HR Policies & Contracts

PDF copy of Bereavement Leave

Roger Williams University and Roger Williams School of Law Bereavement Leave Policy & Procedure 

Purpose

To define Roger Williams University (the “University”) policy and procedure regarding bereavement leave upon the death of a close relative. 

Scope

This  policy applies  to  all  employed in  full-time,  permanent positions  and  part-time, permanent positions by the University, subject to the terms herein and to the provisions of governing collective bargaining agreements (CBAs) for those recognized by same. Where there is conflict between the CBAs and this policy, whether by inclusion or exclusion of terms, the CBA’s express terms only govern. 

Policy

1. Immediate & Extended Family 

A maximum of five (5) days paid leave shall be granted to a employee upon the death of the employee’s spouse, child, (as defined in RWU Family Leave Policy & Procedure) parent, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, grandparent, grandchild or relative living in the employee’s household and not paying rent to or on behalf of the employee for at least nine (9) continuous months preceding the death. The relative must be registered with the University’s Department of Human Resources (HR) for at least nine (9) continuous months preceding and at the time of death, on a form as determined by HR, certifying the familial relationship and living arrangement. 

2. Purpose 

The leave is exclusively to mourn, attend a funeral, burial or other similar grieving ceremony and to comfort others in a time of personal loss. Therefore, the employee utilizing bereavement leave may be required, at the University’s discretion, to validate the death and preparation and/or attendance at a grieving ceremony and/or visitation with others, grieving the loss in a manner reasonable under the circumstances. 

3. Additional Considerations

A. In the event of a common disaster, the paid days are not multiplied unless there are disparate locations for a funeral, burial or other similar grieving ceremony among those who have died.

B. In the event the number of paid leave days reaches fifteen (15) in any given year, the remaining leave authorized hereunder will be unpaid. 

Updated: May 2008 

PDF copy of Dental Insurance

Roger Williams University and Roger Williams University School of Law Dental Insurance Policy

Purpose

To identify eligibility for dental insurance. 

Scope

All employees (Note: those employees covered under a collective bargaining agreement, please refer to the appropriate contract) 

Policy

Full-time regular employees holding positions on payroll are eligible to elect group dental insurance through Roger Williams University.  Open Enrollment period is held, usually on an annual basis, at which time staff can add, drop or change their level of coverage.  There is a maximum benefit amount per enrolled member for covered services each year.

Eligibility for Dental Insurance 

Staff may elect to cover themselves, and, if applicable, their spouses and/or children. Spouses may include those who are legally married and those who fit the definition of common law spouse. Children may include the employee's unmarried natural and/or legally adopted children, or children for whom the employee has been granted legal guardianship. Except in certain circumstances, children must be under the age of 19 or full-time students under the age of 24. Dental insurance becomes effective the first day of the month following the date of hire. Coverage ceases at the end of the month in which eligibility ends. 

Cost for Dental Insurance 

Costs are outlined in information packages distributed at New Employee Orientation and during Open Enrollment and may also be obtained from the Office of Human Resources.

Tax Treatment of Dental Insurance 

Employees' paychecks are generally reduced monthly by the amount of the appropriate dental insurance premiums on a pre-tax basis. This pre-tax plan is governed by Internal Revenue Service regulations. Under certain circumstances it may be necessary to deduct certain portions of premiums on a post-tax basis. Employer portions of premium can be considered taxable income in certain circumstances. 

Double Dental Insurance (Buyback) 

Employees who certify that they are covered by dental insurance from a source outside of Roger Williams University, may be eligible to receive a payment if they decline to enroll in Roger Williams University group dental insurance. This money is considered taxable income.

Status Change 

If a change is the result of a Qualifying Event such as a marriage or divorce, birth or adoption of a child, employees are encouraged to contact the Office of Human Resources within 30 days of such an event, for enrollment changes effecting one’s benefits. 

Updated: October 2008 

PDF of Domestic Partner Policy and Forms

ROGER WILLIAMS UNIVERSITY & ROGER WILLIAMS UNIVERSITY SCHOOL OF LAW BENEFITS INFORMATION REGARDING DOMESTIC PARTNERS

(Effective January 1, 2008)

(Revised April 9, 2014)

Overview

Roger Williams University and Roger Williams University School of Law (collectively "University") recognize domestic partners (as defined below) of its employees as spousal equivalents for certain benefits, to the extent permitted by law and by insurance underwriting requirements. Such benefits are available to non-bargaining unit employees depending upon their eligible benefit status and to bargaining unit employees whose collective bargaining agreement provides for such benefits.

A domestic partner may be of the same or opposite sex. The University utilizes the criteria established by its insurance carriers for recognizing domestic partners, which criteria is subject to change based upon insurer underwriting requirements. The current criteria are outlined in the attached "Declaration of Domestic Partnership" (Appendix A). The employee and domestic partner will be required to submit a signed Declaration and accompanying required documentation to certify eligibility. Please note that additional criteria, as referenced below under Available Benefits, may be applicable to specific benefits.

Employees are required to notify the University's Benefits Manager in writing utilizing the University's "Termination of Domestic Partnership" form (see attached Appendix B) within thirty days of any termination of the domestic partnership or failure to meet any of the above-referenced criteria.

Benefits

University benefits that may involve domestic partners and domestic partner's dependent(s) are outlined below. Due to federal benefit restrictions and insurance underwriting requirements, some of these benefits are not available to domestic partners and domestic partner's dependent(s). The University's Benefits Manager is available if you have any questions regarding these benefits.

In addition to federal law and insurance carrier restrictions, all benefits are subject to applicable University policies and benefit plan documents, as well as applicable collective bargaining agreements (for example, any minimum working hour requirements for accessing medical and dental insurance).

Available Benefits

• Domestic partners may be enrolled in the University's medical and dental insurance plans; the domestic partner's dependent child/children may be enrolled if he/she/they meet medical and dental carrier dependent requirements
• Medical and dental buyback if opting out of the University's medical and/or dental plan for domestic partner plan coverage
• Benefits under the federal Family and Medical Leave Act and Rhode Island Parental & Family Medical Leave Act
• Sick time may be used to care for the domestic partner and the domestic partner's dependent(s)
• Voluntary spousal life, accidental death and dismemberment, and long term care insurance for the domestic partner, subject to any specific insurance carrier requirements; domestic partner's dependent child/children life insurance if he/she/they meet insurance carrier dependent requirements
• Participation in Tuition Exchange, Council for Independent Colleges, and/or Tuition Remission for domestic partner; the domestic partner's dependent child/children may participate if he/she/they meet the definition of "dependent" under Section 152 of the Internal Revenue Code (a "Tax Certification of Dependency" form must be completed and submitted)
• Fitness Center family membership for domestic partner and the domestic partner's dependent(s)
• Bereavement time for the death of the domestic partner and the domestic partner's dependent(s)

Contingent Benefits

Note: The below benefits are only available if the domestic partner/ domestic partner's dependent(s) meet the definition of "dependent" under Section 152 of the Internal Revenue Code (a "Tax Certification of Dependency" form must be completed and submitted)

• COBRA medical/dental insurance continuation coverage to the domestic partner/ domestic partner's dependent(s)
• Flexible spending accounts for expenses related to the domestic paiiner/ domestic partner's dependent(s)

Tax Consequences

IMPORTANT:

Federal and state law does not recognize a domestic partner as a legal spouse for federal and state income tax purposes. Therefore, any tuition remission benefits and the University contribution to the medical and dental plans for the domestic partner/domestic partner's dependent(s) coverage are considered taxable income to the employee and must be included in the employee's bi-weekly paycheck as taxable income for both federal and state purposes. In addition, any medical and dental premium cost the employee is required to contribute for domestic partner/domestic partner's dependent(s) coverage must be contributed as an after-tax deduction. By accessing domestic partner benefits, the employee agrees that it is his/her responsibility to pay all applicable taxes and authorizes the University to withhold necessary taxes via standardized payroll deduction.

The above tax matters do not apply if the domestic partner/domestic partner's dependent(s) meet the definition of "dependent" under Section 152 of the Internal Revenue Code (a "Tax Certification of Dependency" form must be completed and submitted). Any additional tax consequences incurred by the employee may not be used to satisfy an employee's maximum premium share contribution to his/her medical and/or dental insurance.

The above imputed income amounts are not added to the employee's compensation base for group life insurance, disability benefits, or retirement plan contributions. Employees are encouraged to speak with their own tax advisor if they have questions regarding the tax treatment of certain benefits.

APPENDIX A DECLARATION OF DOMESTIC PARTNERSHIP

Employee Name 

Domestic Partner Name

Group Name ("GROUP")(if applicable)

1. Eligibility Certification. 

By signing below, we hereby certify that we meet the following eligibility criteria:

a. We are at least eighteen (18) years of age and are mentally competent to

contract.

b. Neither of us is married to anyone else.

c. We are not related by blood to a degree which would prohibit marriage in our state of legal residence.

d. We reside together and have resided together for at least one (1) year.

e. We are financially interdependent and can demonstrate such interdependence by submitting the Required Documentation listed in paragraph 2 of this Declaration.

2. Required Documentation. We have included documentation to substantiate two (2) of the following items (check applicable items):

• Notarized domestic partnership agreement or relationship contract.
• Joint mortgage or joint ownership of primary residence.
• Joint ownership of automobile. (Joint title or joint bill of sale accepted.)
• Joint lease. Must be dated one ( 1) year prior to the request for coverage.
• Joint checking, savings or credit account. Must be dated one (I) year prior to the request for coverage.
• The domestic partner has been designated as a beneficiary for the employee's will, retirement contract or life insurance. Must be dated one (1) year prior to the request for coverage.

3. Notice of Changes. We agree to notify the GROUP if the status of this relationship changes, including termination of the relationship or our failure to meet the criteria outlined in paragraph 1 of this Declaration, no later than 30 days from the date of such change.

4. Penalties for Misrepresentation. We affirm the statements attested to in this Declaration are true and correct to the best of our knowledge. We understand that we are responsible for reimbursing the GROUP and/or BCBSRI for any expenses incurred as a result of any false or misleading statement contained in this Declaration, including but not limited to reimbursement for premiums and amounts paid in claims.

Under penalties of perjury, we certify that the foregoing representations are true, correct, and complete.

Employee Signature 

Domestic Partner Signature

Employee Name (Print) 

Domestic Paitner Name (Print)

Domestic Partner Declaration

APPENDIX B TERMINATION OF DOMESTIC PARTNERSHIP

I, __________________ (print name) do hereby declare that I no longer have a domestic partnership with (print name of former domestic partner).

I file this Termination of Domestic Partnership in order to cancel the Declaration of Domestic Partnership previously filed by me. The domestic partnership ended on ____ (date).

I understand that I may not file another Declaration of Domestic Partnership until twelve (12) months have passed from the above-referenced date. I certify that the information supplied on this form is true and correct.

(Employee Signature) (Social Security Number)

(Department) (Date)

Received by: ______________ _ Date: -----------

(Benefits Manager or designee)

PDF Copy of Records Management Policy

ADOPTED 5/6/15 

Section One Statement of Policy

Roger Williams University (RWU) requires that University records, in all formats, be efficiently managed, retained and destroyed in compliance with academic, administrative, business and historical needs, as well as legal requirements and to optimize the use of space.

Section Two Applicability of Policy

 This Records Management Policy applies to each office, department or unit that has or may have the possibility of creating a record. The following is a list of offices, departments and units of the University that have the possibility of creating records; however the list is not intended to be inclusive, but rather illustrative of the entities that have that possibility.

Board of Trustees

President

Provost

Executive & Sr. Vice Presidents

All Vice Presidents

Chief of Staff

Academic Deans

Faculty Senate

Professor

Academic Advisement

Registrar

Human Resources

Sponsored Programs

Library

Learning Center

Enrollment Management

Law School

Financial Aid

Dean of Students

Student Conduct

Student Housing

Health Services

Athletics

Counseling

Camps & Conferences

Accounting

Treasury Management

Purchasing

Payroll

Accounts Payable & Receivable

Facilities Management

Bursar Information Technology

Cashier

General Counsel

Risk Management University Advancement

Alumni Relations Public Relations

Institutional Research

Public Safety

Lock Shop Environmental Health & Safety

Section Three

Definitions of Terms and General Description of Responsibilities

Document. 

A “document” is any piece of information, in any form, produced or received by RWU. It shall include written material such as letters, memoranda and reports; databases; websites; e-­‐mail communications; word and excel files; scanned images and photographs.

A document may be important to an operation of the University (such as an official transcript, letter of acceptance or appointment, approval of academic program, contract or e-­‐mail confirmation of an agreement, building plan, budget document, policy statement or Board resolution) or may not be important to the operation (such as an invitation to lunch, scheduling or confirmation of a routine meeting, a post-­‐it note or message to call home).

A document that is important to the operation of the University, when finalized, would become a record and would be governed by this Records Management Policy.

Record. 

A “record” is a document that is regarded as complete, final and unchangeable, except in controlled circumstances, and is considered important to an operation of the University. Thus, normally a draft of a document or file notes would not be considered a record.

Tangible Record.

Tangible records are those records that are in a format that may be handled and read by an individual, and are often referred to as “hard copies.” Historically, University records have been in tangible format; however, the University is expanding its use of Electronic Records. Tangible records that have been scanned shall be considered Electronic Records. Tangible Records shall be retained, managed and destroyed in accordance with the Records Retention Schedule (attached).

Electronic Record.

RWU has been expanding its use of a non-­‐ tangible “paperless” record format. Such records include but are not limited to word-­‐processor documents, spreadsheets, databases, HTML documents, scanned or imaged documents and any other type of file warehoused on-­‐ line via a hosted storage vendor, on a mainframe, on a computer hard drive or any external storage medium. The same retention standards that apply to tangible University records also apply to Electronic Records, and the retention periods outlined in the Record Retention Schedule (attached) apply equally to University records in all formats.

Active Record.

An Active Record, whether a Tangible Record or Electronic Record, is a University record currently used by a particular office, department or other area of the University that generated or received it. An active record shall be retained in an active file by the originating office for a particular purpose and for a limited period of time. After the record is no longer actively needed by a particular office, department or other area of the University that generated or received it, the record will be entirely destroyed or purged of certain documents and material consistent in compliance with the Record Retention Schedule (attached), or if the record is deemed to be an Inactive, Permanent or Archival Record (as hereinafter defined), the record shall be transferred to the appropriate file within the office.

Inactive Record/University Records Repository.

An Inactive Record, whether a Tangible Record or Electronic Record, is a record that is required to be preserved for a period of time in accordance with the Record Retention Schedule (attached), but which is no longer currently used by a particular office, department or other area of the University that generated or received it. As stated above, at such time as the record is no longer needed for use by a particular office, department or other unit of the University that generated or received it, the record shall be either destroyed or purged of certain documents, if within the timeframe set forth in the Records Retention Schedule, or maintained in the Inactive Records File storage in the generating or receiving office. If during the course of time, the Inactive Record becomes a Permanent or Archival Record, the Inactive Record shall be transferred to the appropriate Permanent or Archival file within the office.

Permanent Record/University Records Repository.

A permanent record, whether a Tangible Record or Electronic Record, is a record that is required to be preserved permanently in accordance with the Records Retention Schedule (attached), but which is no longer used by a particular office, department or other unit of the University that generated or received it. The generating or receiving office shall hold the Permanent Record in a Permanent Records File maintained within the generating or receiving office. Permanent Records shall be preserved in the format in which they are generated or received, except in the case of Tangible Records, which may be converted to and stored as Electronic Records.

Archival Record/University Archivist.

An Archival Record, whether a Tangible Record or Electronic Record, is a University record that has historic significance to RWU and shall be retained in the office or department in which it originated or received or sent to the University Archivist located in the University Library who shall preserve and retain the record in an archival file accessible only through the University Archivist. If the record is sent to the University Archivist, the office sending the record shall retain a copy of the record so transmitted.

Section Four

Confidential Information/Right of Privacy

Many records subject to this Records Management Policy contain personal confidential information, including but not limited to name, address, social security number, bank account information, financial or financial aid information, student identification number, medical information and employment information). Such records are protected by federal and state statutes including the Family Educational Rights and Privacy Act (FERPA), the Health Insurance Portability and Accountability Act (HIPAA), the Gramm-­‐Leach-­‐Bliley Act (GLBA) Information Security Program and Rhode Island Right to Privacy laws. Any such records shall be held confidential in accordance with legal requirements, and destruction of such records shall be undertaken securely and under careful supervision so as to eliminate the possibility of inadvertent release or publication of confidential or private information.

Other records contain information that, if revealed or disclosed, would cause serious harm to the business of the University or an office, department or other area of the University. Such records, which may in addition be proprietary or privileged, should be identified as “Confidential” and the confidentiality of such records shall be maintained. Destruction of such records shall be undertaken securely and under careful supervision so as to eliminate the possibility of inadvertent release of publication of such information.

Section Five

Administration of the Records Retention Policy

Administration of Records Retention Policy /Reports to University General Counsel. 

Each office or department is responsible for the administration of this Records Retention Policy, and any questions regarding the application of this policy shall be submitted to the University General Counsel.

Management of Records within an Office. 

The office, department or other area of the University that generated or received a record shall be the repository of Active, Inactive, Permanent and Archival Records. The head of the office, department or area that generated or received the record shall be responsible for receiving, managing and destroying Active Records under this Records Retention Policy; however, at such time as the records are no longer Active Records, and have not previously been destroyed in accordance with this Policy, the records shall be removed to the appropriate Inactive, Permanent or Archival file (as defined herein) maintained by the office.

The department head shall be responsible for providing appropriate access to Records, limiting access only to those who have job-­‐related responsibility with respect to material contained in the Record. If a department head denies access to a person who believes that she or he has a job-­‐related responsibility with respect to material contained in a Record, an appeal to the Office of General Counsel may be taken in a writing that sets forth in detail the Record requested and the reason why access is needed. The decision of the Office of General Counsel shall be final with regard to the issue of access to the Record.

Separate Files for Records. 

Each office, department or unit that creates a record shall establish a file or files for holding University Records, which files shall be separate from other files. A standard file shall be for tangible records and a computer file for electronic records. At such time as a document becomes a record (see definitions above), that document shall be transferred to the records file, although a copy may be retained elsewhere for as long a period of time as that record is needed in the office. If at any time an Inactive, Permanent or Archival Record is needed by the office, department or unit that created it, that Record may be retrieved from the appropriate file in replaced in the Active Records File.

Records Retention Committee.

The President of the University, after consultation with the President’s Cabinet, shall appoint a committee of five

(5) RWU non-­‐aligned employees to advise the President, through the President’s Chief of Staff, from time-­‐to-­‐time, as requested by the President, and to annually review this Records Management Policy and Schedule and to suggest modifications as deemed appropriate and to ensure compliance. Appointments to the Committee shall be for terms of from one (1) to three

(3) years to allow for Committee continuity. The President shall appoint one Committee member to serve as chair of the Committee. An attorney with the Office of General Counsel shall attend any and all meetings of the Committee.

Legal Advice and Counsel.

In the event the office manager or department head is uncertain as to whether a particular record should be retained or destroyed, he or she shall address the issue to the Office of the General Counsel for a decision based on appropriate law, rule or regulation or University policy. 

Upon the direction of the Office of General Counsel, retention periods may be increased for reasons relating to pending or possible litigation or audit requirements, or for any other reason.

Manner of Record Destruction. 

In the event it is determined that a particular record should be destroyed, the record should be destroyed in one of the following ways:

(a)  Tangible Records should be shredded so that confidential and/or personal information cannot practicably be read or reconstituted; or

(b) Electronic Records and other non-­‐tangible media shall be destroyed or erased so that confidential and/or personal information cannot practicably be read or reconstructed. The office manager or department head, as the case may be, shall contact the Office of Information Technology to ensure that electronic records are destroyed appropriately.

Convenience Copies.

There is no need for employees, offices, departments and other areas of the University that did not generate or receive a particular record to retain copies of University records beyond the time they are useful in conducting University business. Duplicate or multiple copies of University records (“Convenience Copies”) should be destroyed (using secure destruction methods if they contain confidential or personal information) when the records are no longer useful, but in no event later than the retention duration noted in the Records Management Schedule. 

Records, Including Computer Records, Belong to the University.

All records, including but not limited to records maintained on University-­‐ owned computers assigned to University employees, belong to the University and are subject to the within Records Management Policy. Such records shall not be removed from the control of the University.

University records shall not be created, stored or retained in an employee’s personal facility or computer.

Upon Termination of Employment.

At such time as an employee leaves his or her position at the University, he or she shall not remove or delete any record or document from the University, including but not limited to any record or document contained in University-­‐owned computer(s) assigned to him or her while employed at the University. The computer(s) so assigned shall, on or before the last day of the employee’s service to the University, be delivered to the Office of Information Technology, which Office shall be responsible for insuring that records contained in the computer shall be retained or destroyed in accordance with the provisions of this Records Management Policy. Tangible records shall remain in the office in which the employee worked while at the University. 

Section Six

Records Retention Schedule

The following list contains the length of time that specific records shall be managed and retained, then, if not Permanent or Archival Records, destroyed. The list is not exhaustive; and questions regarding the retention period for any specific record or class of records should be addressed to the University Records Administrator, who in appropriate cases, shall seek the legal advice of the Office of General Counsel.

PDF Copy of Healthy and Safe Families and Workplace Act

ROGER WILLIAMS UNIVERSITY – HEALTHY AND SAFE FAMILIES AND WORKPLACES ACT POLICY 

It is the policy of Roger Williams University to comply with the Rhode Island Health and Safe Families and Workplaces Act (the “Act”). 

The Act’s purpose is to ensure that employees in Rhode Island can address their own health and safety needs, as well as those of their family members, by requiring employers to allow employees to earn a certain minimum level of paid sick and/or safe leave time. This law allows employees to use such leave for the following purposes: 

• Mental or physical illness, injury or health condition of an employee, family member, or member of the household; 
• Medical diagnosis, care, treatment of a mental or physical illness, injury or health condition of an employee, family member, or member of the household;
• Preventative medical care for an employee, family member or member of the household; 
• Leave related to domestic violence, sexual assault, or stalking impacting an employee, family member, or member of the household; 
• Closure of the employee’s place of business, or a child’s school or place of care, by order of a public health official due to a public health emergency; or 
• If health authorities or a health care provider determines that the employee or covered relation’s presence in the community may jeopardize others’ health because of the individual’s exposure to a communicable disease, whether or not the employee or covered relation has actually contracted the communicable disease.

 In most cases, the sick leave benefits provided by the University, whether extended through policy or through negotiated labor agreements, are greater than the minimum standards required by the Act, but in any limited instances where there is incongruity between University benefits currently offered and the new law, the University will make the requisite changes to comply with the law. Unless an applicable collective bargaining agreement provides otherwise, the University shall administer requests for leave made pursuant to the Act as follows: 

1. New employees will begin to accrue sick and safe leave pursuant to the Act upon hire, but shall not be permitted to use such leave until the ninety-first day following hire. 
2. In instances where the need for leave is foreseeable , an employee seeking to take leave pursuant to the Act is required to: provide as much advance notice as is possible to the employee’s supervisor of such need, obtain approval in advance of its use; and make reasonable efforts to schedule the use in a manner that does not disrupt University operations. 
3. In instances where the need to take such leave pursuant to the Act is not foreseeable, an employee must, as soon as is practicable upon the need arising, contact the employee’s supervisor in order to notify the University of the need for such unanticipated leave and request that such leave be granted. 
4. When possible, employees requesting leave pursuant to the Act should provide notice of the leave’s expected duration. 
5. For periods of paid leave granted pursuant to the Act that span more than three consecutive work days, employees may, upon request by the University, be required to provide reasonable documentation that the leave has been used for a purpose covered by the Act. 

July 1, 2018 

PDF copy of Long-Term Disability Insurance

Roger Williams University and Roger Williams University School of Law Long Term Disability Policy 

Purpose

To identify eligibility for long term disability insurance.  Employees who become disabled while employed at Roger Williams University may receive certain benefits under the University's Long-Term Disability Insurance plan. 

Scope

All employees (Note: those employees covered under a collective bargaining agreement, please refer to the appropriate contract) 

Policy

Eligibility for Long-Term Disability Insurance Coverage 

Full-time regular employees are eligible for coverage under the Long-Term Disability Insurance plan.  Coverage becomes effective the first day of the month following the date of hire. Coverage ends the last day of the month in which an employee terminates employment or is no longer eligible. 

Long-Term Disability Insurance Benefits 

Long-Term Disability Insurance benefits start when the employee's physician certifies that the employee has been disabled for at least 180 days. When employees' claims for Long-Term Disability Insurance benefits are approved by the University's LTD carrier, the employees receive 60% of their salary (up to $6,000 per month with a minimum of $100 per month). This benefit is offset by any  other  supplemental  income,  such  as  Workers'  Compensation,  Social Security, etc. In addition, the LTD carrier continues Roger Williams University’s normal contributions to the employees' retirement accounts. If the employee was disabled under Workers' Compensation, certain additional benefits may be available. Employees may elect to continue voluntary group life insurance during a Long- Term Disability Leave by paying the required premiums. This policy provides a brief summary. Please contact the Office of Human Resources for further information and consult the Long-Term Disability Insurance contract, which is the binding document. 

Updated: March 2007 

PDF Version of Medical Insurance Policy

Roger Williams University and Roger Williams University School of Law Medical Insurance Policy 

Purpose

To identify eligibility for health insurance. 

Scope

All employees (Note: those employees covered under a collective bargaining agreement, please refer to the appropriate contract) 

Policy

Full-time regular employees holding positions on payroll are eligible to elect group health insurance through Roger Williams University.  Open Enrollment period is held, usually on an annual basis, at which time staff can add, drop or change their level of coverage. 

Eligibility for Health Insurance

Staff may elect to cover themselves, and, if applicable, their spouses and/or children. Spouses may include those who are legally married and those who fit the definition of common law spouse. Children may include the employee's unmarried natural and/or legally adopted children, or children for whom the employee has been granted legal guardianship. Except in certain circumstances, children must be under the age of 19 or full-time students under the age of 26. Health insurance becomes effective the first day of the month following the date of hire. Coverage ceases at the end of the month in which eligibility ends.

Cost for Health Insurance

Costs are outlined in information packages distributed at New Employee Orientation and during Open Enrollment and may also be obtained from the Office of Human Resources.

Tax Treatment of Health Insurance

Employees' paychecks are generally reduced monthly by the amount of the appropriate health insurance premiums on a pre-tax basis. This pre-tax plan is governed by Internal Revenue Service regulations. Under certain circumstances it may be necessary to deduct certain portions of premiums on a post-tax basis. Employer portions of premium can be considered taxable income in certain circumstances.

Double Health Insurance (Buyback)

Employees who certify that they are covered by health insurance from a source outside of Roger Williams University, may be eligible to receive a payment if they decline to enroll in Roger Williams University group health insurance. This money is considered taxable income.

Status Change

If a change is the result of a Qualifying Event such as a marriage or divorce, birth or adoption of a child employees are encouraged to contact the Office of Human Resources within 30 days of such an event, for enrollment changes effecting one’s benefits. 

Updated: October 2008

PDF copy of Short-Term Disability Insurance

Roger Williams University and Roger Williams University School of Law Short Term Disability Insurance Policy

Purpose

To identify eligibility for short term disability insurance.  Employees who become disabled while employed at Roger Williams University may receive certain benefits under the University's Short-Term Disability Insurance plan.

Scope

All employees (Note: those employees covered under a collective bargaining agreement, please refer to the appropriate contract) 

Policy

Eligibility for Short-Term Disability Insurance Coverage 

Full-time regular employees are eligible for coverage under the Short-Term Disability Insurance plan.  Coverage becomes effective the first day of the month following the date of hire. Coverage ends the last day of the month in which an employee terminates employment or is no longer eligible. 

Short-Term Disability Insurance Benefits

Short-Term Disability Insurance benefits start when the employee's physician certifies that the employee has been disabled for at least 15 days. When employees' claims for Short-Term Disability Insurance benefits are approved by the University's STD carrier, the employees receives (in combination with Rhode Island Temporary Disability Insurance) 70% of their salary (up to $750 per week). The maximum benefits period is 24 weeks.  This benefit is offset by any other supplemental income, such as Workers' Compensation, Social Security, etc.  If the employee was disabled under Workers' Compensation, certain additional benefits may be available. This policy provides a brief summary.  Please contact the Office of Human Resources for further information and consult the Short-Term Disability Insurance contract, which is the binding document. 

PDF of Sick Leave

Roger Williams University and Roger Williams University School of Law Sick Leave Policy and Procedure 

Purpose

To define Roger Williams University’s (the “University”) policy and procedure regarding eligibility for sick time, calculation of sick time balances and guidelines for the use of sick time. 

Scope

This  policy  applies  to  all  employed  in  full-time,  permanent  positions  and  part-time, permanent positions by the University, subject to the terms herein and to the provisions of governing collective bargaining agreements (CBAs) for those recognized by same. Where there is conflict between the CBAs and this policy, whether by inclusion or exclusion of terms, the CBA’s express terms only govern.

Policy

I. Interpretation 

Sick leave is a paid personal benefit that is accrued with active employment and shall be construed consistent with the University’s Family Leave Policy & Procedure. Under certain conditions as set out in the Family Leave Policy, both family leave and sick leave will be used simultaneously. Under other conditions, sick leave as set out herein, will be used and depleted separately from family leave eligibility and use. Finally, under certain conditions as set out under Family Leave Policy, family leave is available for use but sick leave is not and will not be used.

II. Accrual

Employees shall earn one and one quarter (1¼ ) working days per calendar month, starting with the first full calendar month of employment. Accrual shall continue for each month of active employment until unused accrual reaches forty-five (45) days of accrual, at which time accrual stops until depleted through proper utilization. 

A.  “Active employment” shall be defined as either actual work reporting as scheduled, or authorized, paid leave utilization. 

B. Sick leave will not accrue during a period of employment except active employment. 

III. Utilization

A.  Sick leave may be utilized by employees when they are unable to perform their work by reason of personal illness, injury or exposure to contagious disease or for the attendance of the employee upon a member of the immediate family who is seriously ill, or whose spouse is hospitalized due to pregnancy. 

1. Seriously ill shall be defined herein to mean “suffering from a certifiably debilitating medical condition, significantly impairing one from performing the regular, necessary, daily function of living without significant, continued assistance from another.” 

B. Accumulated sick leave may be used to grieve the death and/or attend the funeral of the employee’s immediate family; father, mother, spouse, child, foster child, sister or brother of employee and relatives of employees residing in the same household as employee.  Leave utilized for bereavement shall be limited to three (3) days per occurrence unless exception for extraordinary reason is made by and at the discretion of the University, through its Department of Human Resources.

C. Sick leave will be charged by the nearest half (½) day of use. 

D. There is no sick leave absent accrual. Therefore, an individual who has exhausted his/her sick leave is not entitled to a sick leave of absence. 

IV. Authorization & Validation 

A. Short-Term Leave:  Sick leave pursuant to this provision, of two (2) work weeks or less, is considered a short-term leave and shall be authorized and/or validated as follows: 

1. Anticipated Leave:  Any proper utilization of sick leave anticipated in advance must be requested as far in advance as practicable, and approved by the employee’s immediate supervisor prior to utilization. Approval will not be unreasonably denied. Examples of anticipated leave, by way of illustration but not limitation, include physician appointments, dentist appointments, scheduled surgery and short-term care for an ill member of the immediate family. Within a reasonable period of time following utilization of sick leave for this purpose, the employee must validate, as required, the reason for scheduled leave by means of written proof that the scheduled purpose for the sick leave did occur. 

2. Unanticipated Leave:  Utilization of sick leave that cannot be anticipated in advance, such as sudden illness, must be validated by contacting, as soon as possible the employee’s supervisor or by utilizing such method specifically directed by the employee’s supervisor to notify the University of unanticipated sick leave. If absent for three (3) or more consecutive working days, the employee, upon request by University, must present, reasonable evidence of the need enabling sick leave usage. By way of illustration but not limitation, a statement from a licensed health care provider as defined in Family Leave Policy & Procedure, validating the nature and duration of the work disabling event will suffice. 

B.  Long-Term Leave:  Sick leave, pursuant to this provision, of over two (2) work weeks is considered a long-term leave and shall be authorized and/or validated as follows: 

1. Anticipated Leave: An anticipated leave must be requested, approved and supported, in advance of utilization, with medical documentation from the employee’s physician stating the following: 

a. Nature of illness or injury preventing the employee from working and/or necessitating the absence. 

b. Prognosis for recovery and anticipated date for return to work. The University may, at its option and expense, direct and secure a second medical opinion from a University-selected physician and authorize or refuse the sick leave based thereon. During a leave secured pursuant to this provision, the employee may be required to submit periodic medical progress reports and verification or alteration of the originally anticipated return date secured from the attending physician. The University reserves the right, at its own expense, to direct and secure a second opinion from a University- selected physician during the long-term leave of absence and continue or reject authorization and utilization of paid sick leave based thereon. No employee may return to active employment with the University unless and until a physician’s specific prognosis of the employee’s recovery from the disabling aspects of the paid illness or injury is certified by said physician, in writing. 

2. Unanticipated Leave: While prior notification and approval may, in extraordinary circumstances, be impossible or impracticable for every circumstance and condition enabling long-term leave, the same procedures and reciprocal right of the University and the employee as outlined in provision IV.B.1 immediately above shall apply except that the notification to the University must be approved as soon as possible and to the extent possible no later than three (3) days following the occurrence of the enabling event. Approval for a long-term leave must then be secured through those procedures outlined in provision IV.B.1. immediately above. 

V. Confidentiality of Records 

All medical reports and diagnoses provided pursuant to this policy shall remain confidential with the centralized Human Resource functions of the University, the Office of General Counsel and the President only. 

PDF Sick Leave Bank Policy

Roger Williams University and Roger Williams School of Law Non--Aligned Sick Leave Bank

Purpose

Roger Williams University and Roger Williams University School of Law (collectively referred to as the “University”) established this Non-Aligned Sick Leave Bank (the “Policy”) to provide a sick leave bank in which non--aligned employees can utilize sick time for their own serious medical condition or illness. 

Scope

This policy applies to the University Non-Aligned Staff and School of Law Faculty and Staff.

Policy 

University Non-aligned staff and School of Law Faculty and staff can voluntarily donate at least one accrued sick day with a maximum of two accrued sick days, on an annual basis, from their sick leave to a Sick Leave Bank. If an employee donates to the Sick Leave Bank within the applicable fiscal year, he/she is eligible to withdraw from the Sick Leave Bank for that fiscal year. The Sick Leave Bank is available for an employee’s own serious medical condition or illness. The Sick Leave Bank may only carry over 50 days of unused sick leave into the next fiscal year. 

A. Considerations

If an employee would like to participate in the Sick Leave Bank, they must donate to the Sick Leave Bank. The employee must have accrued sick leave in order to donate.  Before requesting a withdrawal from the Sick Leave Bank, an employee must utilize their own sick and vacation leave accrued time.  An employee may withdraw a maximum of sixty (60) days from the Sick Leave Bank during the fiscal year. Employees who draw from the Sick Leave Bank cannot accrue sick or vacation leave until they return to work from their approved leave.  Employees who receive paid sick time from the Sick Leave Bank will have the paid sick time reduced by benefit payments received from Rhode Island Temporary Disability Insurance and the disability plan provided by Roger Williams University.

B. Procedure 

Step 1: In May of each year, the Department of Human Resources will forward a memorandum to all non--aligned employees notifying them of an enrollment for the upcoming Sick Leave Bank. Employees will have thirty (30) days beginning June 1st through June 30th to submit a donation of sick leave to the bank. To donate to the bank, employees must complete a Sick Leave Bank Election form. As of June 30th each year, Human Resources will create the bank for the upcoming fiscal year based on the submissions of donations to the bank plus any unused sick leave bank days from the prior year. Individual sick leave accrual levels will be adjusted for all employees contributing to the bank within the second pay period of July. 

Step 2:  Employees seeking to utilize the Sick Leave Bank must contact the Department of Human Resources for the following items: 

1) Confirm availability of employee sick leave and vacation leave accrual; and 

2) Confirm the availability of sick leave in the non--aligned bank.

Step 3:  Employees seeking to utilize the Sick Leave Bank will complete the Non-Aligned Sick Leave Bank Request Form, and should attach a copy of a primary care physician’s note identifying the time period that the employee will be out of work. The employee will forward a copy of the form and primary care physician’s note to the Department of Human Resources. The form is located on the HR Website.

Step 4:  Human Resources will review the Non--Aligned Sick Leave Bank Request Form and confirm acceptance and the conditions of the program upon fifteen (15) days of receipt for such information.

C. Definitions

a. Fiscal Year: July 1 to June 30th

b. Rhode Island Temporary Disability Insurance (TDI): a disability plan provided by the state of Rhode Island and funded through a payroll tax.

More information about TDI

c. Sun Life Short Term Disability: a disability plan provided by the University and School of Law. 

Revised May 2023 

PDF of Tuition Benefits

Roger Williams University Policy and Procedure Tuition Benefits Policy

Purpose

The purpose of the tuition benefits provided under this program is to encourage and assist eligible employees and their dependents to obtain a college level education. As an institution of higher education, encouraging and supporting higher learning for and among its employees and their dependents is important. 

Scope

This policy applies to all full-time, permanent employees with at least 6 months of continuous service prior to start of the course. Where there is conflict between CBAs and this policy, whether by inclusion or exclusion of terms, the CBA’s express terms only govern. 

Provisions

A. Tuition Remission

Eligible employees as defined under SCOPE, the employee’s spouse or formally registered domestic partner (consistent with controlling health benefits policy and procedural parameters) and that employee’s legally dependent children who are 23 years of age or younger at the start of the semester for which tuition remission is sought, are eligible. Students may enroll tuition-free in any undergraduate degree program or graduate course or graduate degree program, excluding the RWU School of Law, graduate programs in the Gabelli School of Business, Real Estate in Cummings School of Architecture, and Master’s in Law, on any permanent campus both maintained and operated by the University. This benefit is specifically subject to and modified by the following provisions:

1. The University will only waive the cost of tuition. This does not include the cost of books, supplies, lab fees or any other fees associated with the course(s). 
2. Legally dependent children of an employee, for purposes of this policy only, are those claimed on the federal income tax return of the employee or those claimed on the federal income tax return of the employee’s partner (as defined above) and living in the same household as the employee for at least six (6) months before tuition remission is sought.
3. Participation in this program by an eligible employee is contingent upon the reasonable discretion of the University that the course(s) do/does not conflict with an employee’s employment responsibilities, where the conflict is not directly interfering with the scheduled reporting hours. Where there is a conflict in reporting protocol, release time for any higher learning opportunity is at the complete discretion of the University.
4. The University’s “London Program”, is considered “maintained and operated” by the University for the purposes of the Tuition Remission hereunder. It is the only University affiliated program outside the continental United States that qualifies for Tuition Remission under this policy.
5. A minimum cumulative grade point of average of 2.0 is required to receive tuition remission. If benefiter falls below the minimum GPA of 2.0, tuition remission benefits will be discontinued and will not be reinstated until the cumulative GPA is a 2.0 or greater.
6. If an employee terminates employment during the semester in which tuition remission is provided to any of the eligible beneficiaries under this policy, that employee is responsible for the full cost of tuition.
7. This benefit does not apply to special programs, certificate programs, institutes, individual instruction, auditing a course, directed or independent study, most study abroad programs, Summer Academy, Emerging Artist and other courses offered outside the University catalog.
8. All rules and regulations of the University, such as normal admission standards, academic requirements for admission to courses, academic standing, personal conduct and payment of all fees, tuition balances and finance charges (where applicable), must be satisfied by the employee/dependent.
9. Students eligible for Tuition Remission are not eligible for any RWU institutional grants or endowed scholarships awarded by RWU.  If program is not eligible for Tuition Remission, such as study abroad, RWU Aid reverts back for that particular term.  A student may not be eligible for both RWU Aid/Endowed Aid and Tuition Remission in the same term. This includes both merit and need based RWU gift aid. 

B. Tuition Reimbursement

Eligible employees, as defined under SCOPE, may request tuition reimbursement from the University in order to attend another institution of higher education on the basis that the course of study leading to a degree will directly benefit the University and that the course of study is not offered by the University. This program is not limited to an undergraduate degree program, but is limited to a maximum of six (6) credit hours per semester.  The dollar value for reimbursement is limited to the IRS non-taxable threshold (currently $5,250) per calendar year. This grant is subject to the following provisions:

1. Should the recipient voluntarily leave the University before five (5) years have lapsed following proper, approved completion of the authorized course of study, the recipient shall repay the University as follows:  
   1. a. Less than two (2) years following completion of the authorized course of study, 100% of the monies must be repaid to the University.  
   2. More than two (2) but no more than four (4) years following completion of the authorized course of study, 50% of the monies must be repaid to the University.  More than four (4) but less than five (5) years following completion of the authorized course of study, 25% of the monies must be repaid to the University.
2. As a condition for tuition reimbursement, the recipient authorizes the University to deduct, up to the maximum amount provided by law, from the recipient’s salary and/or vacation accrual to recover monies it is owed pursuant to provision B.1 immediately above.  
3. Prior to any reimbursement for tuition paid to the recipient, proof of at least a passing grade and of actual payment by the recipient is required by the University. There will be no reimbursement for any course in which a failing grade is achieved.  
4. The University’s Tuition Reimbursement may be revoked by the University should the recipient fail two or more courses under the period of the reimbursement, in which case provision B.1. shall apply.
5. All requests for tuition reimbursement will require the divisional Vice President signature and approval prior to the start of the course.

C. Tuition Exchange

The Tuition Exchange Program (TEP & CIC) at Roger Williams University has been established to provide a college education for dependent children of eligible employees, as defined under SCOPE, at institutions other than RWU which are members of the incorporated organization known as Tuition Exchange.  Approval will be made for credits leading to an undergraduate degree only. All students must be full-time students.

1. Scholarship Availability: The number of scholarships allowed is based on a balance of the number of children from member TEP & CIC institutions attending Roger Williams University (imports) and the number of RWU employees’ children attending other member TEP & CIC institutions (exports). The number of scholarships awarded may vary accordingly.  
   1. Each student is limited to one 4-year undergraduate degree though the Tuition Exchange Benefit.  
   2. Eligibility for Tuition Exchange Benefits does not guarantee acceptance and/or scholarship to member institutions.
2. Scholarship Awards: The amount of the award is the full cost of tuition of the member TEP & CIC colleges or the maximum annual allowable amount under the TEP or CIC program.
   1. Some TEP & CIC member institutions may require some reimbursement towards tuition in addition to the scholarship amount. Financial aid awards may be included by the member institution in determining scholarship awards.

Revised August 2024 (Originally Approved and Adopted December 2017 by President Donald J. Farish) 

PDF of Vacation Policy

Roger Williams University and Roger Williams University School of Law Non-Aligned Vacation Policy

 (Revised 11.15.24)

Purpose

To define Roger Williams University and Roger Williams University School of Law (the University’s) policy and procedure regarding eligibility for vacation, calculation of vacation amounts and guidelines for the use of vacation. 

Scope

This policy applies to all regular non-aligned full-time and part-time  positions. For nonaligned part-time positions, vacation is earned and accrued on a pro-rata basis for employees regularly scheduled to work twenty (20) or more hours per week. Those employees covered under a collective bargaining agreement must refer to the appropriate contract. 

I. Vacation Accruals

Vacation accrual begins immediately upon date of hire in a benefit-eligible class. Years of continuous University service are calculated on an employee’s anniversary of employment. Vacation days or hours do not count as time worked for purposes of overtime calculations.  For accrual rates based on years of service, please visit the benefit overviews for your benefit classification posted on the HR webpage

II. Application Process for Vacation

An employee’s vacation request(s) must be submitted for approval in advance to their manager in accordance with departmental procedures. Advance managerial approval must be obtained before use. Employees must request vacation through the University’s online timekeeping system.

III. Vacation Earnings Balance Limit

Vacation will continue to accrue up to a maximum of twelve (12) months. Vacation accrual will not continue once the maximum accumulation has been earned.

IV. Change in Benefit Classification

Employees who change benefit classification, due to a change in position, or whose scheduled hours change, will have their vacation eligibility updated in the online timekeeping system accordingly.  If the change in benefit classification is a result of transferring from a non-aligned position into a faculty bargaining unit position, the employee will be paid out all accrued vacation time prior to  transferring into the new position.   For transfer out of other bargaining unit positions, the vacation balance will remain as part of your accrued vacation balance.

V. Separation from the University 

Employees separating from the University or School of Law, with one year or more of service, will receive their unused accrued vacation no later than, the next established pay date after the date of the employee’s last regular earnings paycheck.

PDF of Classification Policy & Procedure

Roger Williams University’s POSITION CLASSIFICATION POLICY & PROCEDURE PREFACE

University positions are carefully and deliberately created in response to mature organizational planning in furtherance of the university’s mission. The resulting position roster will be measured as a concise statement of organizational acumen, utilizing identified and available budget to improve upon measurable outcomes from the full array of assigned responsibilities that together constitute the university’s staffing patterns.

POLICY STATEMENT

Position Classification:

University positions are created and classified at the outset, with significant task, responsibility and volume latitude, representing a position roster derived from prudent attention to short and long term employment initiatives. Positions and position families are classified to accurately reflect comparable differences in scope and complexity of responsibility, expertise (including continually changing levels of expertise demanded by the discipline), accountability of performance, impact of performance upon the university’s successful operation and market pricing. Growth and alteration of assignments and focus within a position are planned, expected and accordingly classified. It is not a reason to reclassify a position.

Position Reclassification:

Position reclassification is a deliberate, significant and authorized adjustment to the character of the university’s diversified position roster. Whether arising from the slow but authorized evolution of a position to accommodate increasing departmental demands or as a result of planned restructuring of responsibilities in furtherance of effective, efficient delivery of service, the decision to reclassify a position is nevertheless a decision to adopt and fund a newly recognized position. Therefore, reclassification shall occur only when the university determines, incumbency aside, that the good faith submission (1) is founded in fact, (2) defines adjustments in prior position responsibilities that are so significant that a new position has been or need be created (3) is fiscally prudent, and (4) best meets the university’s needs.

A reclassification is neither an acceptable alternative compensation program nor a proper response to a mere increase in volume of work, but a concise measure of prudent managerial planning and commitment toward university excellence. As such, it is a decision reserved to university senior staff, will be exercised with full and deliberate accountability and is considered an exception to the regular compensation and classification program of the university. Except and only when classification, consistent with this policy, is planned at the outset to evolve into one or more reclassifications as operations and affiliated personnel needs mature, reclassifications, by definition, will be infrequent and not driven by informal work level adjustments, but by formal, approved personnel planning. A pattern of unscheduled reclassifications requests indicates, at least, a lack of managerial prudence and planning.

The basis of proposed reclassification must then be founded in a good faith submission that the position’s characteristic responsibilities, accountability, complexity, difficulty, impact and ultimately, its value to the university have changed significantly as the necessary evolution of a cohesive, productive, fiscally responsible, staffing pattern.

PROCESS

1. Both initial position classification and position reclassification demand the same type and level of construction and review. All position authorization and initial classification or reclassification review will commence only upon the directive of the university’s President or appropriate Vice President (Initiator) following consultation with the Vice President for Human Resources and those members of the university’s managerial staff responsible for proper administration of the position and its expectation and attributes. Reclassification review may be requested no more than once per year by the incumbent of a position with at least one full year of appointment to the position, prior to the request and the interval between requests must be at least one year. However, reclassification review will be commenced only upon the express endorsement of the applicable Initiator.
   1. The Vice President for Human Resources, where program review indicates a significant, unannounced and continuing position adjustment, may, following consultation with the appropriate Vice President, commence a review in accordance with this policy and procedure.
2. The process is initiated by the completion and submission of a Classification/Reclassification Request Form to the Department of Human Resources. The form must be signed as a formal proposal by the relevant Initiator and the submission must include the following documentation:
   1. Formal, detailed business and organizational rationale for the position creation or change (even if supporting a temporary adjustment).
   2. Organization impact statement. This must include organization charts prior to and following the proposed action. Additionally, an explanation must be provided of how, or if, the proposed action will (or has) significantly affected other positions within the department, division or operations area.
   3. Completed position questionnaire or proposed job description in authorized format, concerning the position for which evaluation is being requested.
3. A classification or reclassification request will then be reviewed and the position analyzed by the Department of Human Resources. Those meeting all of the above prerequisites will be evaluated against the following, relevant criteria:
   1. Standardized Compensation Evaluation Tool (e.g., Hay Pt. Factor, Paired Comparison)
   2. External, validated, market data and survey studies
   3. Reciprocal impact on proper classification where other positions holding similar responsibilities exist. Notification to and consultation with the Initiator and/or the Initiator’s express managerial designee, directly responsible for the position’s performance delivery, will occur if documentation is incomplete, or additional discussion is warranted.
4. In consultation with, consistent with and following the evaluation by the Department of Human Resources, the final determination to adopt or reject the proposed classification/reclassification shall be made by the Initiator responsible for position authorization, in accordance with the university’s Employment Processing Policy and Procedure and budgetary constraints. The following will then occur:
   1. Classification: The position(s) will be populated and salary(ies) initially set within the position’s compensation parameters and as further restricted by such applicable salary policy(ies) governing the particular position. As a general rule, newly hired employees will not be placed in a position above the midpoint of the wage range of the position. Placement above the midpoint denotes an assessment by the Initiator that the person selected to fill the position is both fully credentialed and predicts immediate, significant, superior performance results.
   2. Reclassification: Notification to the incumbent of the final decision will be made by either the Department of Human Resources or the Initiator as directed by the Initiator. The incumbent of the proposed reclassification will then experience one of the following resolutions:
   3. Salary Base Adjustment: Remain in the recertified position with salary adjustment upward or downward, consistent with governing policy(ies). This will occur where the incumbent is found qualified for the reclassified position holding a different salary grade than the prior position.
   4. NonBase Adjustment: Remain in the recertified position, with or without adjustment in responsibilities and without adjustment in base salary, but with a fixed value, nonbase adjustment in pay to reflect temporary, authorized performance at a higher salary level than determined to be warranted by the recertified position. This will occur where the submission is founded in fact and defines a level of compensably elevated responsibilities for a defined period of time but is either not fiscally prudent or determined by the university not to best meet its continuing needs.
   5. Preferred Candidate Status: Preferred candidate status and pending layoff if not selected as the successor to the reclassified position. This will occur where either the incumbent’s measured qualifications are deemed reasonably uncertain for that demanded by the reclassified position, or the reclassified position is in an area of employment where there is both significant underutilization of women and/or minority candidates (as measured and reported by the Department of Human Resources and concerning the university’s equal employment opportunity program) and an identifiable pool of underutilized prospective candidates. During the pendency of final determination as to the successor to the reclassified position, the incumbent will be afforded that compensation determined appropriate to the reclassification, as set out herein.
   6. No Change: Incumbent will remain in the position as recertified, being deemed qualified for the recertified position, but will not receive any compensation adjustment. This will occur when the job as reviewed warrants no increase in pay whether or not job duties are altered.
5. Compensation Adjustments Following Reclassification: There shall be no expectation of a positive salary adjustment accompanying a reclassification. Compensation adjustments will occur only when the effective administration of the university’s salary structure and program demand it.
6. All positive adjustments shall be implemented as of the date that the university finds that positional changes became both significant enough and of a permanent nature to warrant reclassification, but in no event earlier than the date the formal authorization to proceed with a classification review is either received or initiated by the Vice President ofHuman Resources. Positive salary adjustments shall be effected such that:
   1. General Rule: Except and only under the circumstance set out immediately below, all salary increases shall be limited to a maximum increase of 5% or that increase necessary to achieve placement at the base of the reclassified salary range, whichever is greater. To illustrate, if an employee’s salary is $40,000 and at the 50 th percentile, and the reclassified salary range is $40,000 to $60,000, the employee will receive up to a $2,000 increase to $42,000.
   2. Performance Certified Alternative: If and when the incumbent has, of record, been previously identified in a fully executed annual performance evaluation as highly successful in performance of the position, specifically including performance of those responsibilities that resulted in the reclassification, the increase may exceed that set out by the “General Rule” above, but under no circumstance shall the increase exceed that amount that will maintain the employee’s relative position in the salary range of the deleted position. To illustrate, if an employee’s salary is at the 60th percentile of the deleted position’s salary range and it is determined that the employee was performing those duties that resulted in reclassification at a highly successful level, that employee may be placed on the new position’s salary range at a salary no higher than the 60th percentile of the new position’s salary range. The final, fully accountable decision as to the proper increase will be made by the Initiator, after considering, in addition to positive performance of the reclassified position responsibilities, position valuation, market competitiveness, and fiscal responsibilities.
   3. All negative adjustments shall be implemented in the first full pay period following the date that the university formally notifies the reclassified position incumbent of the university decision. Negative salary adjustment shall be effected such that:
   4. Incumbents shall be placed no lower than their relative position in salary scheme. Conversely, incumbents will be placed no higher than either their former salary or the ceiling of the new range whichever is less. To illustrate, if an employee’s salary is $50,000 and at the 60 th percentile of the deleted position and the salary range of the successor position is $20,000$ 40,000 (60 th percentile equals $32,000), the employee will be placed no lower than $32,000 and no higher than $40,000. The final, fully accountable decision will be made by the Initiator, following consultation with the Department of Human Resources and after having considered relative position valuation, market competitiveness, prior performance and fiscal responsibilities.
7. Reclassification Appeals: An employee, either denied reclassification or whose request for reclassification initiation is rejected two consecutive times by the Initiator, may forward an appeal of the determination as follows.
   1. Within thirty (30) calendar days of written notification of the university’s reclassification determination, the incumbent (Appellant) or the Initiator on behalf of the Appellant, may file a written appeal to the University Classification Appeal Committee (UCAC). The appeal must set out the basis for the appeal and the facts in support of the appeal. – or – Within fifteen (15) calendar days of written notification to the position’s incumbent, of the Initiator’s second rejection of a reclassification request, the Appellant may file a written appeal to the UCAC. The appeal must set out all facts in support of the appeal with requisite detail to enable a credible review of the record. The UCAC is comprised of the Vice President for Human Resources as chair and two other Vice Presidents; one selected by the Appellant and one selected by the VP of Human Resources. The Initiator may not serve on the UCAC.
   2. The UCAC shall convene, review the written appeal and upon either a specific request of the Initiator, or the Appellant or at its discretion, shall hold a hearing wherein the evidence is tested and the appealed decision reexamined. The UCAC shall issue a written response to the Appellant, with rationale for its determination to either uphold the original decision(s) or modify same, in accordance with governing policy and its findings of fact. This response will issue within thirty (30) days of the hearing or fortyfive (45) days of the UCAC’s receipt of the written appeal, whichever is later. This decision by the UCAC shall be final and binding.
   3. The basis for an appeal of a reclassification decision shall be limited to: (1) The position has not been accurately described and therefore a reasonable evaluation could not be accurately completed. (2) The evaluation of the position was conducted inaccurately. The standard of review is whether there was a reasonable basis for the classification of the appealed position. There need not be a reevaluation of the position by the UCAC.
   4. The basis for an appeal of a rejection of a reclassification request may only be that the determination was arbitrary and capricious and that the employee was actually required to continuously work outside the scope of the classified position. The burden of proof rests with the employee. A successful appeal will result in a reclassification review.
   5. All salary actions are held in suspense pending resolution of the appeal. Effective dates of any compensation adjustment are as described above. An unsuccessful appeal will result in a disqualification of the Appellant’s right to request reclassification review for two years from date of UCAC finding.

EXCEPTIONS

Exceptions to policy and procedure herein set out are strictly reserved for the President.

PRACTICES & PROTOCOLS

The internal practices and protocols attendant to administration of the Classification/Reclassification Policy and Procedure of the university are in accordance with and found in the University’s Employment Processing Policy and Procedure, herein incorporated by reference, and are otherwise to be interpreted as consistent with standing protocols as same are amended and announced from time to time.

PDF copy of Compensation Controls

Roger Williams University and Roger Williams University School of Law Policy Change – Compensation Controls - RWU Changes to the Compensation Policies and Related Controls 

The President of the University is authorized to approve exceptions to the compensation policies should a case exist where it is warranted and beneficial to the organization.  The key is to provide a reporting mechanism to ensure that abuses do not occur. In addition, there should be an additional review on exception items that are above the normal ranges identified by the University. The following represents clarification to our procedures to ensure the propriety and transparency of exception items: 

1. Merit Awards Within Authorized Salary Bands: In addition to the required signatures currently, any annual merit award within the appropriate salary band which is greater than 10% of the employee’s base salary will be reviewed and approved by the Executive Vice President for Finance and Administration. Once approved, all merit increases are forwarded to the President for final approval. Merit awards greater than or equal to 20% of the employee’s base salary will be forwarded by the President to the Chairman with justification for the increase.  Any merit awards approved at a level of 20% or higher are to be reported quarterly to the Audit Committee of the Board of Trustees along with the justification for the award. 
2. Merit Awards Above Authorized Salary Bands: In addition to the required signatures currently, any annual merit award that raises the employee base salary above the maximum of the salary band is to be reviewed and approved by the Executive Vice President for Finance and Administration.  All requests are then forwarded to the President for approval or denial.  Any awards above the maximum of the salary band and approved by the President will be forwarded to the Chairman for final approval.  If approved, the awards are to be reported quarterly to the Audit Committee of the Board of Trustees with justification for the award.
3. Re-Classifications and Promotions Any re-classification or promotion that provides a 20% increase or more in base salary or in combination with other compensation increases within the same fiscal year that provides an increase of 20% or more in base salary is to be reviewed by the Executive Vice President for Finance and Administration prior to submission to the President.  If not approved, the reclassification /promotion is placed on hold and the full compensation review is forwarded to the President for final approval or denial. Any compensation increases above 20% which are approved by the President will be forwarded to the Chairman with justification for the increase. Any reclassification or promotion approved at a level of 20% or higher will be reported to the Audit Committee of the Board of Trustees quarterly with justification for the change in compensation. 
4. New Positions Requiring Unbudgeted Funding In addition to the signatures required currently, any new positions that require additional budget funding is to be reviewed by the Executive Vice President for Finance and Administration. If approved the position request is forwarded to the President for final review and approval. A list of unbudgeted new positions approved by the President is to be provided quarterly to the Finance Committee with justification for the position. 
5. Exceptions  Where the merit, re-classification or promotion award is greater than 20% the following conditions will factor into whether the greater than 20% increase complies with the Classification Policy & Procedure, the Employment Processing Policy & Procedure, applicable bargaining unit contract or other related policies.   Circumstances that would apply to the allowance of a greater than 20% increase include: 
   1. A change from part time to full time or a change in employment status from student to staff; 
   2. A mandatory wage dictated by grant/contract provisions. 
   3. Increase in schedule of hours resulting in a 20 % or greater increase in pay. 
   4. Temporary employees hired for a specified period of time.  
   5. Temporary employees moving into permanent positions. 
   6. Bring to minimum of salary grade.

Summary 

The intent of these changes is to manage the exception items with appropriate controls without interfering with the standard compensation transactions that fall within normal ranges for the University.  A second review at the Executive Vice President level along with the regular reporting of exceptions will provide additional transparency into any recommended exceptions. 

Adopted by Cabinet 10/13/2010 Revised 10/6/2016