essential functions of the employment position that such individual holds or for which the individual has applied. C. "Reasonable Accommodation" may include an adjustment to a job structure, or work requirement, including a transfer, reassignment, or modified schedule, leave, a changed telephone number, or implementation of a safety procedure, in response to actual or threatened domestic or sexual violence. D. "Undue Hardship" means an action requiring significant difficulty or expense to the University. The application of this policy and the procedures set forth herein may be modified in accordance with changes in applicable State law.

IX.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Tuition Assistance ­ Employee 1 November 2000 30 May 2008 Beth Reissenweber, VP for Finance 350

PURPOSE Aurora University encourages regular full and part time employees (.5FTE and above) to further their education. Educational opportunities in Aurora University classes are available to employees during the course of their employment, defined herein. This policy supersedes any prior policies on this benefit. FORMS/RELATED POLICIES 351 Tuition Assistance -- Dependent 352 Tuition Assistance -- Faculty Toward Terminal Degree 354 Life Long Learning Recognition Employee Tuition Assistance Form Financial Aid Forms BENEFIT 1. Full tuition assistance benefits commence the beginning of the term following hire date, or following a move to eligible status. 2. Tuition assistance is available for undergraduate and graduate courses only. Doctoral programs are not covered under this policy. Refer to Policy 352 - Tuition Assistance Toward Advanced Degrees. 3. Tuition assistance is available to the extent that other forms of financial aid do not cover the cost of tuition. 4. Recipients who are eligible for Aurora University academic scholarships will receive those scholarships in name only. 5. Tuition benefits will be prorated if the employee terminates or moves to ineligible status during the term in which they were receiving benefits PROCEDURE 1. Employees who wish to take coursework must meet all qualifications for academic standing that are required of all students and are subject to all academic regulations. a. Employees must meet qualifications for course work, including prerequisites. b. Financial aid paperwork must be completed at least once each school year if undergraduate courses are being taken. c. Student-at-Large status does not require the financial aid process be completed. 2. Eligibility for tuition assistance begins with the first term following hire date. 3. Enrollment in a particular class is contingent upon the availability of class space, without

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depriving a tuition-paying student from taking a class in accordance with Section 132 of the IRS code. 4. Tuition assistance is only available for courses which the university does not incur direct costs per student enrolled. Items such as course fees, private instruction, and Life Vocational Experience evaluations are not included. It is the responsibility of the employee to note special charges and pay in accordance with university payment guidelines. 5. Applications for Tuition Assistance are available in Human Resources or online at the link noted under Forms/Related Documents. a. Employees must complete an application prior to each term in which they enroll. Forms are due in Human Resources no later than 5 p.m. on the Friday before the beginning of the semester. Late enrollees may be denied tuition assistance for that semester. b. Employees must maintain at least a .5FTE Regular status or above prior to the start and throughout the coursework to receive assistance for undergraduate or graduate courses. c. Employees must obtain supervisory approval prior to enrollment in a course and assure that the course will not conflict with their normal work assignments. d. Employees taking more than one course in a school year at the undergraduate level must apply for Federal and State aid, meet all the filing deadlines, and be in compliance with all previous federal loan programs. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Tuition Assistance - Family 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 351

POLICY Aurora University allows and encourages (when possible) employee's family members the opportunity to further their education. Educational opportunities are available to specified family members of active full time regular employees at either no tuition cost or discounted tuition cost. SPECIAL NOTES/FORMS/RELATED POLICIES: 355 Tuition Exchange 302 Domestic Partnership Policy/Statement Dependent/Non-Dependent Tuition Assistance Form Financial Aid Forms PROCEDURE I. Family members (as defined below) of the employee who wish to take coursework must meet all qualifications for academic standing that are required of all students and are subject to all academic regulations. A. Family member must meet qualifications for course work, including prerequisites. B. Family members taking more than one course in a school year at the undergraduate level must apply for Federal and State aid, meet all the filing deadlines, and be in compliance with all previous federal loan programs. C. No financial paperwork is required for Student at Large status. Eligibility for tuition assistance begins with the first term following the employee's hire date, or following a transfer to full time status. Enrollment in a particular class is contingent upon the availability of class space, without depriving a tuition-paying student from taking a class in accordance with Section 132 of the IRS code. Tuition assistance is only available for courses which the university does not incur direct costs per student enrolled. Items such as fees, private instruction, Life and Vocational Experience Credit evaluations and so on, are not included. It is the responsibility of the employee and family member to note special charges and pay in accordance with university payment guidelines. Applications for Tuition Reimbursement are available in Human Resources or via the online link, above. A. Employee must complete an application prior to each term in which a family member enrolls. Forms are due in Human Resources no later than 5 p.m. on the Friday before the beginning of the semester. Late enrollees may be denied tuition remission for that semester. B. Employees must maintain Full Time Regular status prior to the start and throughout the coursework for family members to receive assistance for Undergraduate or Graduate courses. C. Tuition remission is not available for Doctoral level coursework.

II. III. IV.

V.

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BENEFIT AVAILABLE I. Two levels of benefit are available to Family members, based on dependent status as defined in IRS guidelines: A. Level I Benefit: Tuition costs waived for coursework toward an initial Bachelor's degree. Legal spouse, children under age 25 who are claimed as dependents on the employee's Federal Tax forms. These individuals are eligible for coursework toward a Bachelor's degree at no tuition cost. B. Level II Benefit: Tuition costs discounted, the employee is taxed on the discount portion. Individuals in Level I who wish to take Graduate level coursework. Children who are no longer claimed as dependent on the employee's Federal Tax forms, or who are over age 25, or who are married (regardless of age), step-children, parents, domestic partners, and legally dependent children of domestic partners. These individuals are eligible for coursework toward a Bachelor's degree and Graduate level coursework at the discounted tuition rate. The discounted rate will be added to the employee's wages as a taxable fringe benefit and applicable taxes will be withheld. C. If an employee legally marries or establishes domestic partnership, the benefits for the new family members shall commence the beginning of the term following the status change. Tuition assistance and discounted tuition assistance are available to the extent that other forms of financial aid do not cover the cost of tuition. Recipients who are eligible for Aurora University academic scholarships will receive those scholarships in name only. Tuition benefits will be prorated if the employee terminates or moves to ineligible status during the term in which a family member is receiving benefits. Family members retain their eligibility if the parent/spouse/domestic partner becomes permanently disabled or dies while an Aurora University employee. In such cases, the eligibility shall continue for a time equivalent to the employee's length of service prior to the disability/death, with a maximum extension of six calendar years from that date. Eligibility is also maintained if the employee becomes a retiree after a minimum of seven years of service. Length of subsequent eligibility is based on the number of years the employee was a full time active employee.

II. III. IV. V.

VI.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Tuition Assistance Toward Advanced Degree 1 November 2000 30 May 2008 Beth Reissenweber, Vice President Finance 352

PURPOSE Aurora University recognizes and supports the need for faculty and staff to purse advanced degrees at institutions other than Aurora University in specific instances. This need is most evident for faculty members who do not have terminal degrees in their field, and who must attain such a degree in order to remain employed under the guidelines of the Faculty Handbook of Aurora University. Faculty and staff may request tuition assistance towards advance degrees under the following guidelines. FORMS Tuition Assistance Form Advanced Degree Form PROCEDURE I. Eligibility: Full Time Regular Staff and Faculty members who have been at Aurora University for at least one year of full time service and who do not have an advanced or terminal degree in their field. Employees must maintain full time status and a satisfactory employment record. Employees may apply for the benefit through the Office of the Provost. Information regarding the educational institution, planned course of study, degree sought and tuition cost must be presented prior to initiating the program. A. The Provost will determine if the program will be covered under the tuition program. If the program is covered, the Provost will notify the employee of the maximum amount of tuition cost per semester that will be covered during the planned course of study. The University may provide support for up to 5 continuous years of study. Up to two (2) dissertation semesters will be included in the overall approval. B. Books, fees and other non-tuition costs are the responsibility of the employee. C. At the end of each semester, the employee will present a Bursar's receipt and grades for the term to the Provost's office. If the student successfully completed the course, 50% of the tuition cost for that course will be paid to the student, to the set maximums per semester. D. Upon receipt of transcript showing that a degree was rewarded, 20% of the outstanding balance of tuition, to the maximum per semester, will be awarded to the individual. E. In each of the three years following the receipt of transcript 10% of the tuition benefit will be received. F. Overall, if the employee remains with the University for three full years following the receipt of their degree, they will have received 100% of the allowable tuition costs for the degree program.

II.

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III.

IV.

Taxation of Benefit: IRS Guidelines will be reviewed on a case-by-case basis. The employee will be notified as to the anticipated tax status of benefits to be received. If coursework is deemed a taxable expense, it will be reimbursed via Payroll check. This Program is funded on a year-to-year basis, with the level of funding determined by the university.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Revised Date: Approved By: Policy Number: PURPOSE Aurora University seeks to provide an environment which encourages life-long learning. ELIGIBILITY All full-time, regular faculty and staff members. EFFECTIVE DATE This policy applies to faculty and staff members who complete degrees while employed in an eligible status at Aurora University. POLICY Aurora University shall provide compensation in the form of a lump sum bonus for staff members who continue their personal commitment to life-long learning by completing a degree at a level above that which they currently hold. (For example, an individual with a high school diploma completing an Associate's Degree will receive $200. An individual with a Master's Degree who obtains an Associate's Degree, or a second Master's Degree, will not be compensated). This commitment will be recognized by the following (in hierarchical order): Completion of an Associate's Degree Professional Certification Program Completion of a Bachelor's Degree Completion of a Master's Degree Completion of a Doctorate PROCEDURE Staff members must provide proof of certificate or degree to their supervisor from a regionally accredited or recognized institution and/or organization. The Supervisor will notify Human Resources via a Payroll Change Form. The dollar amount will be added to the staff member's paycheck during the next payroll processing cycle. DISCLAIMER The university retains the right to change or terminate this policy at its discretion without notice. Questions regarding this policy should be directed to Human Resources. $200. $200. $400. $600. $800. Life Long Learning Recognition 1 February 1999 30 May 2008 B. Reissenweber, VP for Finance 354

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY Aurora University maintains membership in two consortiums of institutions of higher education that allow dependents of regular full-time employees the opportunity to select alternative institutions of higher education. PROCEDURE I. The Tuition Exchange: Procedure for application Tuition Exchange Program 1 June 1999 30 May 2008 B. Reissenweber, VP for Finance 355

The Tuition Exchange (TE) is a reciprocal scholarship program for children and other family members of faculty and staff employed at participating institutions. There are two parts to the program: Scholarships at all Tuition Exchange schools and scholarships to The Tuition Exchange Cooperative (TE Co-op) schools Under TE, the exporting institution (AU) is regulated in the number of students that can participate at nonTE Co-op schools in any given year. Once a student is accepted into the program, generally the student will receive tuition remission throughout their 4 years of college at the host (importing) institution. A list of schools currently participating in The Tuition Exchange, is at their website: http://tuitionexchange.org/ A. The Tuition Exchange (non- TE Co-op Schools) · An announcement will be made during Opening Week regarding the availability of a scholarship or scholarships under TE for the following fall. The university may or may not be able to export students in a given year to non- TE Co-op Schools. · · · · To participate in this program, an employee (faculty or staff) must be employed full time and have at least 3 years of full time status as of August 31 of the year of application. The dependent of the employee must be seeking admission as a student at a school covered by The Tuition Exchange. The employee must submit a memo to Human Resources no later than October 1 stating that their dependent wishes to attend a specific Tuition Exchange school, starting the following fall. If more employees apply for Tuition Exchange than slots are available, a lottery will be held no later than October 10, with a name or names pulled by the Vice President for Finance.

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· · · ·

Human Resources will contact the successful employee(s) to obtain pertinent information regarding the student(s), and will coordinate the TE Application process. o The student(s) must gain admission to the school based on merit under the school's admissions policy. It is permissible to send out Application Forms to more than one institution. Employees are encouraged to coordinate the process with the Admission process to the school, and to do this early. Many schools have deadlines for applications, asking the school about such deadlines is advisable. Human Resources will contact the employee when word is received back from an institution regarding the student's acceptance or rejection in the program. If the student is unable to achieve admission at a TE institution, the Vice President for Finance will draw an additional name, and the process will move forward from that point. o

B. The Tuition Exchange Cooperative (TE Co-op) program · To participate in this program, an employee (faculty or staff) must be employed full time as of August 31 of the year of application. · · · · · The dependent of the employee must be seeking admission as a student at a school covered by The Tuition Exchange Cooperative. The employee must submit a memo to Human Resources stating that their dependent wishes to attend a specific Tuition Exchange Cooperative school, starting the following fall. It is permissible to send out Application Forms to more than one institution. Employees are encouraged to coordinate the process with the Admission process to the school, and to do this early. Many schools have deadlines for applications, asking the school about such deadlines is advisable. Human Resources will contact the employee when word is received back from an institution regarding the student's acceptance or rejection in the program.

II.

The Council of Independent Colleges Tuition Exchange Program (CIC-TEP)

The Council of Independent Colleges Tuition Exchange Program (CIC-TEP) is a network of CIC colleges and universities willing to accept, tuition-free, students from families of full-time employees of other CICTEP institutions. Each participating institution in the network agrees to import a limited number of students on the same admission basis as they accept all other students, without regard to the number of students it exports. To learn more about the colleges and universities participating in CIC-TEP visit their website at http://www.cic.edu/tep/ To participate in this program: · · All full time employees (faculty/staff) regardless of seniority are eligible to participate. We are not limited in the number of students we export. Contact Human Resources for a CIC-TEP Tuition Exchange Program Student Application Form, complete relevant information:

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· · · ·

"To" ­ the college/university which you or the dependent wishes to attend, including contact information from the CIC-TEP website o Student information including name, address, SSN Submit the form to Human Resources, pertinent information will be completed and the form will be sent to the institution. It is permissible to send out Application Forms to more than one institution. Employees are encouraged to coordinate the process with the Admission process to the school, and to do this early. Many schools have deadlines for applications, asking the school about such deadlines is advisable. Human Resources will contact the employee when word is received back from an institution regarding the student's acceptance or rejection in the program. o

LIMITATIONS 1 The tuition exchange guidelines at host institutions are not controlled by Aurora University. Admission rules are governed by individual institution's policies and the overall tuition exchange program guidelines set by the Council of Independent Colleges and The Tuition Exchange. The applicant must be admissible and must have been admitted at the host institution in order to qualify for either scholarship. The host institution's commitment to each student is for tuition only. It does not include room, board, or any other separate fees or costs. Students are expected to meet the host institutions standards of academic performance and personal conduct. Each student must comply with host institution's policy requiring financial aid application. A student's eligibility for financial aid may reduce value of tuition remission. Acceptance by host institution typically ensures eligibility for future years however this scholarship must be reviewed annually, and may or may not be available in subsequent years, dependent upon each institution's eligibility guidelines. The employee must keep the Director of Human Resources (Tuition Exchange Liaison) informed regarding a student's continued attendance at a Tuition Exchange institution. Tuition Exchange benefits automatically stop if: a. The employee drops below full-time employment, or b. Either institution (Aurora University or host) fails to renew membership in the tuition exchange program, or individual limits are met.

2

3

4

5

6

7

Questions regarding this policy may be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: PURPOSE Aurora University recognizes that a wide range of issues can have an effect on an employee's health, wellbeing and job performance. Moreover, these issues can affect employees at any level and in any position. If left unaddressed, these issues can escalate to a point where the employee's personal well-being or job performance can be affected adversely. Aurora University provides an Employee Assistance Program (EAP) to assist with such issues by providing confidential and professional assessment, referral and follow-up services. The objective of this program is to assist employees and their family members in a manner consistent with the mission and values of Aurora University. ELIGIBILITY All regular full and part-time employees, employee spouse/domestic partner, and employee dependents are eligible for EAP services. PROCEDURE Aurora University recognizes that many issues can be successfully resolved if identified in the early stages and referral is made to appropriate resources. This applies whether the problem is work performance, physical illness, mental health, marital or family distress, alcohol/drug abuse, stress, financial, legal or other concerns. Accordingly, A. Employees who have a problem or issue are encouraged voluntarily to seek assistance on a confidential basis by directly contacting the EAP. Family, fellow workers, or other concerned individuals can also suggest that an employee contact the EAP. B. All EAP records and discussion will remain confidential between the employee and the EAP staff, unless the employee authorizes disclosure or as otherwise required by law. EAP participant files belong to the EAP, and are not part of the employee's personnel or medical records. C. There is no charge to the employee for the assessment, referral or follow-up services provided by the EAP. If a referral for further assistance is made and accepted, the cost of such assistance is the employee's responsibility. The EAP staff will discuss financial considerations with the employee in advance of the referral. D. Employees are expected to meet with the EAP Coordinator either before or after their normal work hours. Aurora University recognizes that there may be times when immediate assistance is needed, Employee Assistance Program 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 360

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therefore, when appropriate the employee's supervisor may grant time to see the Coordinator. This time may be charged to sick leave, if available. E. If an employee exhibits a job performance problem despite supervisor intervention, the supervisor may use the EAP as a management resource or as a referral resource to help the employee address issues that may impact job performance. F. When an employee is referred to the EAP because of a job performance issue, his/her decision to attend the assessment session and/or follow through with EAP recommendations is voluntary, except in instances where the employee has agreed to EAP participation as a condition of continued employment. G. Examples of job performance situations which constitute a referral to EAP as a condition of employment include: 1. Job performance problems that require intervention according to Federal or State regulations or laws, 2. Situations related to Aurora University's Alcohol/Drug policy, and 3. When the employee signs a written agreement to pursue treatment. The EAP and the disciplinary systems have their appropriate purposes. Although the two systems are separate, there may be times when they operate simultaneously with a particular employee. Unless an agreement about continued employment has been made, an employee's refusal to use the EAP will not result in disciplinary action. At the same time, the EAP is not a substitute for appropriate discipline nor a basis to compromise applicable rules, regulations, working agreements or a safe, healthy or efficient operation. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: Direct Deposit/Electronic Fund Transfer of Payroll Checks EFFECTIVE DATE: 1 November 2000 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 361 PURPOSE Aurora University allows and encourages the use of electronic fund transfer of pay directly into a checking and/or savings account. FORMS Authorization for Direct Deposit ELIGIBILITY All employees may take advantage of this benefit. PROCEDURE An employee must complete an "Authorization for Direct Deposit", attach a voided check to the form, sign the form and send to Human Resources. The first pay after submission of an "Authorization for Direct Deposit" will be a check. The University must first submit a "pre-note" which tests the process to be sure the next check will be deposited correctly. A change in banking institution may cause this benefit to be interrupted for a pay period. After the pre-note cycle, pay will be deposited automatically to the employee's account(s). A pay "advice" will be distributed on payday. If you prefer to receive your pay advice electronically through WebAdvisor, please contact Human Resources. The University is not responsible for service fees assessed by a bank when employees make transactions on their account prior to direct deposit monies being credited to their account. Questions regarding this policy should be directed to Human Resources.

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AUTHORIZATION FOR DIRECT DEPOSIT

I hereby authorize Aurora University to send the NET amount of my paycheck to my: _______checking account ______savings account Deposits shall be made to: Financial Institution_____________________________________________ Located at City ____________________ State _________ Zip _________ My personal account number is ____________________________________ Bank ABA (routing) number is ______________________________________

I hereby authorize Aurora University to send the amount of $_____________ from my paycheck to my: _______checking account ______savings account Deposits shall be made to: Financial Institution_____________________________________________ Located at City ____________________ State _________ Zip _________ My personal account number is ____________________________________ Bank ABA (routing) number is ______________________________________

This authorization will remain in effect until the Aurora University Payroll Department has received written notification from me of its termination, allowing reasonable time for the University to implement the change. The bank ABA (routing) number and the account number I have provided to the University are correct. I understand that incorrect numbers could result in a mistake in the routing of my direct deposit. If an error occurs because of incorrect information on this form, the University will not be held responsible. Please check a box below. If no box is checked, the default is a paper advice. [] [] I prefer to receive a paper pay advice. I prefer to view my pay advice online through WebAdvisor. Current and prior advices are available to print and/or view.

___________________________________ Signature

__________________________ Date

NOTE: AN ENCODED VOIDED CHECK (not a deposit slip) MUST ACCOMPANY EACH AUTHORIZATION. IT IS THE INTENT OF AURORA UNIVERSITY TO HAVE FUNDS AVAILABLE ON THE SCHEDULED PAYDATE. PLEASE CHECK WITH YOUR FINANCIAL INSTITUTION REGARDING POSTING OF THESE FUNDS. THE UNIVERSITY IS NOT RESPONSIBLE FOR SERVICE FEES ASSESSED BY A BANK WHEN EMPLOYEES MAKE TRANSACTIONS ON THEIR ACCOUNT PRIOR TO DIRECT DEPOSIT MONIES BEING CREDITED TO THEIR ACCOUNT.

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HUMAN RESOURCES POLICY TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY This policy provides the procedures and allowance rates for reimbursement of costs related to personal communication devices used by employees. This policy results in each user having both freedom of choice and personal responsibility for his/her cell phone plan. It will also enable the university to comply with Internal Revenue Service rules regarding the taxability of employee personal communication devices. Employees whose responsibilities require that they use a personal communication device will be reimbursed a flat monthly rate. This policy will allow the university to comply with the Internal Revenue Code Section 280F(d)(4) relating to "listed property" and the proper taxability of certain payments/reimbursements. Cell phones and other personal communication devices should not be selected as an alternative to other means of communication when alternatives would provide adequate but less costly service to the university and improve face-to-face communication. PROCEDURE Establishment and Payment of Allowance If a university employee's job includes the frequent need for a cell phone or personal communication device, then the employee is eligible for an allowance to cover cell phone expenses. It may be requested using the Allowance Request form Please note: The monthly allowance will vary from $40 to $90, depending on need. This allowance does not constitute an increase to base pay, and will not be included in the calculation of percentage increases to base pay or in benefit calculations. Cell phones are a taxable employee benefit, and payroll tax will be withheld on cell phone allowances. Employees may claim exemptions for cell phone business use when they file their personal income tax. Employees may also analyze their monthly bills to determine the proportion of business use, and request an exemption of that portion from payroll withholding. Please use the Cell Phone Allowance Withholding Exemption form to report the portion of business use. This will reduce the taxable portion of this benefit. Determination of dollar amount of allowance The dollar amount of allowance should cover the employee's projected business-related expenses. These expenses include the cost of basic equipment and the cost of the employee's monthly cell phone plan. The plan chosen should be the least expensive that provides adequate business-related services. Upgrades to basic equipment (special cosmetic or technical features, etc) or expected cell phone use unrelated to business cannot be considered. Determination of the dollar amount of the allowance is Communication Allowance Program 1 April 2007 30 May 2008 B. Reissenweber, VP for Finance 362

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made at the department level, but must be within the guidelines and dollar limits established under this policy. Use of phone The employee must retain an active cell phone contract as long as a cell phone allowance is in place. Because the cell phone is owned personally by the employee, and the allowance provided is taxable income, the employee may use the phone for both business and personal purposes, as needed. The employee may, at his or her own expense, add extra services or equipment features, as desired. Use of the phone in any manner contrary to local, state, or federal laws will constitute misuse, and will result in immediate termination of the cell phone allowance. Documentation and review requirements. The Allowance Request form and a copy of the employee's most recent cell phone/personal communication device invoice must be submitted to the Business Office to initiate the allowance. Questions regarding this policy should be directed to Human Resources.

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Cell Phone Allowance Withholding Exemption Request Employee Name: _____________________________________ AU ID: ______________ Job Title: ___________________________________________ Email: ________________ Department: _________________________________________ Attach two most recent cell phone invoices. Analyze each incoming and outgoing call, and document the amount and time of the call and the business purpose for the call (unless personal). Calculate the percentage of the calls (include incoming and outgoing) that have a documented business purpose. Employee Certification and Signature: I have reviewed my most recent two cell phone invoices, and determined that _______% of my calls were made for business purposes. Signature: __________________________________________ Date: __________________________ Budget Officer Review and Signature: I have reviewed the documentation and agree that it complies with the Cell Phone Allowance Withholding Exemption requirements. Based on the information provided, the calculated percentage of business calls is correct, and reasonable. Signature: ___________________________________________ Date: __________________________ Submit form, documentation, and a copy of the two most recent invoices to your Budget Manager.

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Aurora University FY 2008 Monthly Communication Plan Allowance Enrollment ________________________________________________ Name (last, first, MI) ________________________________________________ Department ________________________________________________ Work address Telephone/PDA Services Only _____ $40 ­ Monthly communication service allowance based on Plan Access Limit of approximately 250 anytime minutes, nationwide coverage, caller id, call waiting, and voice mail. _____ $55 - Monthly communication service allowance based on Plan Access Limit of approximately 450 anytime minutes, nationwide coverage, caller id, call waiting, and voice mail. _____ $70 - Monthly communication service allowance based on Plan Access Limit of approximately 900 anytime minutes, nationwide coverage, caller id, call waiting, and voice mail. Telephone/PDA Services with Wireless E-Mail Services _____ $90 - Monthly communication service allowance based on Plan Access Limit of approximately 900 anytime minutes, nationwide coverage, caller id, call waiting, wireless e-mail and voice mail. I have read HR Policy 362: Communication Allowance Program, and understand the associated Employee Responsibilities. In addition, I understand that these allowances are considered taxable compensation subject to required tax withholdings and are NOT part of my base salary. _______________________________________________ Employee Signature ________________________ Date _______________________ AU ID number _______________________ Work telephone _______________________ E-mail address

Required Account Number Information (Account number to be completed by Budget Manager) ______________________________________________

______________________________________________ Budget Manager Signature (required)

_________________________ Date

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Revised Date: Approved By: Policy Number: Relocation and Moving Expenses 1 January 2001 30 May 2008 B. Reissenweber, VP for Finance 370

POLICY Aurora University provides reimbursement of relocation and moving expenses in certain situations for newly hired employees. PURPOSE To provide guidelines regarding reimbursement of relocation services and expenditures incurred by newly hired employees of Aurora University. RELATED POLICIES/FORMS TO BE USED University Purchase Order Expense Reimbursement Form 371 Expense and Travel Reimbursement ELIGIBILITY I. II. III. Newly hired full time faculty. Newly hired full time administrators at the level of Director or above. Newly hired full time athletic coaches.

GENERAL GUIDELINES I. This policy applies primarily to moves of greater than the minimum distance established by the IRS (50 miles). It is the University policy to only offer reimbursement to moves that meet or exceed the minimum distance set by the IRS. Under IRS regulations, reimbursement for moves of less than 50 miles is taxable as income to the employee. All moves must be completed within 12 months of beginning employment. In the case of employees hired for primary assignments at locations other than the Aurora Campus, distances are measured to the campus at which the employee reports.

II. III.

PROCEDURE I. Travel arrangements (transportation, meals and lodging) for interviewing are not covered by this policy.

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II.

The University has contracted with a local moving carrier for the shipment of household goods. Contact Human Resources for the name and contact information of the carrier. A. If the new employee chooses to use that carrier, it will select the agent in the employee's current region who is best suited to provide moving services based on location. Once an agent has been selected, a representative will contact the new employee to arrange for a premove survey. All moving information will be sent back to the local moving carrier, who will price and submit an estimate to the new employee and Aurora University for approval. The carrier will manage the move process from start to finish. After completion of the move, the bill will be sent to the university, the university will then bill the new employee any non-covered moving expenses. B. If the newly hired employee chooses not to utilize the carrier contracted by the university, the employee may be required to pay the driver at the time of the move, and submit the finalized bill to Human Resources for reimbursement of the covered portions.

III.

Maximum reimbursement: A. Moves to locations within 25 miles of the campus where the individual will be employed will be reimbursed to a maximum of $4,000. B. Moves to locations further than 25 miles from the applicable campus will be reimbursed to a maximum of $2,000. C. Distances will be measured by utilizing an online mapping service such as MapQuest, or Google Maps. In the event mapping services disagree on mileage, the source showing the lowest mileage estimate will be utilized. D. The new employee may choose to utilize a portion of the reimbursement to cover house hunting expenses. Moving household goods: A. The newly hired employee should contact the consultant at the carrier as soon as possible to establish a preliminary move schedule as household goods shipments can take up to four weeks to schedule, register and move. Moves can only occur on business days. Goods will be picked up from one location and delivered to one location, unless otherwise authorized by the Director of Human Resources. B. The following expenses are covered up to the overall maximum specified: i. Shipping of all goods normally associated with the household. ii. Unpacking of bed cartons only. iii. Reasonable and normal crating costs may be covered for ordinary household goods (such as mattresses) as recommended by the movers. iv. Disconnection and reconnection of usual household appliances (see limitations below). C. The following are not covered or insured: i. Packing and unpacking of ordinary household goods. ii. Shipment of hazardous materials such as explosives, chemicals, flammable materials, firearms, and garden chemicals. iii. Shipment of firewood, lumber or other building materials. iv. Shipment of pets, livestock or farm equipment. v. Valuables such as furs, jewelry, currency, artwork, dissertations or other items of extraordinary value. Collections (e.g. stamps, baseball cards, etc.) are not covered. vi. Shipment of plants, food, wine collections or other perishables. vii. Removal, disassembly or reassembly, installation or shipment of carpeting, drapery rods, swing sets, plumbing, gas or electric lines or other permanent fixtures.

IV.

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viii. Disconnection and reconnection of household appliances if a municipal or other charge is incurred or permit required. ix. Shipment of vehicles, including cars, snowmobiles, boats, recreational vehicles, tractors, storage sheds, satellite dishes and unusually heavy or cumbersome hobby materials. x. Shipment of trailers such as utility, boat, horse, camping, etc. xi. Crating of mounted animal heads or other taxidermy. xii. Overtime charges (weekend, holiday and evening hours) waiting time, and extra pickups or deliveries. xiii. Maid service, rubbish removal, and tips or food for the moving crew. xiv. Storage fees or shuttle fees. This list is not all-inclusive, discuss any questions with your moving consultant. To avoid unnecessary delays and misunderstandings, it is important to be present at packing, loading and unloading. Check the inventory sheets carefully. Give the driver the contact information (cell phone, itinerary, etc) as well as an alternative number, especially at the destination location. At time of delivery, note any damage on the inventory sheets. Please read the "Insurance/Claims" subsection below. V. The Carrier's Transportation Agreement includes Full Coverage Valuation in the amount up to $75,000, based on the actual weight of the shipment times $5.00 per pound at no cost. Example: 10,000 lb. Shipment at $5.00/pound covers the shipment for $50,000 at no charge. If an item is damaged or lost during the relocation, the carrier reserves the right to fix, replace, or pay the actual value of the item at today's market price. This is not insurance. It does not cover weather related issues such as, tornadoes, hurricanes, and so on, acts of war, or earthquakes. If you elect to move to a temporary residence, the University does not provide a second move to your permanent home.

VI.

Any agreement regarding variation or exception to this policy must be made in writing at the time of employment, and signed by the Director of Human Resources and Vice President for Finance. Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCE POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: PURPOSE Aurora University provides reimbursement of travel and entertainment expenses to faculty and staff for reasonable and necessary expenses incurred in connection with approved travel and entertainment on behalf of the university. This policy provides broad guidelines for official business travel and entertainment reimbursement. POLICY Employees are expected to spend university funds prudently when traveling on university business or entertaining for university purposes. Reimbursement of expenses is allowed within the parameters of the policy, and when the individual being reimbursed will not be reimbursed from any other source. Travel on behalf of the university meets the IRS definition of an "accountable plan." Under an accountable plan, travel advancements and reimbursements must meet three requirements: 1. 2. Reimbursement of the expenses incurred and paid while performing services as employees must have a business connection. Travelers must provide a statement substantiating amounts, dates, uses and business purpose of expenses within a reasonable amount of time (not to exceed 30 days) after the expenses are incurred. Original itemized receipts must be attached to the statement. Employees must return any advance amounts in excess of substantiated expenses within a reasonable period of time (not to exceed 30 days) from the date of travel or purpose for which the advance was given. Travel and Entertainment Expense 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 371

3.

Travel advances and reimbursements meeting these requirements do not have to be reported as income to the traveler. FORMS/RELATED POLICIES Travel Reimbursement Form Faculty Handbook Check Request Form PROCEDUE I. General Travel and Expense Guidelines A. Out of town travel must be approved in advance by the employee's supervisor and Budget Manager. International travel requires approval of the Vice President/Provost. 1. Reimbursable out of town travel expenses include actual and reasonable costs for meals and beverages, lodging, transportation, reasonable tips, telephone and fax services, taxis or rental cars, parking, and costs of maintaining and operating an

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2. 3. 4. 5.

6.

automobile for business purposes up to the maximum allowed under IRS guidelines. Personal telephone calls will be reimbursed only for employees traveling overnight who need to contact their family members. Costs incurred for hotel room mini-bars, laundry and dry cleaning of personal clothing, in room movies and other forms of entertainment will not be reimbursed. The most cost-effective mode of travel should be used based on itinerary. All costs are to be shown on the employee's expense report in the categories listed and submitted by the end of the month following the expenditure. Itemized receipts must be attached. For "ticketless" travel, a passenger receipt coupon must be requested of the travel agent or other issuer for documentation of expense.

B.

Local travel expenses, including between university campuses 1. Use of a personal automobile for university business by an employee possessing a current driver's license and carrying state-mandated liability insurance on the vehicle will be reimbursed based on the approved university mileage reimbursement rate in effect at the time of travel. 2. Mileage qualifying for reimbursement is defined either as a) Miles driven from the primary employment location (Aurora campus or George Williams College campus or off-site location where the university conducts college instruction) to another location or as miles driven from home to a location other than that of primary employment and the return trip. b) The standard rate of expense reimbursement between the Aurora campus and the GWC campus will be based on 75 miles one way plus applicable tolls, if any. c) Miles driven from home will be based on mileage between the campus and the business location or home and the business location, whichever is less. 3. Personal transportation, i.e., commuting costs incurred in connection with regular job duties or for attendance at university events that occur outside of normal business hours, including evenings and weekends, will not be reimbursed.

II.

Entertainment and Business Meeting Expenses A. General entertainment and business meeting guidelines 1. In general, reasonable expenses incurred when participating in meetings or events where university business is conducted, whether internal or external constituencies, are reimbursable. a) Exceptions include personal events such as departmental parties/luncheons, flowers, gifts, holiday parties, "going away" presents, and so on. Such events are primarily personal matters and should be handled accordingly by those involved. Important: Gift cards for university employees are deemed taxable compensation and are not reimbursable expenses. Please refer to Policy HR-504 "Payment of Wages." b) Entertainment expenses should be reasonable in relation to the nature and function, and the business benefit that the employee expects to derive from the expenditure. c) Names of persons along with their titles and affiliations, location of meeting or event, and the purpose of the occasion must be reported. Typical

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examples include entertaining a prospective donor or recruiting a faculty candidate. 2. Meals a) Reimbursement of reasonable food and beverage costs incurred on behalf of employees during on and off campus meetings is permitted, providing legitimate business purpose and need are documented. Excessive meal costs will not be reimbursed. b) Appropriate tips will be reimbursed. Generally, appropriate tips are 15% to 20% of the food bill. c) Itemized bills (listing of food and beverage items ordered with costs and tip broken out) must accompany reimbursement requests. d) Alcoholic beverages are typically not reimbursed. Any exceptions require Vice President/Provost approval. e) Appetizers are typically not reimbursed unless an individual orders an appetizer as their meal item. Any exceptions require Vice President/Provost approval.

III.

Cash Advances A. When possible, the university recommends the use of university Purchase Orders, the corporate credit card or other major credit cards for travel related services. Cash advances may be requested for out of pocked expenses. Employees should use good judgment in estimating and requesting appropriate amounts. B. The minimum projected expense amount to qualify for an advance is $100. Cash advances should generally not exceed $400 per week of travel. C. A completed Check Request form must be submitted at least 14 days prior to the scheduled travel. D. Upon return, an itemization of the funds used, including supporting receipts for items over $10, must be submitted to the Business Office. Any remaining funds, are to be returned to Student Accounts, and a copy of the cash receipt attached to your Travel Expense Report. Expense Reports, Records and Reimbursement A. Travel expense reports should be submitted to the Business Office within 14 calendar days after the traveler has returned. B. Requests for reimbursement submitted more than 60 days after the return may be denied, or, if approved, will be paid through Payroll and taxed as earnings. C. Dated original receipts or invoices must be submitted along with the properly completed Travel Expense Report.

IV.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY The university has created a purposeful process to address staff concerns in an effort to support staff members in their roles within the university. Since there can be a wide variety of situations that may need attention there should also be a number of avenues available to utilize in resolving these matters. Aurora University seeks to promote efficient and prompt investigation and resolution of grievances in those instances where informal procedures have proven ineffective. This shall be the sole university procedure for the submission of staff grievances for formal resolution. A complaint procedure is available for issues that do not fall under the Grievance Procedure. FORMS/RELATED POLICIES Forms and Policies: Human Resource Policies HR-101, Anti-Harassment and Anti-Sexual Harassment Grievance Form DEFINITIONS AND GENERAL GUIDELINES A. The term "grievance" shall mean an allegation that the grievant has been or is being adversely affected by an improper or arbitrary and capricious application of one or more specific university rules, regulations, policies related to the terms and conditions of the grievant's employment with the university. For purposes of this Policy, the term "grievance" shall not include allegations of harassment, sexual harassment or discrimination on the basis of protected status, which will be investigated utilizing the guidelines in policy HR-101, Anti-Harassment and Anti-Sexual Harassment. Any questions about whether a complaint is properly addressed through this Policy or HR-101 should be brought to Human Resources for consultation. B. Complaints or questions relating to issues which are not grievable and which do not fall under HR101, such as those arising from performance appraisals, scheduling, the establishment or revision of university rules, regulations or policies or their substantive content, may be handled through informal communication lines or the Complaint Procedure. C. Questions regarding whether a specific issue falls under the grievance or complaint section of this policy should be addressed to Human Resources. D. In addition to normal day-to-day supervisory contacts and channels, the grievant may, at any step of the grievance process, discuss problems with a representative of the Staff Executive Council (see http://www.aurora.edu/au/gov/staff/ for list) or Human Resources for information regarding the Staff Complaints and Grievances 1 September 2003 30 May 2008 B. Reissenweber, VP for Finance 400

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E.

F.

G.

H.

I.

interpretation of rules, regulations or policies. The Staff Executive Committee member list may be found in Human Resources or on the Staff Executive Committee Web Page. In recognition of the fact that the university is committed to this process, the grievant is required to exhaust all steps of the grievance procedure prior to commencing any legal action or other proceeding. The Grievance Procedure in an internal process. Third party representation is not permitted. If a situation exists requiring a translator, Human Resources will obtain an appropriate individual from either within the University or through an outside agency. Time Limitations: 1. If the grievant fails to act within the time limits stated in each Step, the grievance shall be deemed to be settled or withdrawn. 2. In the case where the supervisor or Vice President/Provost fails to act within the time limits provided by the policy, the grievant may proceed to the next level within the process. 3. If unusual circumstances prevent timely action (on the part of either employee or supervisor/VP/Provost), the reason for the delay will be reviewed and time limits may be extended by Human Resources on an exception basis. Confidentiality is maintained in the grievance and complaints processes as much as possible but cannot be guaranteed in certain situations. The university and all parties to a grievance or complaint should limit discussion of a grievance or complaint only to those with a strict "need to know." This policy covers regular staff, that is, full and part time employees who are not covered by the Faculty Handbook and who are not part of the Student Work Corps.

FORMAL COMPLAINT PROCEDURE Employees may utilize this procedure without being subject to retaliation or harassment by any supervisor, department head, or other persons with administrative control and responsibility, related to the complaining employee's employment with the university. STEP I ­ Complaint Procedure The complaint must be made in writing by the employee to his/her immediate supervisor within eight working days of the time when said employee first had knowledge or would reasonably have been expected to have knowledge of the event(s) constituting or giving rise to the complaint. A. The employee must indicate that this is a formal complaint under the complaint procedure. B. The employee and supervisor shall discuss the events involved with a mutual effort being made to clarify and if possible to resolve the complaint. C. The supervisor shall give an answer to the employee within five working days from the receipt of the complaint, in written form. A copy should be sent to Human Resources. D. If the complaint is being made against the supervisor, the employee may, but need not, proceed directly to Step II ­ Complaint Procedure. STEP II ­ Complaint Procedure If the employee is not satisfied with the immediate supervisor's answer as submitted in Step I ­ Complaint Procedure, the employee may present the complaint, in written form, to the VP of the employee's area within five working days after the receipt of the answer from the supervisor. A. The VP or designee will, within ten working days after the receipt of the complaint, meet separately with the employee, the supervisor, human resources staff member and any other individuals who may be involved in the events giving rise to the complaint.

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B. The VP shall discuss the facts and issues involved in the complaint and shall prepare and submit a response to the employee, in writing, within five working days after completion of the review of documents, meetings or discussions. The VP's response shall be final and binding. A copy of the final and binding decision will be placed in the employee's Personnel folder, and in the Supervisor's Personnel Folder in Human Resources. GRIEVANCE PROCEDURE Employees may utilize this procedure without being subject to retaliation or harassment by any supervisor, department head, or other persons with administrative control and responsibility, related to the grieving employee's employment with the university. STEP I. The grievance must be made in writing by the employee to his/her immediate supervisor within eight working days of the time when said employee first had knowledge or would reasonably have been expected to have knowledge of the event(s) constituting or giving rise to the grievance. The written grievance must include what issue is being grieved and the requested resolution. A copy of the grievance should be sent to Human Resources. The employee and supervisor shall discuss the events involved with a mutual effort being made to clarify and if possible to resolve the grievance. A. The supervisor shall give an answer to the employee within three working days from the receipt of the grievance. Grievances shall be answered in written form. A copy should be sent to Human Resources. B. If the grievance is being made against the supervisor, the grievant may, but need not, proceed directly to Step II. STEP II. If the employee is not satisfied with the immediate supervisor's answer as submitted in Step I, the employee may present the grievance, in written form, to the VP of the employee's area within five working days after the receipt of the answer from step I. A. The VP or designee shall, within eight working days after the receipt of the grievance, meet separately with the grievant, the supervisor, and any other individuals who may be involved in the events giving rise to the grievance. The employee may have a member of the Staff Executive Committee present if he/she wishes. The VP shall discuss the facts and issues involved in the grievance and shall prepare and submit the decision or answer to the grieving employee, in writing, within five working days after completion of the meeting or discussion. If the grievance is being made against the Vice President, the grievant may, but need not, proceed directly to Step III. In cases of termination of employment, the process will immediately begin at Step III.

B.

C.

STEP III. If the employee does not accept the decision offered in Step II, the employee may present the written grievance documentation and a request a review of the documentation by the President. Documentation must be submitted within five working days after the receipt of the answer from Step II.

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In the case of a termination of employment, when the grievant may proceed immediately to Step III, documentation would include the disciplinary paperwork for the termination and a letter explaining why the termination is being grieved. The termination will remain in effect unless reversed by the President. A. The President, at her discretion, may choose to meet with the grievant or other parties involved in the grievance, or to request additional information regarding the situation leading to the grievance. B. The President will render a final and binding decision within twenty (20) work days. A letter regarding the decision shall be mailed to the grievant, copied to the supervisor and Human Resources. C. A copy of the final and binding decision will be placed in the Grievant's Personnel folder, and in the Supervisor's Personnel Folder in Human Resources. A separate confidential file will be maintained, with all background documentation for each formal complaint and grievance filed, in Human Resources. The university President and Human Resources will have access to these files. Others may have access on a "need to know" basis only. Questions regarding this policy should be directed to Human Resources.

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Section 500 to 599 Compensation and Pay Policies

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Work Scheduling and Attendance 30 May 2008 B. Reissenweber, VP for Finance 501

SUPERCEDES HR-501 HR 502 HR-601

Hours of Work/Work Week Flex Time Work Schedule Attendance and Punctuality

POLICY Aurora University has established a standard work day and work week in order to consistently administer payment of wages and salaries, including overtime payments to non-exempt employees for overtime work in conformance with applicable Federal and State laws. The university supports the principles of flexible time scheduling for employees when it provides a more efficient utilization of the abilities of staff members, better service to the community, and improved working conditions. The university expects all employees to report to work punctually for all scheduled shifts in order to meet the needs of the students, and university community. FORMS/RELATED POLICIES HR-330 Vacation Benefit HR-331 Sick Leave Benefit Leave of Absence policies (HR 334, 335, 336, 337, 339, 340) WebAdvisor WebTime Entry Vacation and Sick Leave Report I. DEFINITIONS A. Work Week: The regular work week for non-faculty employees covers a seven day period beginning at midnight on Sunday. An employee may work no more than 6 days in a calendar week, as outlined in the Illinois "One Day Rest in Seven Act" (820 ILCS 140/) which requires employers to provide employees with at least one full day of rest (a 24 consecutive hour period off) during every calendar week. B. Hours of Work: The normal work day for non-faculty employees consists of eight consecutive hours of work with an unpaid meal period no later than 5 hours after the start of the work day. The schedule is determined by the department or office to which each employee is assigned. 1. Daily and weekly schedules may be changed from time to time at the discretion of the university and s will be announced in advance.

C.

Overtime: Non-exempt employees who work over 40 hours in a workweek will be paid overtime at one and one half (1.5) times their regular hourly rate 1. For the purposes of overtime compensation, only hours actually worked will be counted toward the 40 hours of regular paid time. Paid time off for vacation, sick

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2.

3.

leave, holidays, or any eligible paid leave of absence will not be considered "hours worked." Employees who work overtime without supervisory approval must be paid for the time worked. The supervisor may discipline employees for repeated overtime work without authorization. Supervisors should attempt to provide employees with reasonable notice when the need for overtime arises. Advance notice may not always be possible however, due to emergencies or unexpected needs.

D.

Student Worker: During the academic year, students may not work more than 20 hours in a work week. During breaks students may be scheduled to work full-time. 1. Supervisors are responsible to ensure student worker's total weekly hours during the academic year do not exceed 20 hours, and during break do not exceed 40 hours. 2. Student workers may work in more than one department. It is the supervisor's responsibility to coordinate hours between departments so that time does not exceed maximum guidelines. 3. If a student working in two or more departments should exceed 40 hours in a work week during breaks, the department which increased the students hours, will be charged the overtime pay costs. Travel Time: Travel time is considered work time if it occurs within the individual's normal working time at the direction of the employer, even if it occurs on what would be usually a day off for the employee. Traveling between home and work is not considered work time. Training Time: Employee attendance at lecturers, meetings, and training programs will be considered hours of work if such attendance is at the direction of management. Flextime work schedule: An alternative work schedule for staff members who would otherwise work the traditional eight-hour, five-day work week, usually commencing at 8:00 a.m. and ending at 5:00 p.m. on the Aurora campus or 8:00 a.m. to 4:30 p.m. on the George Williams College campus. Absence: May be scheduled or unscheduled. Any absence from work during scheduled working hours (including scheduled overtime). 1. Scheduled Absence: When the supervisor is notified at least 24 hours in advance of a scheduled time off, and the supervisor approves the time off, the time is considered scheduled sick time. The supervisor may deny the time off if departmental needs do not permit an absence on that day. 2. Unscheduled Absence: Last minute absences place a burden on the department and the university. Abuse of time off may lead to disciplinary action up to and including termination. Tardiness: Arriving at work late or leaving early, as well as exceeding scheduled lunch and rest breaks, are considered "tardiness."

E.

F.

G.

H.

I.

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II.

Flexible Work Schedule Guidelines A. The main priority for each department is to accomplish its mission. Utilization of flextime should neither decrease a department's productivity nor reduce the services provided to the students and university community. B. Flextime must not increase staffing costs including overtime compensation. C. Flextime is a voluntary option for staff members. It should be considered by the department only when it can be managed successfully in helping to meet the needs of the staff member, the department, and the university. D. A staff member who wishes to consider a flextime work schedule must communicate this request to the supervisor of the department in writing. Supervisory approval must be in writing. E. All staff on flextime arrangements must meet the work schedule requirements (e.g. 40 hours per week for a full time employee). F. Flextime schedules shall be established for a minimum of one calendar week. However, any approved flextime schedule is considered a trial schedule that will be reviewed regularly and may be canceled by the department supervisor if needs change. G. The department supervisor is responsible for proper flextime scheduling and for ensuring that adequate supervision is provided for all staff members during work hours. Attendance Guidelines A. Employees are required to report for work punctually as scheduled and work all scheduled hours and any required overtime. Employee absenteeism and tardiness increases the work load of fellow employees, interferes with the flow of business, and quality of service to customers. B. Supervisor responsibilities regarding employee attendance: 1. Supervisors must take active steps to encourage good attendance and to discourage absenteeism and tardiness. 2. Absences must be reported on WebAdvisor or Vacation and Sick Leave Reports. 3. Supervisors must evaluate employee attendance regularly and should counsel or discipline employees if problems are noted. C. Employee responsibilities regarding attendance: 1. When unable to report to work, an employee must notify supervisors as far in advance as possible, but no later than one hour after scheduled reporting time. Such notification should include a reason for the absence. 2. Departments may shorten or lengthen the cut off time for employee notification based on needs. If the supervisor is unavailable, the employee should contact the next level supervisor. 3. Employees should schedule medical and other personal appointments outside working hours if possible. 4. Absences must be reported on WebAdvisor or Vacation and Sick Leave Reports. D. Compensation during absences: 1. Employee compensation during absences will be determined in accordance with the appropriate policy. 2. Non-exempt employees will not be compensated for tardiness of one-quarter of an hour or more. 3. Failure to notify the university properly of any absence may result in loss of pay and/or discipline up to and including termination. E. Excessive absences and tardiness 1. Unscheduled or excessive absences or tardiness may result in disciplinary action, up to and including termination.

III.

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F.

If an employee is absent due to illness for more than three consecutive workdays, a physician's statement may be required before the employee is permitted to return to work. In cases of repeated absences, an employee may be required to bring in physician's statements for all absences. Refer to HR 331, Sick Leave with Pay for guidelines. Voluntary resignation without notice: Employees who are absent for three consecutive days without giving proper notice will be considered as having resigned voluntarily. The university will note the resignation in personnel records and will advise the former employee of the action by mail (with certificate of mailing).

2.

Questions regarding this policy may be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Revised Date: Approved By: Policy Number: Payment of Wages 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 504

POLICY Aurora University pays employees by check or direct deposit on a regular basis in compliance with applicable State and Federal regulations. RELATED FORMS/POLICIES 361 Direct Deposit/Electronic Fund Transfer of Payroll Checks Payroll Change Form PROCEDURE I. Department heads must submit appropriate paperwork including a Payroll Change Form to Human Resources and Payroll to establish payment for a new employee or to change an existing employee's pay. Also submitted on a Payroll Change Form would be one-time payments, stipends, adjustments and other compensation requests. New employees must complete required documents before payment can be processed. The initial paydate is dependent upon receipt of appropriate documentation by Human Resources/Payroll. Pay Dates: A. Non-Exempt employees (including students) are paid biweekly. B. Regular exempt employees (including faculty) are normally paid semi-monthly on the 15th and the last working day of the month. C. Regular full-time and Pro Rata faculty are normally paid over a 12 month cycle. D. Part-time adjunct faculty are paid based on the announced pay schedules. E. If a scheduled exempt employee payday falls on a university-observed holiday or a Saturday or Sunday, employees normally will be paid on the day preceding the holiday or weekend. Mandatory deductions which include payroll taxes and court ordered payments (wage deductions, support payments, etc.) will be taken automatically from an employee's earnings. Elective deductions, i.e., benefit contributions, will be taken only if the employee authorizes the deductions. Regular employees are eligible to participate in Aurora University's direct deposit payroll program. See Human Resources Policy Number 361: Direct Deposit/Electronic Fund Transfer of Payroll Checks.

II.

III.

IV.

V.

VI.

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VII.

If a paycheck is lost or stolen, the employee should notify Payroll immediately. Payroll will attempt to put a stop payment notice on the check. If the stop payment is successful, the employee will be issued another check. The university is unable to take responsibility for lost or stolen checks. If the check was cashed, the employee will be responsible for the loss. Distribution of paychecks: A. Employees at the Aurora campus may pick up their paychecks after 8:00 a.m. on the scheduled paydate in the Student Accounts Office. Checks for the George Williams College campus are available in the Business Office. Checks for part-time faculty and regular employees at off campus sites are mailed the day before payday. B. Direct deposit advices are available on WebAdvisor by 8:00 a.m. on payday.

VIII.

Questions regarding this policy should be directed to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: POLICY In the event of serious weather, the university will monitor conditions in order to determine whether the institution will be open or closed. It is the policy of Aurora University to strive to provide timely information regarding weather related closing of the university to all members of the community. CRITERION FOR CLOSING The university will close the Aurora or George Williams College campus when there is a significant safety issue for those who must travel to campus. When a university campus closes, classes are cancelled and students are not penalized under attendance policies. Employees will not report to work, except for PREVIOUSLY DESIGNATED emergency personnel (for example, selected personnel in physical properties, security, and food service). If you are a "designated emergency staff member," your supervisor will provide you with any information you need. Non-emergency personnel are expected to stay home. PROCEDURE I. Closing a campus due to inclement weather will be determined by "The Weather Crew." At the Aurora campus this includes the Vice President for Administration, the Provost, and the Assistant Provost. The Vice President and Chief Operating Officer and Director of Conference Services are The Weather Crew for the George Williams College campus. There are specific times by which decisions will be made regarding a weather closing: A. For "overnight" weather, the group will confer and make a decision on morning opening and broadcast the decision NO LATER THAN 6:00 A.M. B. For weather that develops during the day, the group will confer, make a decision and communicate it NO LATER THAN 2:00 P.M. to assure that evening students have the opportunity to access the message in time to stay off the roads. C. Decisions may be made earlier if developing weather conditions warrant. D. Campus specific information about weather closings will be distributed in several ways: AURORA CAMPUS 1. 2. 3. Check the AU website (www.aurora.edu) for an emergency information box on the homepage. Call the University main switchboard number (630-892-6431) for a voicemail notification. Text messages will be sent to those who have signed up for university emergency text mail services. Employees and students may sign up to receive university emergency text message via WebAdvisor under the heading "AU Address Change." Inclement Weather 15 December 2000 30 May 2008 B. Reissenweber, VP for Finance 505

II.

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4.

5.

Call the Emergency Closing Center at 847-238-1234 or visit its website at www.emergencyclosings.com. Emergency closings will be provided to local television and radio stations through the Emergency Closing Center. For pre-recorded Illinois road condition information, call 1-800-452-IDOT (4368) in Illinois. In addition, the State of Illinois has traffic information available at www.illinois.gov/safety/traffic.cfm.

GEORGE WILLIAMS COLLEGE CAMPUS: 1. 2. Call the Inclement Weather phone number, 262-245-8600. Text messages will be sent to those who have signed up for university emergency text mail services. Employees and students may sign up to receive university emergency text message via WebAdvisor under the heading "AU Address Change." For pre-recorded Wisconsin road condition information, call 1-800-ROADWIS (762-3947). Or visit http://www.dot.wisconsin.gov/travel/road/winter-roads.htm

3.

Note that in area wide weather emergencies, radio and television stations often do not report all closings or delays. Individuals are encouraged to check one of the other sources of information when multiple closings in the area are being reported. Phone trees may also be activated from supervisors to employees, and to students in selected cases. III. IV. Employees are expected to use their discretion regarding safe road conditions during inclement weather conditions if the University does not declare an emergency closing or delayed opening. Non-exempt employees who are unable to report because of the weather conditions must use accrued vacation or personal time (if available) when the University does not close or delay opening. Non-exempt employees who are late or absent for less than one day because of the weather conditions may be given a chance to make up their missed time if work schedules and conditions permit. Make-up time must be in the same workweek and cannot result in the employee working more than 40 hours in that workweek.

Questions regarding this policy should be directed to Human Resources.

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Section 600 to 699 Standards of Conduct

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: PURPOSE Aurora University maintains a "business casual" dress policy, and has established guidelines for employees regarding appropriate dress, grooming and personal hygiene. Employees are expected to maintain an appearance that is professional and appropriate to the work situation. POLICY The personal appearance of all university staff and student workers is to be governed by the following: · Clean, pressed, properly fitting business casual attire is appropriate. · Hair should be clean, combed and neatly trimmed or arranged. · Sideburns, moustaches, and beards should be neatly trimmed. · Good personal hygiene must be maintained. · Use perfume or cologne sparingly or not at all. Many individuals are sensitive to various scents. The following are some examples of inappropriate dress: · Faded, tattered or torn jeans. Blue jeans and denim are not appropriate office attire. · T-Shirts displaying advertising or writing. · Faded overalls, cotton/fleece pants and jogging suits, `pajama' pants, shorts, or tank tops. · Clothing with spaghetti straps, halter or tank-tops; clothing revealing bare backs, stomachs, midriffs, or excessive cleavage; or any revealing or provocative clothing. · Lingerie and underwear should not be visible nor worn as outerwear. · Beach shoes are inappropriate. Certain departments may have more stringent dress codes. Please check with the supervisor. PROCEDURE The supervisor is responsible for evaluating the dress and appearance of employees under his or her supervision. If an employee is not dressed appropriately, the following steps should be taken by the supervisor: A. On the first occasion, a documented verbal counseling should be given to the employee, and the university's dress and appearance standards should be reviewed. If the supervisor deems necessary, the employee may be sent home to change into appropriate clothing. (Time spent in transit and changing into appropriate clothing is not working time) B. On the second occasion, the employee should be sent home to change clothes immediately as well as given a written warning. C. Further violations may result in termination. Questions regarding this policy should be directed to Human Resources. Business Casual 1 November 2000 30 May 2008 B. Reissenweber, VP for Finance 602

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Smoke-Free Campus 1 January 1998 30 May 2008 B. Reissenweber, VP for Finance 605-AUR

POLICY Aurora University has adopted a smoke-free campus policy in order to minimize health risks, improve the quality of air and enhance the campus environment. This policy applies to the Aurora University campus in Illinois. In order to protect the health, safety and comfort of Aurora University students, faculty, staff and visitors, effective 15 August 2007 the smoking of tobacco products is prohibited at all times while on Aurora campus property.

· · ·

·

Tobacco product is defined as follows: o Cigarettes, cigars, and pipes Use of tobacco product is defined as follows: o The inhaling, exhaling, burning, or carrying of any lighted smoking material University campus property in Aurora is defined as follows: o All buildings owned, rented, or leased. o All outside property or grounds owned or wholly leased including sidewalks, parking lots, outdoor seating areas, stadium seating and all landscaped and recreational areas. o All university vehicles and moving equipment at any Aurora University location. Smoking materials must be extinguished and disposed of prior to entering upon Aurora University property, or exiting your vehicle. Improper disposal includes but is not limited to: o Littering (i.e. discarded cigarette butts and/or throwing cigarette butts out of windows). o Anything that creates fire hazard.

Advertisement of tobacco products or their use shall be prohibited in all Aurora University publications and on all university owned, occupied or leased properties. Any sale or free sampling of tobacco products on campus shall be prohibited. RESPONSIBILITES This policy relies on the consideration and cooperation of smokers and nonsmokers. All members of the university community (students, faculty, staff), including visitors and contract workers, are asked to observe this policy. ENFORCEMENT Enforcement of this policy will depend upon the cooperation of all faculty, staff, and students not only to comply with this policy but also to encourage others to comply with this policy, in order to promote a healthy environment in which to work, study and live.

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Violations of this policy should be referred to the appropriate administrative office for review and appropriate administrative action:

· ·

for faculty/staff, Human Resources for students, the Dean of Students

Please see HR Policy Number 605-GWC for the policy which applies to the George Williams College of Aurora University campus in Wisconsin. Questions regarding this policy should be referred to Human Resources.

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HUMAN RESOURCES POLICY MANUAL Smoke-Free Buildings ­ George Williams College of Aurora University EFFECTIVE DATE: 1 January 1998 Reviewed/Revised Date: 30 May 2008 Approved By: B. Reissenweber, VP for Finance Policy Number: 605-GWC TOPIC:

POLICY Aurora University has adopted a policy in order to minimize health risks, improve the quality of air and enhance the campus environment. Aurora University will maintain smoke-free and tobacco-free buildings on the George Williams College of Aurora University campus in Wisconsin. To that end, all campus buildings including residence halls are smoke-free and tobacco-free. This includes smokeless tobacco. Persons wishing to smoke must do so outside of buildings and must maintain a minimum distance of 25 feet from any entrance. Visitors and guests on campus are expected to adhere to these policies. Violations of this policy may result in disciplinary action up to and including termination. In deference to smoker's concerns, the Aurora Campus Wellness Center will carry self-help material for those interested in ceasing to smoke. Other self-help information can be obtained by contacting the American Lung Association at 1-800-LUNG-USA. Please see HR Policy Number 605-AUR for the policy which applies to the Aurora University campus in Illinois. Questions regarding this policy should be referred to Human Resources.

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HUMAN RESOURCES POLICY MANUAL TOPIC: EFFECTIVE DATE: Reviewed/Revised Date: Approved By: Policy Number: Standards of Performance and Conduct 1 September 2003 30 May 2008 B. Reissenweber, VP for Finance 606

PURPOSE Adherence to these standards is a condition of continued employment. The Standards of Performance and Conduct provides guidance regarding the conduct and performance level expected, and establishes a means to redirect behavior and performance which does not meet the standards. This policy is meant to complement the Faculty Handbook, it does not override the intent or the purpose of that document. There are two sections to this policy: Performance Issues and Behavior Issues. The first deals with situations in which the individual's performance does not meet the levels required by the university. The Behavior Issues section deals with situations where an incident or series of incidents have occurred which are not in accordance with the university's Mission, Core Values or policies. The Employee Assistance Program (EAP) is available for supervisors and employees as a resource for addressing the range of problems which may impact job performance. (Refer to Policy HR-360, Employee Assistance Program.) In certain cases, it may be appropriate for a supervisor to suggest the employee contact EAP. An employee's utilization of EAP services neither supplants nor circumvents the application of this policy. I. PERFORMANCE ISSUES When an employee's performance does not meet the standards, guidelines or requirements set forth for the position, the following steps will be followed: A. B. C. D. E. Informal, documented discussions. Written performance plan with time frame. Status review meetings during time frame. Final warning at 15-30 days prior to end of time frame, if necessary. Termination if performance remains below standards.

The steps of the performance improvement process are typically initiated after an informal discussion(s are held with the employee and have failed to yield positive results. (These informal discussions should be documented by supervisory notes. These notes are kept in the supervisor's files until a performance plan is determined to be necessary, at which time they should be submitted to Human Resources to become part of the employee's Personnel file). A. Documented Discussion When an employee's performance does not meet the standards set for the position, the employee and the supervisor will meet to discuss the performance deficiencies. B. Performance Plan A written performance plan will be initiated, with specific guidelines as to what can be done to improve performance and to encourage the use of university resources, such as the EAP and inhouse training. Both the supervisor and the employee will sign the performance plan, each will receive a copy, and a copy will be sent to Human Resources.

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1. Time Frame: The supervisor must use appropriate latitude in setting time frames, depending on the position, the employee, and the issues. The complexity of the necessary changes will dictate the amount of time that is necessary. The time period may be extended if conditions warrant. a. Exempt employees: An exempt position may typically take 90-120 days to display the range of tasks of the job. In some cases, there may be a specific project or milestone used. The minimum suggested period for an exempt employee is 90 days. b. Non-exempt employees: Non-exempt positions can usually be measured in a shorter time frame, such as 60-90 days. The minimum suggested for a non-exempt employee is 60 days. c. New employees: Employees in their first six months of employment may be subject to these guidelines, however the time frame may vary from the above, either longer or shorter. Position requirements and amount of change necessary will guide the development of the plan and the speed at which changes need to be accomplished. 2. While the goal is constructive counseling, the employee should leave the discussion with a clear understanding that the performance shown has not been acceptable and that improvement is necessary. 3. If the employee refuses to sign the performance plan, an opportunity to provide written comments as to the reason for the refusal should be given. At that point, the plan should again be reviewed with the employee, the supervisor, and the department director present, who will co-sign to confirm the discussion took place. 4. The performance plan will become part of the employee's Personnel file. It will generally be considered active and relevant for one year from the date of issue, but it will remain a permanent part of the file. C. Status review meetings The employee and supervisor must have regular status review meetings during the period, at least once each 30 days. Supervisory notes, copied to the employee and Human Resources, will be completed for each meeting. D. Final warning at 15-30 days prior to end of time frame will be given if the employee has not shown sufficient improvement by the beginning of the final 15-30 day period. E. Termination If the employee has not met the stated objectives at the end of the period, termination of employment will result. II. BEHAVIOR ISSUES When an employee's behavior does not fall in line with the Standards of Conduct, the following steps will be followed. Depending on the seriousness of the infraction, action may be initiated at any level. Human Resources must approve any first or final written actions prior to their being given to the employee. Any issues which may result in termination of employment must be reviewed by Human Resources and have the approval of the appropriate Vice President/Provost prior to termination. In all cases, a copy of the action taken must be sent to Human Resources for the individual's file. A. B. C. D. Documented Counseling Session First Written Action Final Written Action Termination

While the goal of the documented counseling session, and the first and final written actions is to redirect

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an employee's behavior, the employee should leave the meeting with the clear understanding that the behavior must change. If the employee refuses to sign, another supervisor/ manager may be asked to co-sign to confirm that a discussion of the incident took place. The issuing supervisor always signs the form. Unpaid suspension pending investigation may be utilized to fully investigate serious incidents which may result in termination. If, after the investigation, it is determined that termination will NOT result, the time spent on suspension may be changed to paid time at the discretion of the Vice President/Provost. Documented counselings and written actions become part of an employee's Personnel file. They are generally considered current and relevant for one year from date of issue, but they remain a permanent part of the file. Behavioral Issue Guidelines Issues will be considered major or minor. Corrective action taken will be credibly guided by the Mission and Core Values of the university. The following lists are intended only as a guide and are not intended to be all-inclusive. A. Major Issues: These are offenses or infractions of a serious nature which typically call for a Final Written Action or Termination on the first offense, such as the examples listed below: 1. Falsifying employment records or other university records, including time sheets. 2. Absence from work without notification. One to two days constitutes a major infraction. If an employee is absent three or more days, the employee is considered to have voluntarily quit without notice. 3. Revealing confidential information about any student, employee, faculty member or departmental business. 4. Physical or verbal abuse of a student, visitor, faculty member, volunteer, or other employee. 5. Insubordination: the refusal to follow the reasonable request of the supervisor. 6. Concealing or having in possession a weapon or other dangerous devices while on university premises or grounds. 7. Being unfit for duty due to the use of illegal drugs, or alcohol. 8. Use of alcoholic beverages on-campus. 9. Negligence or deliberate destruction or misuse of university property or property of another employee, student, faculty member, volunteer, or visitor. 10. Unauthorized removal or theft of university property or that of another employee, student, faculty member, visitor, or volunteer. 11. Sleeping while on duty. 12. Repeated violation of minor infractions, or the combination in an employee's file, of several current actions at a given time, ("Habitual offender"). 13. Failure to follow safety, OSHA, or blood-borne pathogen procedures. 14. Engaging in unlawful or improper conduct off the university's premises or during nonworking hours, which affects the employee's or faculty member's relationship with the job, fellow employees, fellow faculty members or the university's reputation or good will in the community.

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B. Minor Issues: These issues, while serious, are of such nature that a documented counseling session or first written action is typically warranted on the first occurrence. Examples are listed below: 1. Failure to follow university or departmental policies/procedures or instructions. 2. Smoking in unauthorized areas. 3. Treating a coworker, supervisor, subordinate, student, faculty member, visitor, or volunteer in a disrespectful or inappropriate manner. 4. Excessive personal calls. 5. Failure to regularly sign in/out on the timesheet. 6. Use of vile, intemperate or abusive language. 7. Failure to adhere to departmental/university dress code. 8. Failure to utilize the departmental/university procedure to notify the supervisor of absence. 9. Loitering or loafing on duty. 10. Unauthorized use of university property. 11. Violation of university parking rules. III. EMPLOYEE RIGHTS: If an employee feels that discipline or counseling has been unduly imposed, the employee may take one of the following actions: Contact the department head, Human Resources or the Faculty Ombudsman for assistance in trying to resolve the problem informally or through the chain of command. An employee may add a written rebuttal to his/her permanent personnel file regarding a disciplinary action or performance counseling. The employee also may have the option to initiate a grievance (see HR Policy 400, Grievance Procedure).

For questions about this policy, please contact Human Resources.

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