University Policies

UNIVERSITY POLICIES

Office of Human Resources

UNIVERSITY POLICIES

TABLE OF CONTENTS

BLOODBORNE PATHOGENS STANDARD...... 4 BUSINESS CONFLICT OF INTEREST REPORTING GUIDELINES, POLICY...... 4 POLICY ON BUSINESS CONFLICT OF INTEREST...... 4 POLICY STATEMENT...... 4 DEFINITIONS...... 4 PROCEDURES...... 4 EXAMPLES...... 5 FAMILY AND BUSINESS RELATIONSHIPS AMONG THE ROCKEFELLER UNIVERSITY TRUSTEES, OFFICERS AND KEY EMPLOYEES...... 5 CODE OF CONDUCT...... 6 THE ROCKEFELLER UNIVERSITY WHISTLEBLOWER POLICY...... 8 POLICY ON RESPONSIBLE USE OF UNIVERSITY COMPUTING RESOURCES...... 9 POLICY STATEMENT...... 9 DEFINITIONS...... 9 SECURITY OF UNIVERSITY COMPUTING RESOURCES...... 10 RESPONSIBLE USE OF UNIVERSITY COMPUTING RESOURCES...... 10 POLICY VIOLATIONS – EXAMPLES...... 11 EFFECT AND INCORPORATION BY REFERENCE...... 11 REPORTING A VIOLATION OR MAKING INQUIRIES...... 11 EFFECTIVE DATE...... 11 THE ROCKEFELLER UNIVERSITY POLICY ON FINANCIAL CONFLICT OF INTEREST IN RESEARCH...... 12 THE ROCKEFELLER UNIVERSITY POLICY ON CONFLICT OF COMMITMENT IN RESEARCH...... 16 THE ROCKEFELLER UNIVERSITY POLICY ON FINANCIAL CONFLICT OF INTEREST IN HUMAN PARTICIPANT RESEARCH...... 17 POLICY ON INSTITUTIONAL CONFLICT OF INTEREST IN CLINICAL RESEARCH...... 19 CONFLICT OF INTEREST POLICY GOVERNING BUSINESS PRACTICES...... 21 EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION POLICY...... 22 EQUAL OPPORTUNITY POLICY...... 22 AFFIRMATIVE ACTION POLICY...... 22 APPLICATION OF EQUAL OPPORTUNITY AND AFFIRMATIVE ACTION POLICIES...... 23 WORKPLACE HARASSMENT, INCLUDING SEXUAL HARASSMENT...... 23 COMMITMENT TO NON-RETALIATION...... 23 HOW TO REPORT A VIOLATION OF THIS POLICY...... 23 AUDIT SYSTEM...... 23 RESPONSIBILITY FOR IMPLEMENTATION...... 24 GRIEVANCE PROCEDURE...... 24 THE ROCKEFELLER UNIVERSITY HOUSING POLICY...... 25 POLICY ON INDUSTRIAL SPONSORSHIP OF RESEARCH...... 27 BASIC PRINCIPLES...... 27 SCOPE OF RESEARCH CONTRACTS...... 27 TERM AND STABILITY...... 27 STAFF...... 27 DOCTORAL STUDENTS...... 27 UNIVERSITY POLICIES

FACILITIES...... 27 PROGRAM REVIEWS...... 27 SCIENTIFIC PUBLICATIONS AND MEETINGS...... 28 BUDGET AND PAYMENT SCHEDULE...... 28 FUNDING OF RELATED PROJECTS...... 28 FINANCIAL ACCOUNTABILITY...... 28 SPONSOR’S SUPPORT FOR INSTITUTIONAL PURPOSES...... 28 VENTURE CAPITAL AND SMALL BUSINESS SPONSORSHIP...... 28 LIAISON AND COLLABORATION WITH THE SPONSOR...... 28 FACULTY CONSULTING TO SPONSOR...... 29 PATENTS, LICENSES AND ROYALTIES...... 29 PROPRIETARY INFORMATION...... 29 PUBLICITY ABOUT CONTRACTS...... 29 KEY UNIVERSITY PROCEDURES...... 29 INTELLECTUAL PROPERTY POLICY...... 30 JOB POSTING POLICY...... 34 ELIGIBLE EMPLOYEES...... 34 POSITIONS POSTED...... 34 POSTING PERIOD...... 34 TRANSFER POLICY...... 34 SELECTION...... 35 PROCEDURE...... 35 LABORATORY CARE AND ANIMAL USE...... 35 INTRODUCTION...... 35 EXPERIENCE AND TRAINING...... 35 CONCERNS...... 35 NEW YORK CITY LACTATION ROOM ACCOMMODATION POLICY...... 36 USE OF ROCKEFELLER UNIVERSITY LICENSED PRODUCTS...... 36 LOAN PLAN FOR PREPAID TUITION...... 37 MINORS IN WORK AREAS OF THE UNIVERSITY...... 37 GUIDELINES ON MENTORING A MINOR IN THE LABORATORY...... 37 NON-DISCRIMINATION, ANTI-HARASSMENT, AND ANTI-RETALIATION POLICY...... 38 POLICY STATEMENT...... 38 DEFINITIONS...... 38 INDIVIDUALS AND CONDUCT COVERED...... 39 COMPLAINT PROCEDURE...... 39 Reporting an Incident of Harassment, Discrimination, and/or Retaliation...... 39 The Investigation...... 40 Responsive Action...... 40 ADDITIONAL EXTERNAL AVENUES OF REDRESS FOR SEXUAL HARASSMENT CLAIMS...... 40 PERSONAL RELATIONSHIPS POLICY...... 41 THE ROCKEFELLER UNIVERSITY INTERIM POLICY FOR ALLEGATIONS OF SEXUAL MISCONDUCT CONCERNING A STUDENT (POLICY UNDER TITLE IX AND NY EDUCATION LAW ART. 129-B)...... 42 UNIVERSITY POLICIES

POLICY STATEMENT...... 42 PURPOSE OF THIS POLICY...... 42 INDIVIDUALS AND CONDUCT COVERED...... 42 DEFINITIONS...... 43 AMNESTY POLICY FOR ALCOHOL AND/OR DRUG USE BY REPORTING INDIVIDUALS...... 52 UNIVERSITY STUDENTS’ BILL OF RIGHTS RELATING TO SEXUAL VIOLENCE, RELATIONSHIP VIOLENCE, AND/OR STALKING...... 52 GUIDELINES AND IMPLEMENTING PROCEDURES ...... 53 Response to Complaints or Reports ...... 53 Resources Available to University Students...... 54 University Protections and Accommodations for Its Students...... 54 Procedural Rights...... 55 Sanctions...... 55 NON-SMOKING POLICY...... 56 OCCUPATIONAL HEALTH SERVICE...... 56 PAY TRANSPARENCY NONDISCRIMINATION PROVISION...... 56 PERSONAL COMMUNICATION DEVICE AND SERVICE POLICY...... 57 CIRCUMSTANCES UNDER WHICH PCDS MAY BE REQUESTED...... 57 APPROVAL PROCESS FOR PURCHASE OF PCDS...... 57 PROCEDURE FOR ORDERING OR UPGRADING PCDS OR SERVICE...... 57 PROCEDURE FOR MODIFYING OR TERMINATING PCD SERVICE...... 57 PERIODIC REVIEW...... 58 GUIDELINES FOR THE USE OF PCDS...... 58 QUESTIONS ABOUT THIS POLICY?...... 58 RADIATION MONITORING POLICY...... 58 RESEARCH MISCONDUCT POLICY AND PROCEDURE...... 59 RESPONDING TO AN ON-CAMPUS VIOLENT FELONY OR A MISSING PERSON REPORT...... 62 STATIONERY USAGE POLICY...... 62 SUBSTANCE ABUSE POLICY...... 63 THE HEALTH RISKS OF ALCOHOL USE AND ABUSE...... 63 THE HEALTH RISKS OF DRUG ABUSE...... 64 FEDERAL TRAFFICKING PENALTIES...... 64 FEDERAL PENALTIES AND SANCTIONS FOR THE ILLEGAL POSSESSION OF CONTROLLED SUBSTANCES...... 64 NEW YORK STATE AND CITY PENALTIES FOR DRUG POSSESSION...... 64 PENALTIES FOR UNLAWFUL DISTRIBUTION OF ALCOHOL...... 64 DRIVING WHILE INTOXICATED (DWI)...... 64 RECREATIONAL MARIJUANA...... 64 MEDICAL MARIJUANA...... 65 VIOLATIONS OF THE SUBSTANCE ABUSE POLICY...... 65 CHART A...... 66 CHART B...... 67 CHART C...... 68 BLOODBORNE PATHOGENS STANDARD

The University has developed an Safety & Environmental Health. during their orientation and to “Exposure Control Plan” and has Under the HBV vaccination program, the new staff members during the instituted a Hepatitis B virus (HBV) any employee may receive an HBV Employee Safety Course. vaccination program in compliance vaccination free of charge. The HBV For more information on the with the OSHA Bloodborne vaccination program is administered University’s Occupational Health Pathogens Standard. Copies of the by Occupational Health Services. Program, please see the Laboratory “Exposure Control Plan” are available Initial training required by the Safety and Environmental Health in Human Resources, Occupa- standard is supplied by Laboratory web page. tional Health Services, and Laboratory Safety to new faculty members

BUSINESS CONFLICT OF INTEREST REPORTING GUIDELINES, POLICY ANNUAL REPORTING GUIDELINES

Annually, each Trustee, non-Trustee Committee member, officer and Key Employee is asked to fill out the attached disclosure form. Having your information enables the University to learn whether a business conflict of interest exists and whether it must be disclosed on the University’s Form 990 (which will become publicly available as required by law).

POLICY ON BUSINESS CONFLICT OF INTEREST

POLICY STATEMENT: • a Trustee, non-Trustee Committee member, officer or Trustees, non-Trustee Committee Members, officers Key Employee, and Key Employees (as defined by the Internal Revenue • their Family Member, or Service)1are expected to act in the University’s best interest, • an entity of which any of these individuals is a director, carry out their responsibilities to the University in a trust- trustee, officer, Key Employee or owner. worthy manner and take care to avoid situations that could present a conflict of interest (defined below) or an appear- Family Member. A “Family Member” is ance of a conflict. • a spouse or ancestor, Trustees, non-Trustee Committee Members, officers • a sibling, child, grandchild or great-grandchild, or and Key Employees who authorize or influence purchases • the spouse of a sibling, child, grandchild or great-grand- or the choice of vendors/consultants or have knowledge of child. or access to confidential or proprietary University information should be particularly mindful of potential conflicts of Business Transaction. A “Business Transaction” includes but interest. is not limited to a contract of sale, lease, license, insurance, performance of services or joint venture, in which the Uni- 2 DEFINITIONS: versity has a business interest or relationship. Conflict of Interest. An apparent, potential or actual conflict PROCEDURES: of interest may arise if an Interested Person: • is engaged in a Business Transaction or has an actual or Annually, each Trustee, non-Trustee Committee Member, potential financial or other interest that could cause an in- Officer and Key Employee (and for each Trustee, before dependent observer reasonably to question whether the Interested his or her initial election) is required to complete a Busi- Person’s professional actions or decisions for the University are ness Conflict of Interest Disclosure Form, providing full or could be influenced by considerations of personal, business or information about any Policy-relevant Business Transaction, familial financial or other gain; or financial or other interest and/or financial or other benefit • receives a financial or other benefit from knowledge of from knowledge of confidential or proprietary University confidential or proprietary University information. information. During the year, an individual also must dis- • A conflict of interest may exist even if the actions, deci- close promptly any apparent, potential or actual conflict of sions or knowledge would not harm the University. interest that arises and was not disclosed previously. Com- Interested Person. An “Interested Person” is pleted forms should be sent to the Corporate Secretary, who will provide a copy of all completed forms to the Chair of

1 The University will determine annually the identity of Key Employees, if any, at the University. 2 For a former Trustee, officer or Key Employee (within the last five tax years), a Business Transaction includes a transaction between the University and a management company of which the former Trustee, officer or Key Employee is a direct or indirect 35% owner, or an officer, director or trustee.

4 | the Audit Committee. EXAMPLES: The University will determine whether any existing The following examples are illustrative of apparent, or proposed transaction or its circumstances creates an ap- potential or actual conflicts of interest parent, potential or actual conflict of interest, warranting 1. A is an officer in an administrative department at the review and action by an appropriate Board Committee. University and has purchasing authority for his depart- In the event an individual who is an Interested Person ment. His sister owns X, a public relations company, or is reporting a relationship with an Interested Person (as from which the University purchases services. A should defined above) has an apparent, potential or actual conflict disclose this situation and family relationship, even if the of interest, the individual will disclose, in good faith, the University engaged in a competitive bidding process and material facts concerning the interest for consideration by X submitted the winning bid. the Committee. The Committee may ask the individual to provide supplemental information, but the individual will 2. The Audit Committee votes each year to approve the not participate in, be present at or inappropriately influence appointment of the University’s auditors, Y, a partnership. the final deliberations or vote on the matter. While review Committee member B announces at the Audit Commit- is pending, the individual will recuse himself or herself from tee meeting that he has an apparent, potential or actual engaging in the matter under consideration at the Uni- conflict of interest because B’s daughter just became a versity. Typically, the solution for dealing with conflicts of partner at Y. B should disclose this situation and family interest is disclosure and management of the conflict. relationship and not participate in the auditor decision. New York law requires that this Policy describe the 3. The University has invested in Z, a real estate joint process by which the University determines whether it will venture. C, who recently became a Trustee, also has an enter into a proposed transaction that would give rise to investment interest in Z. The University is considering a conflict of interest for an Interested Person. Before the whether to change its investment interest in Z. C should University may enter into such a proposed transaction, the disclose his investment interest in this joint venture and Committee must determine that the transaction is fair, rea- should not participate in any investment decision by the sonable and in the University’s best interest. If an Interested University. Person has a substantial financial interest in the proposed Policy titled “Conflict of Interest Policy Governing Business transaction, the Committee must consider alternative trans- Practices for Trustees and Officers Only”, effective March actions for the University, to the extent any are available, 2006; revised and re-titled “Policy on Business Conflict of and approve the proposed transaction by a vote of not less Interest” on July 1, 2010, and further revised in November than a majority of the Committee members present at the 2011, September 2013 and November 2014. meeting. December 2016 A contemporaneous record of Committee meetings, reflecting the existence, nature and resolution of a conflict and, when required by law, consideration of any available alternative transactions, will be made.

FAMILY AND BUSINESS RELATIONSHIPS AMONG THE ROCKEFELLER UNIVERSITY TRUSTEES, OFFICERS AND KEY EMPLOYEES

REPORTING GUIDELINES : A Business Relationship exists between RU Persons The University is required to report on its Internal Revenue when: Form 990 Return (which will become publicly available as (a) One RU Person is employed by the other RU Per- required by law), family and/or business relationships among son, or by an organization of which the other RU Person Trustees, officers, and/or Key Employees of The Rockefeller is a trustee, director, officer, or greater than 35% owner; University (collectively “RU Persons”).3 (b) One RU Person transacts business, other than on terms that are generally offered to the public in the ordinary A Family Relationship exists if an RU Person is course of business, with the other RU Person or with an • the spouse or ancestor of another RU Person; organization of which the other RU Person is a trustee, • the sibling, child, grandchild, or great-grandchild of director, officer, or greater than 35% owner; or another RU Person, or (c) The RU Persons are each a trustee, director, officer, or • the spouse of a sibling, child, grandchild, or great- greater than 10% owner in the same for-profit business or grandchild of another RU Person. investment entity.

| 5 THE ROCKEFELLER UNIVERSITY CODE OF CONDUCT

A LETTER FROM THE PRESIDENT: Dear Colleagues: The following represents The Rockefeller University Code of Conduct. Reviewed by the Academic Council and the Executive Officers Group, this document is being distributed to all members of the community. We encourage you to read it carefully. At this time, the University, in common with most non-profit organizations, wishes to demonstrate its commitment to good governance and to state clearly the principles of integrity and fair dealing we will follow. The Code of Conduct does not substitute for individual responsibility and good judgment. Rather, the Code articulates the ethical and legal principles to which the University subscribes, and identifies many of the documents that set forth the University policies that address these matters. Our University is a diverse organization that is held together through common goals and consistent standards of conduct. This Code of Conduct helps clarify what we stand for and the rules by which we live.

Richard P. Lifton President

Note: Throughout the text of this Code there are references to policies closely related to the Code provisions. Those policies help to implement but do not limit the Code provisions with which they are associated.

ETHICAL CONDUCT COMPLIANCE WITH UNIVERSITY POLICIES As members of the community, we should conduct AND PROCEDURES ourselves ethically, honestly and with integrity in all deal- The University has established policies and procedures ings. We must be fair and principled in our interactions and for managing its research, business and other operations. must deal in good faith with others, both inside and outside Some are required by law and others are designed to ensure the community. We should act with due recognition of our smooth and coordinated operations. Members of the position of trust and loyalty with respect to the University’s Rockefeller community are expected to inform themselves research sponsors and donors. We are accountable to each of and comply with applicable University policies and other, to the University, and to ourselves for our actions procedures, some of which are referenced in this Code and omissions, as well as to the general public. When in of Conduct. doubt about the propriety of a proposed course of action, members of the community should seek counsel from those CONFLICT OF INTEREST colleagues, supervisors, or administrators who can assist in The Rockefeller community should be sensitive to determining the right and appropriate course. situations which could raise questions of potential conflicts or the perception of conflicts between personal interests RESPECT FOR OTHERS and the University’s or the public’s interests. As part of the The Rockefeller community is diverse – in experience, Rockefeller community, we should each consider ourselves culture, age, race, religion, and in many other ways. The to be in positions of trust and conduct ourselves accord- personal actions of each community member contribute ingly. In all our dealings, we must act with fairness and to establishing and maintaining the culture of tolerance the appearance of fairness. We must be particularly aware and respect for which we strive. While principles of free of situations where there exists a perception of conflict speech remain paramount at Rockefeller, members of the between a person’s private interests and official responsibili- community should respect the rights and dignity of others ties. Such conflicts can arise in many areas (for example, regardless of differences, and conscientiously abide by the government grants and contracts, investments, positions principles of nondiscrimination adopted by the University. with for-profit companies, and interactions with present Intolerance based on sex, religion, race, sexual orientation or prospective employees or members of the community). or politics has no place in our community. (See equal Members of the community who have a duty to report employment opportunity/affirmative action policy – page regarding conflict of interest must do so faithfully and 14; see also harassment and intimidation policies – page 25). accept the obligations inherent in the University’s policy for managing conflicts, for the protection of our research effort, our investigators and the University itself. (For specific conflict of interest policy for persons involved in research see page 11).

6 | COMPLIANCE WITH ALL APPLICABLE the use of its computers and network systems in the event LAWS AND REGULATIONS of violations of University policies, federal, state, or local The University operates in a heavily regulated environ- laws, or standards of conduct appropriate at the University. ment. Compliance with laws is essential as a matter of See related policies in this handbook and on page 7. principle. Members of the community should recognize that noncompliance can have severe adverse financial and RECORDING, ALLOCATING AND CHARGING other consequences, potentially affecting the reputation and COSTS AND EFFORT operations of the entire University. The Rockefeller com- The accuracy and reliability of financial and effort reports is munity must comply rigorously with federal, state, and local of paramount importance to the operations of the Univer- laws and regulations that apply to the performance of our sity. At all times, Rockefeller faculty and staff must record, responsibilities at the University. All have a duty to inform allocate, and charge costs and effort accurately (for those themselves, through University sources and independently, staff members requiring effort reporting) and maintain about relevant legal obligations, and to keep current supporting documentation as required by established with changes in applicable law. When in doubt about the policies and procedures. See related fiscal policies at www. interpretation of the law, community members should seek rockefeller.edu/cgi-bin/finance/policiesguidelines.cgi. advice from the Office of the General Counsel. CONFIDENTIAL INFORMATION COMPLIANCE WITH CONTRACTUAL, The University is entrusted with many kinds of confiden- GRANT, AND OTHER OBLIGATIONS tial, proprietary and private information. It is imperative The Rockefeller University is committed to adhering to its that those who have access to this information make no contractual obligations to donors, the government, suppliers unauthorized disclosures of the information, either during and others. The University will adhere to its contractual or after affiliation with the University. requirements and will fulfill its contractual obligations. In any instance where particular contractual or grant GIFTS, GRATUITIES AND “KICKBACKS” requirements are difficult to interpret or apply, Rockefeller The Rockefeller University and its vendors must be free of personnel should consult with their Head of Laboratory any taint. Members of the community should not accept or supervisor. See related Rockefeller University policies any material gift, gratuity, or other payment, in cash or in at www.rockefeller.edu/cgi-bin/finance/researchadmin/ kind, from any vendor seeking to do business or currently index.cgi; also see sponsored program policies at www. doing business with the University. For example, an accept- rockefeller.edu/osp/files/forms.html. able gift may be a fruit basket received at holiday time and shared with the recipient’s department. Cash is never an STEWARDSHIP OF UNIVERSITY PROPERTY acceptable gift. See related procurement policies at www. AND FUNDS rockefeller.edu/purchaseandsupply/policies.php As stewards of University property and funds, and with a responsibility to the University’s contributors, including HEALTH, SAFETY AND THE ENVIRONMENT donors and federal, state, and local governments, the The Rockefeller University is committed to providing safe Rockefeller community should treat University property and healthy work environments at its facility for all members with care, as if it were our own property, and must expend of the community and for our visitors. We are committed funds prudently. University property should be used to providing employees with a drug-free workplace and only for appropriate University purposes (and occasional to compliance with the New York City smoking law. We incidental personal use of minimal value); wastefulness are dedicated to designing, constructing, maintaining and should be avoided. Our acts should reflect the recognition operating facilities that protect our people and physical of an obligation to use University property consistent with resources. It is our policy to comply with all applicable health the tax-exempt status conferred on the University. See and safety laws and regulations, to provide and require the related policies in this handbook. use of adequate protective equipment and measures, and to insist that all work be done in a safe and responsible manner. USE OF COMPUTERS AND ELECTRONIC It is the responsibility of each member of the Rockefeller COMMUNICATIONS community to follow all University policies and procedures The University’s policy on the use of computers, computer related to workplace health and safety. Rockefeller is also networks, and ancillary communications equipment pledged to being an environmentally responsible corporate calls for ethical behavior on the part of all campus users. citizen. We are committed to minimizing the impact of our Any information transmitted to, received from, or stored facility on the environment with methods that are socially via the University’s computers, computer networks, and responsible, scientifically based and economically sound. See ancillary communications equipment and services is the related policies at www.rockefeller.edu/lab/policiesProce- sole property of the University (or otherwise subject to dures.php; see also the Smoking Policy on page 36 and the copyright protection). The University may restrict or deny Substance Abuse Policy on page 37.

| 7 REPORTING SUSPECTED IMPROPER CONDUCT CONSEQUENCES OF VIOLATIONS Members of the Rockefeller community should report Violations of this Code of Conduct, of laws and regula- material violations of this Code of Conduct, laws and tions, or of University policies and procedures may carry regulations, or University policies and procedures to one disciplinary consequences, up to and including dismissal. or more of the following: a supervisor, the Vice President for Finance, the Vice President for Human Resources, NO RIGHTS OR CLAIMS the Vice President for Academic Affairs, the University’s This Code of Conduct and the University Policies are not General Counsel or the Chair of the University’s Audit contracts of employment and do not create rights or claims Committee. Individuals charged with supervising others at of any kind for members of the University community or the University should do so actively, making sure that those expectations regarding employment at The Rockefeller under their supervision receive adequate training in order University. to meet their obligations under this Code of Conduct. Supervisors are expected to take appropriate disciplinary action to address noncompliance.

THE ROCKEFELLER UNIVERSITY WHISTLEBLOWER POLICY

PURPOSE OF THE POLICY Anonymous reports will be accepted, but are not The Rockefeller University values trust, collaboration and encouraged because it is likely that such reports will be collegial activity. As members of this community, all are difficult to investigate and resolve. expected to behave in accordance with the University’s A reporter must not seek to obtain evidence by Code of Conduct. methods that are themselves improper conduct. Engaging in In the event a member of the community – a trustee, such conduct may incur sanctions. (See “Considerations for officer, employee or volunteer – suspects or is aware of Reporters” below). improper conduct, the member should report such conduct as described below. WHERE TO REPORT A report of actual or suspected improper conduct can WHAT TO REPORT be made to the reporter’s immediate supervisor or Head “Improper conduct” means illegal or fraudulent activity or of Laboratory. Other individuals to whom a report may be conduct in violation of any adopted policy of the Univer- made are sity. More particularly, improper conduct includes financial • another supervisor in a laboratory or department, misconduct, research misconduct, and material violations of • the Vice President for Human Resources, University policy, including all forms of harassment, as well • the Vice President for Finance, as asking or forcing another person to engage in improper • the Vice President for Academic Affairs, conduct, or using an official title, authority or influence to • the University’s General Counsel, or interfere with another person’s right to make a report of • the Chair of the Audit Committee of the University’s improper conduct. Board of Trustees. “Report” under this Policy is a communication, made in The names of the individuals holding these positions good faith, to one of the persons listed below about known can be found on the University’s website. or suspected improper conduct by or within the University. Any person listed above who receives a written or an Persons making such reports are referred to in this Policy as oral report of actual or suspected improper conduct shall “reporters.” promptly notify the Vice President for Human Resources. All communications about improper conduct should be HOW TO REPORT saved, if written, or, if oral, noted down by the person to whom the report is made. All University employees, The University encourages persons who, in good faith, seek especially supervisors, should be alert to formal or informal to report actual or suspected improper conduct to speak communications that may constitute a report of improper with one of the persons listed below (“Where To Report”). conduct, keeping in mind that such reports may not name In many instances, discussion with one of those persons can specific individuals. lead to an informal clarification of circumstances without When warranted, law enforcement authorities will be the need for a more formal process. When informal process notified of a report. is not sufficient, reports of improper conduct should be made in writing as an aid to review and investigation. Reports should include as much specific detail as possible.

8 | CONSIDERATIONS FOR REPORTERS preliminary review by the University indicates that the Confidentiality will be maintained wherever possible allegation may have merit. He or she will have the op- during the investigation of reported improper conduct. portunity to be heard, and may consult and be represented Reporters should be aware, though, that their identities by persons of his or her choice, including legal counsel. The may become known during an investigation or for reasons subject’s Head of Laboratory or department head will be beyond the control of investigators. Reporters should be informed before the subject is given notice of the report. prepared to be interviewed by University investigators, and The subject of a report may be placed on leave if the by law enforcement if possible criminal conduct is involved. University, in its discretion, determines that leave would The University prohibits retaliatory action against a be appropriate. Investigations and disciplinary actions that reporter or a person who cooperates in an investigation result from reports of actual or suspected improper conduct under this Policy. Anyone who retaliates against a person will be undertaken in accordance with other University for making a good faith report under this Policy will be policies and procedures. If no other policy applies, then the subject to disciplinary action. In order for a reporter to be investigation procedure set forth below will be followed. protected against retaliatory action, his or her identity must If the University receives a report containing facts that be known to the University. can be investigated, the University promptly will begin an A person making a report under this Policy is not investigation that will be completed as quickly as possible. protected against disciplinary action with respect to her The Vice President for Human Resources typically will or his own involvement in improper conduct, including ob- manage the investigation process. Persons making reports taining evidence by methods that are themselves improper. under this Policy will be informed of the investigation In addition, by making a report under this Policy, a reporter outcome unless there is a legal, public interest or other is not shielded from adverse personnel actions taken on significant reason not to do so. The University’s General the basis of her or his job performance or other legitimate Counsel will be responsible for reporting reports and reasons. A person who knowingly makes a baseless report investigations under this Policy to the Vice President for will be subject to disciplinary action, up to and including Finance and to the Audit Committee of the Board of discharge or severance of his or her relationship with the Trustees. University. If an investigation results in a finding of improper A reporter who wishes to report an incident of retalia- conduct, appropriate disciplinary action will be taken. tion should file a written complaint with the Vice President In the event that a report is found to be baseless or after for Human Resources within 60 days of the alleged act of preliminary review or an investigation, is found to have no retaliation. merit, a subject of such report will not have any right or other claim against the University based on this Policy or PROCEDURES any actions taken by the University under this Policy. A copy of this Policy will be made available to all A person who is the subject of reported improper conduct trustees, officers and employees and to volunteers who under this Policy will be informed of the allegation if a provide substantial services to the University.

POLICY ON RESPONSIBLE USE OF UNIVERSITY COMPUTING RESOURCES

POLICY STATEMENT the University’s research and education missions, and that University computing resources are powerful tools that misuse of these resources is damaging to the community of are made available to support the University’s research and individuals who comprise the University and threatens the education missions and its administrative and other business efficiency and integrity of the University’s operations. functions. These computing resources also serve to enhance and improve robust, open communication among and DEFINITIONS between members of the community and others. The following definitions apply to terms used throughout Users are responsible for exercising good judgment this policy. when using University computing resources, and are University Computing Resources—University expected to be mindful of and respectful towards members computing resources are defined to include all computers, of the community and the University. Users should take networks, servers, services and all devices at any time on personal responsibility for adhering to the University’s the University network systems (including, but not limited standards of appropriate conduct and propriety. These to, voice, video and data networks, switches, routers and standards, at an individual level, include the commitment storage devices), whether or not administered or owned by to a professional work environment in which all individu- the University; and all University-owned computers. als are treated with respect and dignity and are caused to experience no discrimination or harassment. On an Electronic Communications and Materials—Elec- institutional level, these standards include a recognition that tronic communications and materials relating to University University computing resources are provided to support business and/or to using University computing resources or

| 9 University facilities are defined as any and all data or infor- • The University reserves the right to disconnect without mation in any form that is maintained, communicated or notice from its networks or other University computing posted by any means, including, but not limited to, worldwide resources, any computer or electronic device that may web, electronic mail, bulletin boards, instant messaging or other have a harmful virus, worm or other malware. electronic tools, using University computing resources. • The University may disclose or otherwise use electronic communications and materials to comply with a SECURITY OF UNIVERSITY COMPUTING RESOURCES subpoena or other legal demand, or to cooperate with The University’s Information Technology Department con- law enforcement or federal, state or local authorities, or tinually takes steps to safeguard the integrity of its computing in litigation or other legal proceedings. resources and to maintain and ensure proper operations. University personnel do not engage in an inspection of RESPONSIBLE USE OF UNIVERSITY electronic files, other than on an exceptional basis. Therefore, COMPUTING RESOURCES the University does not routinely monitor the content Individuals who are provided access to the University of electronic communications and materials maintained, computing resources must assume responsibility for their communicated or posted using University computing appropriate use. The University expects individuals to be resources. Users are advised, however, against any expectation careful, honest, responsible and civil when they are using of privacy or confidentiality in such electronic communica- University computing resources. tions or materials. Exceptional circumstances under which the University will inspect or take other appropriate actions 1. Access to University computing resources is provided regarding electronic communications or materials include, for use in support of the University’s research, educa- but are not limited to, the following: tion, administrative and other business functions. Incidental and occasional personal use of these resources • While performing security or maintenance func- consistent with University policy and rules is permitted tions, Information Technology personnel may detect so long as such use does not disrupt or distract from evidence of a violation of law, University policies or the conduct of University business, due to volume or rules, University contractual obligations or University frequency. standards of conduct or propriety, as described more fully below, which will be reported to the University’s Chief 2. Individuals assume personal responsibility for the use of Information Officer for appropriate action. their accounts and are responsible for maintaining the security of their accounts, including their passwords. • The University may monitor, copy, confiscate or deny Passwords on all computers and software applications access to, or take other appropriate action regarding on campus (including those not maintained by the the use of University computing resources and/or IT Department) must follow the current University regarding electronic communications and materials using guidelines at: http://it.rockefeller.edu/pwd_req . University computing resources when the University determines that the law, University policies or rules, 3. Individuals assume personal responsibility for University contractual obligations or University standards protecting their computers. Protection from malware of conduct or propriety may be violated and/or to such as viruses and spyware must be installed as per investigate credible evidence or allegations of such viola- the University guidelines at: http://it.rockefeller.edu/ tions. When a violation has been established, the University malwareProtection-req. will take appropriate action concerning continued use of 4. Individuals assume personal responsibility for University computing resources and discipline of employ- proper physical use of the network and must not install ees, up to and including dismissal. inappropriate network devices (such as wireless access • If the University is notified of a claim of copyright points, hubs, and routers) according to the guidelines at: infringement, the University reserves the right to http://it.rockefeller.edu/network-req. expeditiously remove the allegedly infringing electronic 5. Users should respect the shared nature of the University’s communication(s) and/or material(s) until the claim is computing resources and refrain from activities that will resolved. In appropriate circumstances, the University will interfere with the ability of others to use those resources. terminate a user’s access to the University’s computing 6. Users may not send electronic communications or resources if the user is found to have repeatedly infringed materials that do not comply with the University’s stan- the copyright of others. dard of conduct and propriety referenced in the Policy • The University reserves the right to refuse e-mail Statement above. In considering whether an electronic and other connections from outside hosts that send communication or material may be inappropriate, a user unsolicited, mass or commercial messages, or messages should consider whether the content, style or timing that appear to contain viruses, worms or other malware of the communication or material would be perceived (i.e., malicious software designed to infiltrate or damage as hostile or unwelcome by any recipient or would be a computing or other electronic system) to University or unlawful if made public (including through the media other users. or in a court proceeding) and/or if the author was publicly identified.

10 | 7. University computing resources may not be used for • To forge, falsify, alter or otherwise misuse University or purposes that violate the law, University policies or non-University records, including electronic mail head- rules or University contractual obligations. ers, electronic directory information or other electronic 8. Confidential information, particularly medical information identified as University records, including information or personal or private data typically account, login or password information; and thought to be non-public (such as an individual’s social • To damage or otherwise interfere with University security number or academic record), must be used facilities or resources. and maintained according to applicable law, University policies, rules or guidelines and University contractual EFFECT AND INCORPORATION BY REFERENCE obligations regarding the use and maintenance of such This Policy supersedes the Policy on Responsible Use data. Persons who handle this type of material as part of Computing and Electronic Communications, the of their job duties must follow applicable operating Memorandum Re Computer and Data Network Security, procedures for working with the information. dated May 4, 1998, and the World Wide Web (WWW 9. University employees may gain access to confidential Policy), dated November 6, 1996 (collectively, the “Prior or proprietary information through contractual Policies”) as of the Effective Date set forth below, is binding arrangements entered into by the University. Users of on all persons using University computing resources, and University computing resources must not knowingly shall be deemed to be incorporated by reference in existing violate University contractual obligations that restrict agreements referencing any of the Prior Policies. the use or maintenance of such information. This Policy does not abrogate procedures or practices 10. Use of University facilities, including University governing the operation and maintenance of laboratory computing resources, for commercial activity for and/or departmental systems insofar as they are not in personal financial gain is strictly prohibited. This conflict with this Policy. Laboratories and/or departments prohibition does not include use of these resources for may wish to develop their own additional procedures that permissible external activities by investigators pursuant are not addressed by this policy in order to support specific to the University’s Conflict of Commitment Policy. organizational requirements, such as procedural guidelines regarding security and privacy. POLICY VIOLATIONS — EXAMPLES REPORTING A VIOLATION OR MAKING INQUIRIES Violations of this Policy may occur in a variety of ways. Examples of improper use of University computing If you believe that a violation of this policy has occurred resources include, but are not limited to: or you have questions about this policy, contact the Chief Information Officer. The Chief Information Officer • To harass, threaten or otherwise cause harm to a specific will notify other officers and/or University personnel, as individual(s) or class(es) of individuals, whether by direct appropriate. If you believe that a personnel-related violation or indirect reference, by sending communications that are of this policy has occurred or you have personnel related- perceived as hostile or unwelcome, whether of a sexual questions about this policy, contact the Vice President for or other nature, or that reflect bias or disrespect based on Human Resources. race, color, religion, sex, age, national origin, citizenship status, marital status, sexual orientation, military status, EFFECTIVE DATE veteran status or disability; This Policy is effective on April 6, 2005, upon approval by • To download, use, distribute, post or disseminate material Frederick M. Bohen and was amended, effective on April in violation of the law, including but not limited to 20, 2006. This Policy may be amended from time to time software infringement; breaking into or tampering with by the University’s Chief Information Officer, Anthony computer systems; unlawful spreading of computer viruses, Carvalloza, with the concurrence of the President’s Office. worms or other malware; unlawful use or distribution of This Policy is amended, effective on April 12, 2007. copyrighted material (e.g., music and movies); defamation or libel; pornography; prohibited gambling and/or theft; or This policy is amended , effective on December 16, 2016 assisting others in any such violations; Person Responsible for this Policy: • To download, use, distribute, post or disseminate material, Mr. Anthony Carvalloza in violation of license restrictions or University contrac- Chief Information Officer tual agreements; • To impede, interfere with, impair or otherwise cause harm to others, including but not limited to knowingly propagating electronic chain mail, spamming, electroni- cally misrepresenting the user’s or his or her electronic identity (e.g., email spoofing), electronic eavesdropping, or launching a computer virus, worm, or other malware;

| 11 THE ROCKEFELLER UNIVERSITY POLICY ON FINANCIAL CONFLICT OF INTEREST IN RESEARCH

INTRODUCTION The objective of this Policy is to maintain the integrity and transparency of financial relationships as they may relate to Investigators’ research at The Rockefeller University (“University”). To accomplish our purpose, all Investigators (defined below) must complete an annual certification (“Annual Certification”) of their Signifi- cant Financial Interest (“SFI”, defined below) disclosures.1

This Policy is consistent with the financial conflict of interest regulation promulgated by the Department of Health and Human Services (“DHHS”), as revised in 2011 (“Regulation”), and applies to all research funded by federal Public Health Service (“PHS”) agencies as well as sponsors that follow the Regulation.2

Recipients of research funds from sources other than PHS and sponsors that follow the Regulation must comply with the conflict of interest requirements of the funding source.

Irrespective of funding source, Investigators must disclose all of their SFI, as requested, including during the University’s annual disclosure cycle. These SFI disclosures enable the University to initiate its conflict of interest review, as needed.

Investigators who are responsible for the design, conduct, or reporting of research are required to complete an Annual Certification of their SFI disclosures prior to submitting a PHS grant application. Investigators are required to complete a Research Certification to update their SFI disclosures in connection with new research projects. Investigators also must update their SFI disclosures within thirty (30) days of discovering or acquiring any new SFI. The University’s Faculty Conflict of Interest Committee (“Committee”) determines whether the disclosed SFI is related to the Investigator’s PHS-funded research, and, if related, whether the SFI creates a financial conflict of interest (“fCOI”). If a conflict exists, assistance will be provided to eliminate, reduce, or manage the conflict.

The Rockefeller University Policy on Financial Conflict of Interest in Human Participant Research describes The Rockefeller University Hospital’s conflict of interest standard and process governing research involving human participants. Additional fCOI disclosures may be requested and requirements may be imposed by the University’s Institutional Review Board (“IRB”). For research involving human participants, fCOI will be reviewed by the Committee and by the University’s IRB.

DEFINITIONS External Organization Investigator An external organization means any domestic or foreign, Investigator means the Project Director or Principal public or private organization (excluding a Federal agency) Investigator and any person in or collaborating or consult- from/in which an Investigator (and/or his/her spouse ing with a laboratory, regardless of title or position, who is and/or dependent children) receives remuneration or has responsible for the design, conduct, or reporting of research. an ownership or equity interest. External organizations include for-profit or not-for-profit companies, non- Financial conflict of interest (fCOI) governmental organizations, foundations, and other entities. A financial conflict of interest exists when an Investigator’s Significant Financial Interest (SFI) SFI could directly and significantly affect the design, conduct, or reporting of the Investigator’s research. A significant financial interest means a financial interest consisting of one or more of the following interests, subject to the monetary thresholds below, of the Investigator (and/

12 | or her/his spouse and/or dependent children) that reason- Faculty Conflict of Interest Committee (Committee) ably appears to be related to the Investigator’s Institutional The Committee, composed of members of the University Responsibilities: faculty, has the authority to determine whether an Inves- 1. Payments or Remuneration (e.g., salary, consulting tigator’s SFI creates an fCOI. If so, the Committee works fees, honoraria, paid authorship, board service payments) with the Investigator to eliminate, reduce, or manage the from an external organization, received in the 12 months conflict by implementing a management plan. prior to the date of disclosure. 2. Equity Interest (e.g., publicly traded or non-publicly Institutional Responsibilities traded stock, stock options, or other ownership inter- Institutional responsibilities means an Investigator’s est) in an external organization, held as of the date of professional responsibilities on behalf of the University disclosure. which may include, for example, activities such as research, research consultation, teaching, professional practice, 3. Intellectual Property Payments (e.g., royalties or institutional committee memberships, and service on panels other remuneration) related to intellectual property rights such as the University’s IRB or a Data and Safety Monitor- and interests (e.g., patents, copyrights) from any source ing Board. other than the University, received in the 12 months prior to the date of disclosure. INVESTIGATOR DISCLOSURES 4. Reimbursed or Sponsored Travel paid by an external Each Investigator must update his or her SFI disclosures: organization in the 12 months prior to the date of disclosure. • at least annually, by completing an Annual Certification; • Sponsored travel includes travel that is paid on behalf • within 30 days of acquiring a new SFI, including report- of the Investigator but not reimbursed directly, so that able travel; the exact monetary value may not be known by the • within 30 days of discovering previously unreported SFI; Investigator. In such circumstances, an estimate of the and sponsored travel must be disclosed. • in connection with new PHS-funded research projects, • Investigator disclosures must specify the purpose of the or when an Investigator is added to the list of investiga- trip, the identity of the sponsor/organizer, the destina- tors on an ongoing PHS-funded research project, by tion, and the trip’s duration. completing a Research Certification. Financial interest in or from any single external organiza- As a pre-condition to submitting a grant application to tion must be disclosed if the total aggregated value of a PHS awarding agency, each Investigator named on the payments or remuneration, intellectual property payments, application must have completed an Annual Certification reimbursed or sponsored travel, and/or an equity interest (if within the prior 12 months. in a publicly-traded organization) exceeds $5,000. Note: an equity interest in a non-publicly traded organization SUB-RECIPIENT DISCLOSURES must be disclosed regardless of the value, even if it does not exceed $5,000. If research is done on behalf of the University through institutional sub-recipients, the University will incorporate, SFI does not include: as part of a written agreement with the sub-recipient, terms that establish whether the University’s or the sub-recipient’s • Salary, royalties, or other remuneration from the Univer- fCOI policy will apply to the sub-recipient’s investigators. sity or Howard Hughes Medical Institute; Additionally, the written agreement should address the • Any ownership or income in mutual funds or retirement time frames within which the sub-recipient must provide accounts so long as the Investigator does not directly either (i) fCOI information necessary to ensure that the control these vehicles’ investment decisions; University is able to meet its fCOI reporting obligations • Income from, or reimbursed or sponsored travel relating to the PHS awarding agency, or (ii) financial disclosure to, seminars, lectures, teaching engagements, service information to enable the University to comply timely on advisory committees, honoraria, or review panels with its review, management, and reporting obligations for a U.S. federal, state, or local government agency; a under the Regulation. U.S. institution of higher education, academic teaching • If a sub-recipient defers to the University’s fCOI Policy, hospital, or medical center; or a research institute that is the individuals at the sub-recipient involved in the affiliated with a U.S. institution of higher education; or design, conduct, or reporting of the research are con- • Payments by or ownership in an external organization sidered Investigators as defined in the University’s fCOI that are clearly unrelated to an Investigator’s Institutional Policy. Responsibilities. • If a sub-recipient’s policy applies, the sub-recipient must certify that its policy complies with the Regulation.

| 13 PROCEDURES FOR DETERMINING AND The University will maintain records of all Investigator ADDRESSING CONFLICT disclosures of financial interests and all actions under this No funds from a PHS awarding agency can be expended fCOI Policy. Records will be kept for at least three years until all fCOI related to the awarded grant have been from the date that the final expenditure report is submit- eliminated, reduced, or managed. ted to the PHS awarding agency, or, when applicable, as specified in 45 C.F.R. Sections 74.53(b) and 92.42(b) for The Committee oversees and manages implementation different situations. of this Policy. The Committee will review each certification to determine: (a) whether a reported SFI disclosure If DHHS determines that a PHS-funded clinical reasonably appears to be related to the Investigator’s research project whose purpose is to evaluate the safety or PHS-funded research and/or other Institutional Respon- effectiveness of a drug, medical device, or treatment has sibilities, and, (b) if related, whether the SFI could directly been designed, conducted, or reported by any Investigator and significantly affect the design, conduct, or reporting of with an fCOI that was not managed or reported as required the research. If the answer to both (a) and (b) is “Yes”, an by the Regulation, the University will require the Investi- fCOI may be found to exist. gator to disclose the fCOI in each public presentation of the results of the research and to request an addendum to If the Committee determines that the Investigator has her or his previously published presentations. an fCOI, the Committee will work with the Investigator on a management plan to eliminate, reduce, or manage the conflict. Management plan elements may include, but are REPORTING FINANCIAL CONFLICT OF INTERESTS not limited to, requiring the Investigator to disclose the po- Prior to the University’s expenditure of awarded funds, tential fCOI to laboratory or study team members working the University is required to report to the PHS awarding on the research, to research participants, and/or to publish- agency the existence of any fCOI, including fCOI of sub- ing journals; establishing independent review of research recipient Investigator’s management plan(s) and to submit data; and/or requiring the Investigator to relinquish the SFI. an fCOI report to the awarding agency. The University The University will monitor the Investigator’s compliance also must submit annual fCOI reports to the PHS awarding with each imposed management plan on an ongoing basis agency during the award period. These annual reports must until completion of the PHS-funded research project. address the status of the fCOI, e.g., whether the fCOI is be- To the extent that a new or previously unreported SFI ing managed, any changes to the management plan, and/or is disclosed during the course of PHS-funded research (e.g., if the fCOI no longer exists. Annual reports must be made an Investigator who is new to the research project discloses for the duration of the research project period (including SFI or a previously named Investigator discloses new or extensions with or without funds) in the time and manner previously unreported SFI), the Committee will, within 60 specified by the PHS awarding agency. days from the date of the disclosure, determine whether an The University must also submit fCOI reports to the fCOI exists, and, if so, will implement a plan to eliminate, PHS awarding agency within sixty (60) days of identifying reduce, or manage the conflict. any previously unreported fCOI. If an fCOI is not identified or managed as required, Within five (5) business days of receiving a written due to (i) a failure by an Investigator to timely disclose SFI request from the public for information about PHS-funded that is later determined by the Committee to constitute an research involving an Investigator with an fCOI, the fCOI, (ii) the University’s failure to review or manage such University will respond to the request in writing, providing an fCOI, or (iii) an Investigator’s failure to comply with an the name of the Investigator, the external organization in fCOI management plan, the University will, within 120 which the Investigator holds SFI, the nature of the SFI, and days of its determination of noncompliance, complete a the approximate value of the SFI, in dollar ranges, if known. retrospective review of the Investigator’s activities and PHS- funded research to determine whether the design, conduct, FINAL UNIVERSITY CONFLICT OF INTEREST or reporting of the research has been affected by bias. AUTHORITY The University will document the retrospective review, including, at a minimum: (i) the project number and title, If the Committee is unable to reach agreement with an (ii) the Investigator’s name and the external organization Investigator on an appropriate plan to eliminate, reduce, or creating the fCOI, (iii), the Principal Director/Principal manage an fCOI, the Committee will provide the Investi- Investigator contact information, (iv) the reason(s) for the gator with a written impasse letter. Within two weeks of review, (v) the detailed methodology used for the review, the date of the written impasse letter, the Investigator or and (vi) the findings and conclusions. The University will the Committee will seek the intervention of the University notify the PHS awarding agency of any bias found in the President. PHS-funded research and will submit a mitigation report The President will address the conflict and render a that addresses the impact of the bias on the research project decision on its resolution. The President’s decision is final, and the University’s plan to eliminate or mitigate the effect except that it does not extend to the decisions and actions of the bias. of the University’s IRB in carrying out its independent

14 | function of protecting human study participants in clinical NONCOMPLIANCE AND SANCTIONS research. In the event an Investigator fails to comply with this Policy or a previously imposed fCOI management plan, the TRAINING Committee shall recommend appropriate sanctions that Each Investigator must be trained on this Policy, the may include, for example, imposing a stricter management Investigator’s responsibilities regarding SFI disclosure, and plan, withholding a PHS grant application, suspending the requirements of the Regulation. Each Investigator must an ongoing PHS-funded research project, freezing PHS- complete this training (i) prior to engaging in any PHS- funded research project funds, and/or other appropriate funded research, (ii) at least every four (4) years, and (iii) sanctions. immediately, in any of the following circumstances: As amended by the Academic Council on April • the Investigator is new to the University; 17, 2012, effective August 24, 2012 and reported to • the University revises this Policy in any manner that the Board of Trustees on June 6, 2012, and as further affects the requirements applicable to Investigators; or amended by Academic Council on April 18, 2016 and May 16, 2017. • the University finds that an Investigator is not in compliance with this Policy or with the Investigator’s fCOI management plan.

| 15 THE ROCKEFELLER UNIVERSITY POLICY ON CONFLICT OF COMMITMENT IN RESEARCH

This conflict of commitment in research policy has been Requests to engage in activities outside of these adopted by the University and is not subject to external guidelines should be addressed to the President or his requirements. or her designee and may be approved if extraordinary Investigators’ external activities should not interfere circumstances warrant. with the primary professional commitment of their time Consulting arrangements with outside entities cannot and intellectual energies to the education and research compromise the University’s rights to intellectual property programs of The Rockefeller University. as established in University policy. Up to fifty-two (52) days per year may be devoted to Entities outside the University may not impose external activities provided that an investigator’s University restrictions on investigators’ rights to disseminate results of work is not adversely affected. Government service and research performed at the University in published or other service with not-for-profit institutions do not count against form, except for reasonable delays not to exceed ninety (90) the guideline stated here. days to allow for patent processing. Subject to prior approval, University doctoral students As amended by the Academic Council on April and postdoctoral appointees may engage in extramural 17, 2012, effective August 24, 2012 and reported to activities for compensation, if those activities will further the Board of Trustees on June 6, 2012, and as further or enhance career growth (e.g., research, scientific advising, amended by Academic Council on April 18, 2016 teaching, or clinical employment), not negatively impact and October 16, 2017. on future growth (e.g., requiring non-compete clause), and generally not utilize the facilities, equipment, or funds of the University. Careful consideration will be given to a request to engage in an extramural activity for a company in which a Head of Laboratory has a significant financial interest (as defined in the University’s Policy on Financial Conflict of Interest3). Prior approval must be obtained from (i) the requestor’s Head of Laboratory and (ii) (a) if the requestor is a student, the Dean of Graduate and Postgraduate Studies, or (b) if the requestor is a postdoctoral appointee, the Vice President for Academic Affairs. With the prior approval of the Vice President for Medical Affairs, an instructor in clinical investigation may provide on-call coverage at The Rockefeller University Hospital for compensation, or volunteer his or her time without pay in clinical activities that enhance his or her career growth.

3 Consistent with the University’s Policy on Financial Interest, this includes a significant financial interest held by a Head of Laboratory’s spouse and/or dependent children.

16 | THE ROCKEFELLER UNIVERSITY POLICY ON FINANCIAL CONFLICT OF INTEREST IN HUMAN PARTICIPANT RESEARCH

INTRODUCTION The objective of this Policy is to maintain integrity and transparency of financial relationships as they may relate to Investigators’ human participant research at The Rockefeller University (“University”). To accomplish our purpose, all Investigators (defined below) must complete an annual certification (“Annual Certification”) of their Significant Financial Interest (“SFI”, defined below) disclosures.1

This Policy applies to all human participant research conducted at the University.2 Irrespective of funding source, Investigators must disclose all of their SFI, as requested, including during the University’s annual disclosure cycle. These SFI disclosures enable the University to initiate its conflict of interest review, as needed.

Investigators who are responsible for the design, conduct, or reporting of research involving human participants are required to complete an Annual Certification of their SFI disclosures prior to submitting a protocol for review by the University’s Institutional Review Board (“IRB”). Investigators are required to complete a Research Certification to update their SFI disclosures in connection with new research protocols on which they are Key Study Personnel (“KSP”) (defined below). Investigators also must update their SFI disclosures within thirty (30) days of acquiring or discovering any new SFI. The University’s Faculty Conflict of Interest Committee (“Committee”) determines whether the disclosed SFI is related to the Investigator’s research, and, if related, whether the SFI creates a financial conflict of interest (“fCOI”). If a conflict exists, assistance will be provided to eliminate, reduce, or manage the conflict. By requiring the routine completion of financial disclosures, the University expects that studies will not be withheld from submission or timely IRB review/ approval due to a disclosure failure.

DEFINITIONS Investigator an ownership or equity interest. External organizations Investigator means any KSP regardless of title or position, include for-profit or not-for-profit companies, non- who is named on a study protocol involving human governmental organizations, foundations, and other entities. participants. Significant Financial Interest (SFI) Key Study Personnel (KSP) A significant financial interest means a financial interest All persons who are responsible for the design, conduct, or consisting of one or more of the following interests, subject reporting for the study. to the monetary thresholds below, of the Investigator (and/ or her/his spouse and/or dependent children) that reason- Financial conflict of interest (fCOI) ably appears to be related to a protocol involving human A financial conflict of interest exists when an Investigator’s participants: SFI could directly and significantly affect the design, 1. Payments or Remuneration (e.g., salary, consulting conduct, or reporting of the Investigator’s research. fees, honoraria, paid authorship, board service payments) from an external organization, received in the 12 months External Organization prior to the date of disclosure. An external organization means any domestic or foreign, 2. Equity Interest (e.g., publicly traded or non-publicly public or private organization (excluding a Federal agency) traded stock, stock options, or other ownership inter- from/in which an Investigator (and/or his/her spouse est) in an external organization, held as of the date of and/or dependent children) receives remuneration or has disclosure.

1 During the University’s annual disclosure cycle, each Investigator will be notified by email to complete an Annual Certification. The email notification will contain a link to the Investigator’s Annual Certification workspace in the University’s Research Administration System (“RAS”). Investigators also may log into RAS at any time to complete or update SFI disclosures at: https://RAS.rockefeller.edu. 2 The Rockefeller University Policy on Financial Conflict of Interest in Research applies to all research funded by federal Public Health Service (“PHS”) agencies as well as sponsors that follow the PHS financial conflict of interest regulation promulgated by the Department of Health and Human Services, as revised in 2011 (“Regulation”). Investigators conducting human participant research funded by a PHS agency or a sponsor that follows the Regulation must comply with the requirements of both this policy and the aforementioned conflict of interest policy. Recipients of research funds from sources (other than PHS agencies or sponsors that follow the regulation) that impose the funder’s own conflict of interest requirements must comply with those requirements in addition to those of the University.

| 17 3. Intellectual Property Payments (e.g., royalties or Institutional Responsibilities other remuneration) related to intellectual property rights Institutional responsibilities means an Investigator’s and interests (e.g., patents, copyrights) from any source, professional responsibilities on behalf of the University received in the 12 months prior to the date of disclosure. which may include, for example, activities such as research, 4. Reimbursed or Sponsored Travel paid by an external research consultation, teaching, professional practice, organization in the 12 months prior to the date of institutional committee memberships, and service on panels disclosure. such as the University’s IRB or a Data and Safety Monitor- ing Board. • Sponsored travel includes travel that is paid on behalf of the Investigator but not reimbursed directly, so that PROCEDURES FOR FINANCIAL DISCLOSURE AND the exact monetary value may not be known by the FOR ADDRESSING CONFLICT Investigator. In such circumstances, an estimate of the sponsored travel must be disclosed. Each Investigator must update his or her SFI disclosures: • at least annually, by completing an Annual Certification; • Investigator disclosures must specify the purpose of the trip, the identity of the sponsor/organizer, the destina- • within 30 days of acquiring a new SFI, including report- tion, and the trip’s duration. able travel; Financial interest in or from any single external organiza- • within 30 days of discovering previously unreported SFI; tion must be disclosed if the total aggregated value of and payments or remuneration, intellectual property payments, • prior to submission of a protocol to the IRB, or when an reimbursed or sponsored travel, and/or an equity interest (if Investigator is added to an ongoing protocol as KSP, by in a publicly-traded organization) exceeds $5,000. Note: completing a Research Certification. an equity interest in a non-publicly traded organization The Committee will review each certification to must be disclosed regardless of the value, even if it does determine whether a reported SFI disclosure reasonably not exceed $5,000. appears to be related to the Investigator’s research and, In addition, an Investigator must disclose his/her if related, whether an fCOI exists. The Committee will inventorship of any drug, device, or method that is to be propose a management plan and promptly report the plan used in research involving human participants and on to the University’s IRB. The IRB may alter or enhance the which the Investigator is a KSP. Committee’s proposed plan. No research protocol involving human participants can be approved until all Investiga- SFI does not include: tors’ fCOI related to the protocol have been eliminated, reduced, or managed. • Salary or other remuneration from the University or Howard Hughes Medical Institute; If previously unreported SFI is discovered during the course of a study involving human participants, • Any ownership or income in mutual funds or retirement the University must undertake a documented audit to accounts so long as the Investigator does not directly determine whether an fCOI exists and, if so, whether the control these vehicles’ investment decisions; research has been affected by bias. If there is evidence of • Income from, or reimbursed or sponsored travel relating bias, a report of this activity and steps taken to address the to, seminars, lectures, teaching engagements, service findings must be submitted to the IRB, cognizant agencies, on advisory committees, honoraria, or review panels and sponsors. Additional corrective and disclosure measures for a U.S. federal, state, or local government agency; a may be required. U.S. institution of higher education, academic teaching hospital, or medical center; or a research institute that is TRAINING affiliated with a U.S. institution of higher education; or Each Investigator on a study involving human participants • Payments by or ownership in an external organization is required, pursuant to AAHRPP guidance, to complete that are clearly unrelated to an Investigator’s Institutional fCOI training prior to engaging in such research and to be Responsibilities. retrained at least every four (4) years. Faculty Conflict of Interest Committee (Committee) Adopted by Academic Council on October 7, The Committee, composed of members of the University 2013, and as further amended by Academic Council faculty, has the authority to determine whether an Inves- on May 17, 2016 and May 16, 2017; technical cor- tigator’s SFI creates an fCOI. If so, the Committee works rection approved by Faculty Conflict of Interest with the Investigator to eliminate, reduce, or manage the Committee and presented to Academic Council on conflict by implementing a management plan. January 25, 2019.

18 | POLICY ON INSTITUTIONAL CONFLICT OF INTEREST IN CLINICAL RESEARCH

1. INTRODUCTION AND GENERAL human subjects research: President of the University, PRINCIPLES Physician-in-Chief, Vice President for Medical A. This Policy is intended to cover institutional Affairs, Chief Executive Officer of the Hospital, conflicts of interest that arise in The Rockefeller Medical Director of the Hospital, the University’s University’s human subjects research. In establishing Human Research Protection Program Institutional this Policy, the University has taken into account Official and the University’s Human Research the best practice guidelines issued in 2008 by the Protection Program Director. Association of American Medical Colleges. D. An Institutional Conflict of Interest in human B. Institutional financial interests create the potential subjects research is present when the significant for inappropriate influence or the appearance financial interests of an Institutional Official of inappropriate influence over the institution’s acting within his or her authority on behalf of the activities. The need to acknowledge and address University or when other Institutional Financial such a situation is particularly important in human Interests of the University exist and might affect or subjects research. reasonably appear to affect University processes for the design, conduct, review, reporting or oversight of human subjects research. 2. DEFINITIONS E. Compelling Circumstances means those convinc- A. An Institutional Financial Interest exists when ing facts that rebut a presumption of the need to 1. the University receives or might reasonably eliminate the Institutional Financial Interest or to be expected to receive up-front license fees, prohibit the conduct of a particular human subjects milestone or anniversary payments and/ research project at the University. If a situation or royalty income from University-licensed presents Compelling Circumstances notwithstand- technology; or ing an Institutional Financial Interest, the University 2. the University, through its technology licensing may implement a human subjects research project activities, investments, or gifts, holds but only under a clear and effective management (a) equity of any amount in a non-publicly plan. Factors that may be evaluated in determining traded company that supports or may whether Compelling Circumstances are present benefit from the human subjects research include: project; or 1. whether engagement in the proposed hu- (b) equity greater than $100,000 in value in man subjects research project holds promise a publicly-traded company that supports of contributing to the body of knowledge in or may benefit from the human subjects pursuance of the mission of the University; research project; or 2. the nature and amount of the Institutional 3. the University has received in the current Financial Interest and, among other similar or previous calendar year a charitable cash or related factors, how closely or distantly contribution greater than $150,000 from a the interest is related to the research; company that supports or may benefit from the whether an Institutional Official has control human subjects research project; or or influence over the commercial research sponsor, donor, or financially-interested 4. an institutional official with direct responsibility company; the size of the commercial for human subjects research holds a significant research sponsor or financially-interested financial interest (as defined in The Rockefeller company and the centrality of the proposed University Policy on Conflict of Interest and human subjects research to the sponsor’s Commitment in Research) or holds a fiduciary or company’s financial success; and the position, with or without remuneration, in a structural boundaries at the University that company that supports or may benefit from the would insulate the research and its results human subjects research project. from influence by the financial interest; B. Human Subjects Research is any research that 3. whether the University is uniquely qualified, requires review and approval by the University for example, by special facilities or equip- Institutional Review Board (IRB). ment, special patient population, depth C. Institutional Officials, for purposes of this Policy, of research expertise in the field at the are persons in the following titles who have or University, the qualifications of its investiga- could appear to have substantial involvement in tors, exceptional expertise or technical skills elements of oversight or decision-making regarding of the lead investigator making his/her

| 19 involvement essential to the conduct of the 4. REVIEW AND EVALUATION. research, and the capability of the University A. Committee Review. The Committee will review to safeguard the human participants in the and evaluate each potential Institutional Conflict of research; Interest matter submitted to it, and will determine 4. the risks to human subjects in a proposed whether there is a conflict of interest and, if so, research project; whether Compelling Circumstances exist to justify 5. whether the conflict of interest can be the University’s developing a management plan effectively managed. to permit implementation of the human subjects research project. 3. IDENTIFYING AND REPORTING B. Management Strategies. If Compelling Cir- POTENTIAL CONFLICTS. cumstances justify the University’s participation in a human subjects research project, a conflict A. The University’s Offices of Technology Transfer, management plan will be created with the key goals Investment, and Development shall, as appropriate, of serving the best interests of subjects enrolled periodically develop lists of Institutional Financial in the research and maintaining research integrity. Interests, reflecting Management strategies to be considered include: 1. entities that have licensed University technology; 1. Disclosure of the financial interest: (a) to 2. non-publicly traded entities in which the personnel involved in the research and to the University has acquired equity interests of any commercial research sponsor (if any); (b) in the amount; consent form provided to research participants, 3. publicly-traded entities in which the University and (c) in any substantive public communica- has acquired equity interests in amounts greater tion related to or referencing the research or than $100,000 in value through the University’s the research results, including publications and technology licensing activities, investments, or presentations; gifts, and 2. Where the potential Institutional Conflict of 4. charitable cash contributions greater than Interest involves an Institutional Official, formal $150,000 from a company that supports or recusal of the conflicted Institutional Official may benefit from the human subjects research from the chain of authority over the project, project. and, where necessary, recusal of that Institutional B. The lists referenced in Section A. immediately Official from decisional authority over salary, above will be posted on an Institutional Financial promotion, and/or space allocation affecting the Interest Database available to Rockefeller investiga- Principal Investigator; tors proposing to do human subjects research 3. Where the potential conflict of interest involves projects at the University. an Institutional Official, designation of a C. The existence of Significant Financial Interests (as non-conflicted senior individual to whom the defined in The Rockefeller University Policy on Principal Investigator may address any conflict- Conflict of Interest and Commitment in Research) related and/or research concerns, and an of Institutional Officials will also be posted on the alternative institutional official to perform the Institutional Interest Database referenced in Section duties and services of the conflicted Institutional B. immediately above. Official; D. Principal Investigators are encouraged early in plan- 4. External monitoring of the study, particularly ning for a clinical research project to consult the with regard to endpoint assessments and, if Financial Interest Database to identify then-current needed an independent Endpoints Committee; Institutional Financial Interests. The Principal 5. Use of an independent Data & Safety Monitor- Investigator must again check the Institutional ing Board to evaluate the design, analytical Financial Interest Database immediately prior to protocols, and primary and secondary endpoint protocol submission to the University’s Institutional assessments, and to provide ongoing evaluation Review Board (“IRB”). of the study for safety, performance issues and E. When preparing to submit a protocol to the the reporting of results; IRB, the Principal Investigator shall review the 6. Requiring that the study be conducted at Institutional Financial Interest Database and, if he multiple sites and specifying the percentage of or she finds an Institutional Financial Interest listed, subjects who may participate in the study at the the Investigator shall include this information on University. an IRB Conflict of Interest form and report this C. Conflict Management Plan. The conflict manage- potential conflict to the Faculty Conflict of Interest ment plan shall be agreed to by the Principal Committee (“Committee”).

20 | Investigator and reviewed by the University IRB, bilities and discretion with respect to the final which may impose additional elements to the determination. conflict management plan. 3. The final determination will be communicated D. Appeals. in writing to the Principal Investigator, the 1. An appeal panel will be appointed by the Faculty Conflict of Interest Committee and the University President on an ad hoc basis as University’s IRB. The Committee shall issue a needed to consider a matter presented to the conflict management plan that reflects the final President for appellate review under this Policy. determination on the matter. At the conclusion of its review, the appeal panel will make a recommendation to the President Approved by EOG 11/11/2010 or his delegee for a final determination. Approved by Academic Council 11/16/2010 2. If the President is the source of the presenting Amended by Academic Council 1/19/2011 Institutional Conflict of Interest in Clinical Amended by EOG 1/20/2011 Research, the Vice President for Academic Affairs shall assume the President’s responsi-

CONFLICT OF INTEREST POLICY GOVERNING BUSINESS PRACTICES

POLICY STATEMENT: Members of the Rockefeller community are expected to carry out their responsibilities to the University in a trustworthy manner and should be careful to avoid situations that could present a conflict of interest or the appearance of a conflict.

A “conflict of interest” occurs where there is a divergence or perceived divergence between an individual’s private interests and his or her professional obligations to the University that could cause an independent observer reasonably to question whether the individual’s professional actions or decisions are influenced by considerations of personal gain, financial or otherwise.

Members of the Rockefeller community who authorize or influence purchases or the choice of vendors/consultants, or have knowledge of or access to confidential proprietary information should be particularly mindful of potential conflict of interest.

To protect the integrity of The Rockefeller University, the University has established this policy governing conflicts of interest in business practices.

DEFINITIONS: or together with family member(s), holds any interest in Conflict of interest. An individual may have a conflict income or assets or holds a fiduciary position (such as of interest if the individual, his/her family member, or an officer, director or trustee). associated entity: Members of the Rockefeller community are all Univer- • has an actual or potential interest, financial or otherwise, sity employees, students, persons with academic appointments that could reasonably cause an independent observer to and their support staff, and members of the administrative question whether the individual’s professional actions or staff. Please note that University Trustees, Officers, and Key decisions for the University are influenced by consider- Employees (as defined by the Internal Revenue Service) are ations of personal, business or familial gain, financial or subject to the Policy on Business Conflict of Interest and otherwise; or Family/Business Relationships, which had a separate reporting procedure. The University will determine the identity of • received or will receive a material financial or other Key Employees, if any, at the University. benefit from knowledge of confidential or proprietary University information. PROCEDURES: A conflict of interest depends on the situation, and not If a member of the Rockefeller community is involved in a on the character or actions of the individual. A conflict of matter or is engaged in an activity as to which a conflict of interest may exist even if the actions or decisions would not interest may exist, the individual must: harm the University. • promptly and fully disclose the conflict to the appropriate Associated entity is any business in which a person, alone

| 21 person listed on the disclosure form, and authority for his department. Alan must disclose the • stop participating in the matter until a decision has been potential conflict of interest. This is the case even if the made regarding the facts that were disclosed, and University engages in a competitive bidding process and Tina and Todd’s company submits the winning bid. • follow any directions given by the University concerning the matter. 2. Bob is a postdoctoral fellow in a laboratory at the University. Bob learns from his Head of Laboratory that Typically, the key to dealing with conflicts of interest is the lab is about to enter into a licensing agreement with disclosure. Once disclosed, most conflicts of interest can be a pharmaceutical company to develop a new drug. This managed. information is not publicly known. Bob owns stock in All members of the Rockefeller community must the company and wants to buy more stock because he follow the above-stated procedures. Other University thinks the new drug will be a big success. Bob must policies may apply to conflicts of interest, including policies disclose the potential conflict and should not buy governing research, fiduciary responsibilities, and hospital additional stock at this time. (Note that in addition to affairs. Please refer to these policies for additional informa- violating University policy, Bob’s purchase of additional tion. If a disclosure has already been made under the Policy stock could violate federal criminal law.) on Conflict of Interest and Commitment in Research, 3. Suzanne, Phil, and Tom are employees of the University please provide a copy of your most recent disclosure or who will recommend a new insurance company for the authorized management plan. University. One insurance company, based in San Fran- cisco, offers to fly the three of them and their spouses to EXAMPLES: San Francisco for a week to tour the company’s offices. The following examples are provided to help members of Suzanne, Phil, and Tom must disclose this potential the Rockefeller community think about potential conflicts conflict of interest. of interest they may encounter. The examples are not all-inclusive. Effective Date of Policy: March 2006 1. Alan is a manager in an administrative department at Revised: March 11, 2009 the University. Alan’s sister Tina and brother-in-law Todd own a cleaning supply company, from which the University purchases supplies. Alan has purchasing

EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION POLICY

The Rockefeller University (the “University”) has demotion or transfer, promotions, disciplinary action, and terminations. The Rockefeller University likewise is implemented the following policies and procedures committed to maintaining a work environment that is free as part of its long-standing commitment to compli- from any and all forms of unlawful discrimination and ance with all applicable equal opportunity and harassment. It is therefore The Rockefeller University’s policy affirmative action requirements. The University’s to prohibit discrimination and harassment against any ap- President fully supports the University’s equal plicant, employee, vendor, or contractor on the basis of race; opportunity and affirmative action policies. creed; color; national origin; religion; sex/gender (including sexual orientation; self-identified or perceived sex; gender EQUAL OPPORTUNITY POLICY expression; gender identity; status of being transgender; status as a victim of domestic violence, sexual violence, or stalking; It is the policy of The Rockefeller University to ensure sexual and reproductive health decisions; and pregnancy); age; equal employment opportunity without regard to race; disability; alienage or citizenship status; military status; marital creed; color; national origin; religion; sex/gender (including, or partnership status; caregiver status; genetic information; or sexual orientation; self-identified or perceived sex; gender any other characteristic protected under applicable law. It expression; gender identity; status of being transgender; status is also the University’s policy to prohibit any and all forms as a victim of domestic violence, sexual violence, or stalking; of retaliation against any individual who has complained sexual and reproductive health decisions; and pregnancy); age; of harassing or discriminatory conduct, or participated in a disability; alienage or citizenship status; military status; marital University or agency investigation into such complaints. The or partnership status; caregiver status; genetic information; Rockefeller University also provides reasonable accommoda- or any other characteristic protected under applicable law. tion of disability, religion, and pregnancy in accordance with The Rockefeller University is committed to equal employ- applicable laws. ment opportunity at all levels of employment, including at the executive level. This policy applies to all employment AFFIRMATIVE ACTION POLICY practices including but not limited to recruitment, hiring, employment, assignment, training, compensation, benefits, The Rockefeller University is a federal contractor and, as such, the University is committed to taking positive steps

22 | to implement the employment-related aspects of its equal or any other violation of this policy is strongly encouraged opportunity policy. Accordingly, it is The Rockefeller Uni- to notify one of the individuals identified in that policy. versity’s policy to take affirmative action to employ, advance The Rockefeller University will promptly and thoroughly in employment, and otherwise treat qualified minorities, investigate alleged misconduct as appropriate and, if a women, protected veterans, and individuals with disabilities violation of this policy is found, will take immediate and without regards to their race/ethnicity, sex/sexual orienta- appropriate corrective action. tion/gender identity or expression, veteran status, physical or mental disability, or any other characteristic protected under COMMITMENT TO NON-RETALIATION applicable law. Under this policy, The Rockefeller University Every employee is encouraged to come forward without also will provide reasonable accommodation to the known fear of reprisal, as The Rockefeller University’s equal physical or mental limitations of an otherwise qualified opportunity and affirmative action policies prohibit any employee or applicant for employment, unless the accommo- and all forms of retaliation against anyone who in good dation would impose an undue hardship on the operation of faith complains that these policies are not being followed, University’s business. The Rockefeller University’s affirmative or who otherwise participates in a University or agency inaction policy also prohibits employees and applicants from vestigation into such complaints, even if sufficient evidence being subjected to harassment, intimidation, threats, coercion, is not found to substantiate the complaint. If you believe or discrimination because they have engaged in or may that you have been subjected to retaliation, your complaint engage in: (1) filing a complaint; (2) assisting or participating should be directed to one of the individuals identified in an investigation, compliance review, hearing, or any other below. After receiving a complaint involving a violation activity related to the administration of Section 503, Section of the University’s equal opportunity or affirmative action 4212, or any other federal, state, or local law requiring equal policy, The Rockefeller University will investigate and take opportunity for disabled persons or covered veterans; (3) corrective action, as appropriate. Complaints and investiga- opposing any act or practice made unlawful by Section 503 tions will be kept confidential to the maximum extent or Section 4212 and their implementing regulations, or any possible to the extent consistent with appropriate investiga- other federal, state, or local law requiring equal opportunity tion and corrective action. No one, regardless of position or for disabled persons or covered veterans; or (4) exercising length of service, is exempt from these policies. Individuals any other right protected by Section 503 or Section 4212 or violating The Rockefeller University’s policy will be subject their implementing regulations. The non-confidential por- to discipline up to and including termination. tions of the full affirmative action program shall be available for inspection upon request by any employee or applicant HOW TO REPORT A VIOLATION OF THIS POLICY for employment in the Human Resources Department or If you believe that you have been subjected to unlawful by contacting the Vice President of Human Resources and discrimination, workplace harassment, or retaliation, you Equal Employment Opportunity Officer at 212-327-8300 can utilize the following resources to address and resolve Monday through Friday, between the hours of 9:00 a.m. – your concerns: 5:00 p.m. • Open Door Policy: Our longstanding Open Door Policy encourages employees to discuss any work-related APPLICATION OF EQUAL OPPORTUNITY AND complaint or problem with the management team in AFFIRMATIVE ACTION POLICIES your organization. These policies apply whenever and wherever an employee • Human Resources: Many of your concerns can be of The Rockefeller University is performing a function addressed by contacting the Department of Human of his or her job, including all Rockefeller locations and Resources at 212-327-8300. All matters will be promptly Rockefeller-sponsored business and social functions. The investigated and kept confidential to the extent consistent Rockefeller University’s equal opportunity and affirmative with appropriate investigation and corrective action. action policies require that employment decisions be based Any employee found to be engaging in any form of only on valid job requirements, and extend to all terms, harassment, unlawful discrimination, or retaliation against conditions, and privileges of employment including, but not a person bringing a claim will be subject to disciplinary limited to, recruitment, selection, compensation, benefits, action up to and including termination. training, promotion, and disciplinary actions. AUDIT SYSTEM WORKPLACE HARASSMENT, INCLUDING SEXUAL The Rockefeller University has implemented an audit and HARASSMENT reporting system to: (1) measure the effectiveness of its af- A key component of The Rockefeller University’s com- firmative action program; (2) indicate any need for remedial mitment to equal opportunity is its prohibition of unlawful action; (3) determine the degree to which affirmative action discriminatory harassment. The University’s commitment to obligations have been attained; (4) determine whether all equal opportunity and its prohibition of workplace harass- employees, including, without limitation, protected veterans, ment based on a classification protected by law is set forth individuals with disabilities, women, and minorities, have in the University’s non-discrimination and antiharassment had the opportunity to participate in all University- policy. Any employee who suffers or observes harassment sponsored educational, training, recreational, and social

| 23 activities; (5) measure compliance with affirmative action obligations; and (6) document the actions taken to comply with affirmative action obligations.

RESPONSIBILITY FOR IMPLEMENTATION As Vice President of Human Resources and Equal Employment Opportunity Officer, I fully support our Virginia Huffman affirmative action program and am committed to the Vice President of Human Resources implementation of the University’s equal opportunity and Amended by Administrative Working Group on April 16, affirmative action policies. 2019, effective May 20, 2019

GRIEVANCE PROCEDURE

The University has established a This policy is applicable to staff formal, four-step Grievance Policy employees only. STEP 2 for handling employee grievances The following Procedure outlines If the grievance is not resolved to the resulting from the application or the way in which employees may satisfaction of an employee at Step 1, interpretation of a University policy present a grievance to their immedi- then the employee shall have three or program. ate supervisors and, if they wish, to working days from the receipt of If a staff employee becomes other branches of the University the immediate supervisor’s decision involved in a grievance relating to the Administration. A meeting of those to present the grievance to the interpretation or application of Rock- individuals involved in the grievance Department or Laboratory Head. The efeller University personnel policies will be held at each step of the Department or Laboratory Head shall, and practices, employee benefits, or Procedure. Emergency grievances within five working days, advise the other matters relating to the terms concerning employee health and employee of a decision with respect and conditions of employment, as safety may be given special attention, to the grievance. they may from time to time exist, the as the situation requires. Those employees working employee shall have the opportunity The Grievance Procedure also directly for the heads of Laboratories to have such grievance heard and sets forth time periods during which or Departments will initiate a griev- reviewed through the University’s each step of the Procedure is to be ance at Step 1 of the Procedure and Grievance Procedure. The Grievance processed. Generally, if an employee then go directly to Step 3, unless the Procedure shall include grievances in does not appeal a decision within subject of the complaint involves the the following categories: the specified maximum number of Laboratory or Department Head in 1. Job Classification, Wages, days, the grievance will be considered which case the employee will initiate or Salaries settled. However, it is recognized that the grievance at Step 3. due to unusual circumstances (days 2. Personnel Policies or Practices off, sickness, vacations, etc.), delays STEP 3 3. Employee Benefits may occur in processing a grievance. If the grievance is not resolved at 4. Working Conditions, Safety, or Step 2 to the satisfaction of the STEP 1 Health Hazards employee, the employee may present 5. Promotional Opportunities In the event that a grievance arises the grievance, in writing, to the and staff employees wish to use the 6. Supervisory Relations Vice President of Human Resources Grievance Procedure, in general they within three working days from the 7. Disciplinary Actions shall have 10 working days from the time the decision of the department 8. Discriminatory Practice on the occurrence causing the grievance or Laboratory Head was received. The basis of race, color, religion, sex, age, to present it to their immediate Vice President of Human Resources national origin, citizenship status, supervisors. The supervisors, within shall, within 10 working days, advise marital status, sexual orientation, three working days, will advise the the employee, in writing, of the Vice veteran status, or disability. employees of their (the supervisor’s) President’s position with respect to decision with respect to the grievance. An employee has the right to use the grievance (with copies to the In such instances where the the Grievance Procedure for employ- department or Laboratory Head and subject of the complaint involves the ment problems enumerated above if the employee’s immediate supervisor). employee’s immediate supervisor, the a mutually satisfactory solution to the employee may initiate a grievance problem has not been reached after STEP 4 with the head of the Laboratory or an informal review by the employee’s If the grievance is still not resolved to Department (Step 2) and then move supervisor(s) and Human Resources. the satisfaction of the employee, the directly to Step 3.

24 | employee shall have three working tive. After receiving such a request, the 10 working days from the receipt of days from the time of receipt of the Vice President of Human Resources the foregoing, the President or the Vice President of Human Resources’s shall have five working days to present designated representative shall present decision to request the Vice President the employee’s written grievance, a decision in writing to the employee of Human Resources to present a and all other information in con- and the Vice President of Human grievance to the President of the nection therewith, to the President Resources. University or a designated representa- or designated representative. Within

THE ROCKEFELLER UNIVERSITY HOUSING POLICY

POLICY STATEMENT: The Rockefeller University (“University”) recognizes the importance of a housing program as a critical recruitment and retention tool given the high cost of living in the New York metropolitan area. The University’s goal is to provide housing-eligible members of the University community with a home that is: • in close proximity to laboratories and campus facilities • safe and secure • affordable • responsive to the needs of young scientists and families with children

APARTMENT INVENTORY AND RENTAL RATES commencement of ineligibility. The University has a rental stock of 750 apartments, includ- Affiliates who become only temporarily ineligible ing studios, one-, two-, and three-bedroom units, located for housing, may, with the prior written consent of the on or in close proximity to campus. Most of the apartments University, remain in their apartments during the agreed- are in full-service buildings with a variety of amenities. In upon specified temporary period. addition, 50 furnished on-campus guestrooms are available Affiliates who are moving to a housing-ineligible posi- at competitive rates on a nightly, weekly, and monthly basis. tion at the University may remain in their apartments for University housing rents are based on a methodology 60 days following their change to housing-ineligible status. outlined by the Internal Revenue Code Section 119(d). The formula regulates the minimum rent that can be LEASE AGREEMENTS AND RENEWALS charged to an employee without imputed income being as- The University leases its units to affiliates for terms of 12 sessed. These safe-harbor rents are adjusted annually and are months. Annual lease renewals are contingent upon the re-set, as needed, following property appraisals performed affiliate’s maintaining housing eligibility, using the unit as every three to five years. a primary residence, and complying with all terms of the lease agreement. If the unit is not used as a primary resi- ELIGIBILITY dence of the affiliate, or if an affiliate who resides elsewhere Affiliates eligible for University housing (“affiliates”) are allows occupancy of the apartment by a person or persons individuals with full-time academic appointments, senior who are not housing-eligible, the University reserves the administrators (AVP and above), and students. right to terminate the lease or to adjust the rent. When the demand for housing exceeds availability, priority is given to newly recruited tenured and tenure- RETIREES, EMERITI, SURVIVING SPOUSES AND track faculty and to postdoctoral associates/fellows who DOMESTIC PARTNERS seek University housing. Emeriti or Faculty eligible to retire: Faculty emeriti or University apartments must be the primary residence faculty eligible to retire and, in the event of their death, of the affiliate. Continuing documentation of primary their surviving spouses or domestic partners at the time of residence may be requested by the University at any time. the affiliate’s retirement or retirement-eligibility date, can Visiting students, fellows and faculty may be eligible for remain in University housing without limitation, provided temporary housing if they do not have housing in the local that it is the primary residence and that there is compliance area. Members of the adjunct faculty are not eligible for with all terms of the lease agreement. The University University housing. reserves the right to transfer the tenant to a smaller unit. If an affiliate in this category has remarried or entered TERMINATION/CHANGE OF EMPLOYMENT STATUS into a new domestic partnership after his or her retirement, Affiliates who cease to be eligible for housing will, under the surviving spouse or domestic partner of the faculty normal circumstances, be permitted to extend the oc- emeritus may remain in the University apartment for one cupancy of their apartments for up to 30 days following the year following the death of the affiliate. | 25 Retirees (other than Emeriti): The University be directed to the Housing Office at 212-327-7970 or at permits a retiring affiliate who was in affiliate status for at [email protected]. least 15 years prior to retirement to remain in his or her Preferences regarding apartment cost and size should apartment for a period of one year following retirement, be noted on the application. If the affiliate prefers a specific provided that it is the retiree’s primary residence and that location, the University will try to accommodate; yet it there is compliance with all terms of the lease agreement. A often proves difficult to assign the first-choice apartment. retiring affiliate with fewer than 15 years in affiliate status is Graduate students are advised to refer to the Student permitted to remain in his or her apartment for six months Housing Handbook and the Dean’s Office for information after retirement provided that it is the retiree’s primary concerning University student housing. residence and that there is compliance with all terms of the The Housing Office will typically notify the affiliate lease agreement. 30 days prior to his/her arrival of a unit appropriate in size Surviving Spouses and Domestic Partners of for the individual’s household. The affiliate has two business Non-Emeriti: A surviving spouse or domestic partner of days to accept or decline the offer. Applicants who have an affiliate other than an emeritus who, at the time of his declined two offers and are staying in University guest or her death, was in affiliate status for at least 15 years may accommodations or furnished shares are required to find remain in the University apartment for one year following private accommodations within 30 days of their second the death of his or her spouse or domestic partner. refusal. Individuals who decline a second offer may submit A surviving spouse or domestic partner of an affiliate a new application one year following their refusal of the other than an emeritus, who, at the time of his or her death, second apartment offered. was in affiliate status for fewer than 15 years, may remain in Once an offer of a University apartment has been ac- an apartment for six months following the death of his or cepted, the earliest move-in date is two weeks prior to the her spouse or partner. affiliate’s start date at the University. Rents will be pro-rated based on the confirmed move-in date. SEPARATION FROM SPOUSES OR DOMESTIC PARTNERS TRANSFERS Academic Appointments (other than Heads of Applications for transfers will be accepted by the Housing Laboratory and Emeriti) and Students: In the event Office after the tenant has resided in his or her apartment of separation or divorce between an affiliated tenant and for a minimum of two years. Due to the high volume of his or her non-affiliated spouse or domestic partner, the new arrivals from May through December, new apartments non-affiliated spouse or domestic partner may not take over will not be assigned to existing tenants during this period. the lease agreement and must find housing off campus. In the period from January through April, transfers will be Heads of Laboratory, Emeriti and Senior Admin- offered when appropriate apartments become available. istrators: In the event of a separation between a head of Affiliates experiencing life-event changes such as laboratory, faculty emeritus or senior administrator and his marriage, registration with government authorities of a or her non-affiliated spouse or domestic partner, the affiliate domestic partner, child birth, adoption, financial hardship may apply for a second unit to be used by either the affiliate or divorce will be given priority and may be transferred or his or her spouse or domestic partner. The non-affiliated throughout the year and without regard to whether they spouse or domestic partner may remain in University hous- have occupied their current apartment for a minimum of ing for no more than six months following the provision two years, provided units are available. Transfer requests of the second University apartment (if one is provided by should be submitted as early as the date of the event the University) or following the time the affiliate vacates becomes known. University housing, whichever is sooner. The tenant has the right to decline two apartments offered for transfer. After a second refusal, the tenant may APPLICATION PROCEDURE reapply for a transfer one year after the second refusal. When demand for University housing exceeds availability, the affiliate may be wait listed based on the date the hous- CO-TENANCIES ing application was received. It is highly recommended that Affiliates sharing a unit with other affiliates who are not persons seeking University housing apply as early as pos- immediate family members are required to enter individual sible. Two affiliates who are married or domestic partners co-tenancy lease agreements with the University. Rents should submit one joint application. Housing applications for persons living as co-tenants will be pro-rated based by affiliates must be completed and returned for approval to on apartment size and the number of co-tenants in a unit. Human Resources, either by mail or fax at 212-327-8699. The termination of one or more lease(s) of a person or Once eligibility has been confirmed, Human Resources persons sharing a unit will not negatively affect the rent(s) will forward the application to the Housing Office, which established in the co-tenancy agreement(s) of the remaining will contact the applicant to discuss the application. All tenant(s). questions concerning details of University housing should

26 | Co-tenancies are permitted only where all the co- RESERVATION OF UNIVERSITY RIGHTS tenants are affiliates of the University. Persons who are not The University reserves the right from time to time to affiliates are not permitted to live in University housing change its housing policies. This policy statement is not unless they are spouses, domestic partners or immediate intended to be and should not be regarded as a contract family members of affiliates. between the University and any person.

POLICY ON INDUSTRIAL SPONSORSHIP OF RESEARCH

This statement of policy covers all of the major points that usually arise in discussions with for-profit firms interested in supporting research conceived and carried out by investigators at The Rockefeller University.

BASIC PRINCIPLES STAFF The Rockefeller University’s primary mission is to carry All professional and supporting staff will be selected by the out fundamental scientific investigations for the good of University’s regular procedures. Compensation and other humankind. While the University recognizes that other benefits must be consistent with the University’s prevailing organizations also play key roles in advancing science to standards, independent of the level of funding for the serve social goals, any agreement for industrial sponsorship sponsored research project. of research on campus will emphasize the University’s basic mission and the traditions related to it. Sponsored research DOCTORAL STUDENTS will be of the character called “investigator-initiated.” The Doctoral students at the University are free to choose projects will represent areas in which the Sponsors’s objec- their research topics in consultation with their faculty tives converge with the University’s independent priorities. advisors. Accordingly, students are never assigned to projects The University aims to maintain flexibility and sponsored by industry. Their association with such projects independence — in intellectual and organizational terms must be voluntary. — by balancing the funding from diverse public and private sources. Private support is essential for strengthening ongo- FACILITIES ing programs and starting new lines of research. Industrial The University usually will provide all of the required collaboration and support are desirable in order to foster laboratory and supporting facilities and will retain complete creative partnerships that promote more rapid progress and control of them. (See Liaison and Collaboration with the stimulate the effective use of new knowledge. Sponsor in this section for discussion of collaborative tasks and liaison with sponsors.) SCOPE OF RESEARCH CONTRACTS A contract will state clearly the scope of the investigation PROGRAM REVIEWS covered by the agreement. It will give the Principal For most projects — and for all major projects — a brief, Investigator(s) full responsibility for, and broad flexibility in, comprehensive review will be carried out annually. It will the direction of research. cover the progress of research as well as the effectiveness In order to deepen awareness of the possible long-term of administrative and financial procedures; and it will aim applications of the research, the agreement also will specify to ensure mutual understanding and, if necessary, improve the sponsor’s objectives. the agreement. The program review will include Principal The University has available draft contracts that include Investigator(s), University officers, sponsor’s technical all of the administrative guidelines included in this policy representative, and sponsor’s administrative staff. At the statement. discretion of the President — and with prior notification to the sponsor in order to protect any proprietary informa- TERM AND STABILITY tion — an ad hoc group of the University’s senior faculty The term of a contract usually will be at least three years may participate in such an annual review and may receive — and, preferably, five or more years — for a major project, reports from such reviews or from any other evaluations. unless specific tasks are expected to be completed earlier. Programmatic accountability and quality control also For continuing lines of fundamental research, the may be met through some mutually acceptable form of agreement will provide for a possible extension of at least “peer review,” such as site visits at intervals of three to five two years, following a satisfactory review of the program. years. The main criteria for evaluation will be scientific Because stability of support is critical for the laborato- quality and productivity. A site visit team will be composed ries at the University, the agreement will provide for not of three to five distinguished scientists drawn from through- less than one year and usually two years’ notice of termina- out the world and having no substantial, current relation- tion by the sponsor. ships with either the sponsor or the University. Their

| 27 reports will be submitted to the University’s President and SPONSOR’S SUPPORT FOR to the industrial sponsor’s senior scientific management. INSTITUTIONAL PURPOSES In any case, brief annual reports of scientific progress, To acknowledge the importance of the larger scientific with reprints of publications, will be submitted to the spon- community essential for any sponsored project, the sponsor sor by the Principal Investigator through the University’s will be expected to provide unrestricted support for usual procedures. the University’s critical core components, such as Ph.D. students, postdoctoral fellows, junior faculty, libraries, SCIENTIFIC PUBLICATIONS AND MEETINGS animal facilities, computing services, and instrument shops. The Principal Investigator and colleagues will have the Scaled in proportion to the level of effort in the sponsored full traditional freedom to publish and present promptly all research, this funding may be made through either a sepa- results of research. Reasonable delays in the publication of rate gift or as part of the contractual agreement to sponsor research results will be accommodated for consideration specific research. Brief annual reports will be submitted on of filing patent applications. Typically, the delay will be no overall uses of such unrestricted support. more than 30 days; but, in exceptionally complex cases, delay may be extended by as much as 60 additional days VENTURE CAPITAL AND after the reasons are summarized in a formal agreement SMALL BUSINESS SPONSORSHIP between the University and the sponsor. The University welcomes sponsorship by, and collaboration with, entrepreneurs who are able to provide direct funding BUDGET AND PAYMENT SCHEDULE for investigations proposed by the University’s faculty. Such The contractual agreement will include an estimated investigations may lead to results with clear-cut social and budget for each year covered in the contract. The budget commercial applications that can be exploited by small will encompass all direct operating costs plus the Univer- businesses as well as larger firms. sity’s full indirect costs at not less than the rate approved by The University will not, as a general rule, permit its Federal auditors. The Principal Investigator will be given name to be used by an entrepreneur in prospectus (or other reasonable flexibility for annual re-budgeting between offering) soliciting investments from third parties and the direct cost categories. Where necessary, the budget also will general public, such as in the organization of an R&D include capital expenses for related laboratory renovation Limited Partnership. Because such prospectuses may be and scientific equipment, leaving ownership with the circulated to some who do not have the technical experi- University. Payments will be made quarterly in advance. ence or advice needed to evaluate the risks in long-term This policy covers all agreements for sponsored research, the University prefers not to participate in such research within the University’s facilities that involve efforts techniques of financing. Nonetheless, exceptions may be equivalent to at least a year’s work by one or more full-time considered when — in the view of the President and Trust- investigators. Subject to the approval of the President ees — the project is in the best interest of the individual or his designated representative, smaller and/or shorter investigators and the University as a whole. To be approved, projects may be treated differently. All industrially sponsored an exception would have to show explicit safeguards for the projects — at whatever levels of effort, and including protection of investors and the University. clinical investigation, short-term projects, and salaries for postdoctoral appointments for work in specific areas — will LIAISON AND COLLABORATION include the University’s full indirect costs. WITH THE SPONSOR From time to time, the sponsor may send representatives FUNDING OF RELATED PROJECTS to discuss preliminary results of research in progress and Subject to the consent of the investigators, an agreement details of the investigative techniques. The timetable for all may include a clause giving the industrial sponsor the first such visits must be approved in advance by the University’s option to fund additional, related projects. Principal Investigator. The Principal Investigator will have the authority to Appropriate collaborative efforts with the sponsor’s continue to obtain diverse complementary support for the in-house research staff will be encouraged whenever mutual laboratory from public and private (not-for-profit) sources. interest are identified. Such collaborations may require The University will inform the sponsor about support for supplementary funding and separate patent agreements. other projects related to the subject of the specific working Collaborative efforts also may entail extensive joint being funded by the sponsor. use of the University’s and/or the sponsor’s facilities. Such arrangements must be negotiated in advance, on a case by FINANCIAL ACCOUNTABILITY case basis, consistent with the University’s patent and other Financial accountability will be met through appropriate policies. reports to the sponsor, prepared annually in accordance with generally accepted accounting principles. The reports will be designed to meet the sponsor’s requirements.

28 | FACULTY CONSULTING TO SPONSOR proprietary or confidential information associated with The Principal Investigator (and others, as appropriate) the sponsored research. Carefully restricted Confidentiality may serve as a consultant to the sponsor under a separate Agreement letters may be signed by the Principal Investiga- agreement that is consistent with University’s policy on tor, by other staff engaged in the project, and by senior consulting. (See University Policy on Conflict of Interest officers of the University. and Commitment in Research.) PUBLICITY ABOUT CONTRACTS PATENTS, LICENSES AND ROYALTIES Any public statement or announcement about the contract, Subject to prevailing laws and regulations, the University either by the University or the sponsor, will be made only will hold title to all patents resulting from sponsored after written approval by both parties. The general purposes, research at the University. level of effort, and duration of the sponsored research may Where appropriate, in the judgment of the University, be announced publicly shortly after a contract is signed. a contract may give the sponsor the right of first refusal on Subsequently, any public announcements on the status exclusive, royalty-bearing licenses for a certain period. and results of work will be drafted jointly and released at Prior to a decision whether to file a patent application mutually agreeable times. on results arising from the sponsored project (and on the responsibility for, cost of, and schedule for any such filing), KEY UNIVERSITY PROCEDURES discussions will be held on a case by case basis between the Each proposal and each contractual agreement for spon- Principal Investigator, the University’s Office of Technology sored research must be approved in accordance with the Transfer and counsel, and the sponsor’s officials. Royalty University’s general procedures for submitting and accept- revenues will be shared on each patent in accordance with ing grants from Federal and not-for-profit sponsors. the University’s prevailing practices and the law, and the The Director of the Office of Sponsored Program arrangement will respect the rights of any other parties coordinates administrative and budgetary reviews of all involved, such the U.S. Government. (See the University’s elements of formal proposals and awards. The Associate Vice Intellectual Property Policy and the related Agreement President, Technology Transfer, in conjunction with the Concerning Intellectual Property.) Office of the General Counsel, reviews proposed contracts and carries out the negotiations designed to assure compli- PROPRIETARY INFORMATION ance with prevailing law and University policies. The Vice The University greatly values the traditionally open pattern President for Finance assures financial controls and prepares of creative interactions by scientists among its laboratories budgetary reports to corporate sponsors. and with the research community generally. Accordingly, the sponsor is expected to cooperate with the University Approved by the Board of Trustees at all times in stringently minimizing the amount of any May, 1985.

| 29 INTELLECTUAL PROPERTY POLICY

INTRODUCTION The Rockefeller University (“University”) recognizes that inventions may be made and copyrightable works may be created in the course of research supported by facilities, equipment or funds of or administered by the University. The University desires that such inventions and works be brought into use for the public benefit at the earliest possible time. The University recognizes that this objective may be best accomplished through the patenting of such inventions and the licensing of such inventions and works consistent with the public interest. The University also desires to foster the creation and publication of scholarly works by authors at the University. This policy seeks to reconcile these interests on behalf of the public, the University and the inventors and authors.

EFFECT AND INCORPORATION BY REFERENCE individual who is or could reasonably be determined This Intellectual Property Policy, as it may be amended to be an inventor under applicable Federal patent law from time to time (this “Policy”), supersedes the Patent of an Invention that is claimed or described in a patent Policy of January 1, 1994 and the Copyright Policy of or patent application and/or an individual who has January 18, 1984 (collectively, the “Prior Policies”) and substantially contributed to the conception, design or shall be deemed to be incorporated by reference in existing development of an Invention that is not claimed in a agreements referencing either of the Prior Policies, except patent or patent application. as noted below. In the event there are inconsistencies 2. Ownership of Works. The University acknowledges between this Policy and existing agreements referencing that copyrightable works that are submitted and accepted either of the Prior Policies or this Policy, the terms of this for scholarly publication, such as a journal article or a Policy shall control. text book (each, a “Scholarly Work”), will be owned by the Author. The University further acknowledges SUMMARY OF POLICY that copyrightable works that are created outside of the scope of employment or engagement by the University All Inventions as defined in Paragraph 1 below are owned and without using the facilities, equipment or funds of by the University. The copyright in Scholarly Works and or administered by the University, such as a novel or a Individual Works (as those terms are defined in Paragraph 2 painting (each, an “Individual Work”), will be owned below) will be owned by the author. All other copyright- by the Author. All copyrightable works that (a) are able works that are Commercial Works as defined in neither Scholarly Works nor Individual Works and (b) are Paragraph 2 below are owned by the University. Net cash created by employees of the University or others using proceeds from licensing transactions, after the University the facilities, equipment or funds of or administered by recovers all costs and fees as described below, will be the University (each, a “Commercial Work”) are hereby paid thirty-three and one-third percent (33-1/3%) to the assigned by the Authors to, and are the sole property of, inventors or authors as a group and sixty-six and two-thirds the University. Where applicable, Commercial Works are percent (66-2/3%) to the University. Any equity or other treated as works for hire under Federal copyright law. class of securities derived from a license transaction will be Examples of Commercial Works would include: the text held by the University and managed by the University’s Of- of an invention disclosure written by an Author to be fice of Technology Transfer (“OTT”) or its designee. Such used in a patent application, courseware, databases, and equity or other class of securities will be liquidated as soon the source code and documentation for a new computer as reasonably practicable, with cash proceeds distributed as software program created by an Author. The term “Au- described above. thor” under this Policy means an individual determined to be an author of a Scholarly Work, Individual Work or POLICY Commercial Work under applicable Federal copyright law. 1. Ownership of Inventions. All inventions, discoveries 3. Exceptions. The University reserves a royalty-free, non- and improvements, whether patentable or not, that exclusive right for itself and other non-profit institutions are conceived, reduced to practice, or generated by to use all Inventions, Scholarly Works and Commercial employees of the University or by others, using the Works for academic and research purposes. With respect facilities, equipment or funds of or administered by the to Inventions, Scholarly Works or Commercial Works, University (each, an “Invention”) are hereby assigned the University may choose to modify the disposition by the Inventors to, and are the sole property of, the of its ownership under this Policy. With respect to joint University. Inventions, discoveries and improvements invention or authorship with entities or individuals not may be, for example, data, tangible materials and know covered by this Policy, the University will seek to resolve how. The term “Inventor” under this Policy means an any ownership questions by contract in a timely manner.

30 | 4. Disclosure Process. At the commencement of his or and one-third percent (33-1/3%) to the Inventors of her employment or engagement, each employee or other the Invention or the Authors of the Commercial Work, person who uses the facilities, equipment or funds of as a group, after recovery of fees and costs, if any, under or administered by the University is required to sign an Paragraph 6(e) and sixty-six and two-thirds percent Agreement Concerning Intellectual Property (Appendix (66-2/3%) to the University. A, as may be amended from time to time) and to be d. If there is more than one Inventor of an Invention or bound by this Policy. Any failure of an individual to sign Author of a Commercial Work, then the Inventors’ or such Agreement shall not affect the applicability of this Authors’ shares of the Net Proceeds will be divided as Policy or relieve any individual who is subject to this unanimously agreed among such Inventors or Authors Policy from the obligations imposed by it. An Inventor or according to a written share allocation agreement, a copy Author must promptly disclose to OTT each Invention of which will be provided to OTT as soon as possible. or Commercial Work conceived or made using funds e. The University has no obligation to resolve disagree- from an entity that requires disclosure of any such Inven- ments among Inventors or Authors as to share allocation. tion or Commercial Work. Additionally, an Inventor or However, in the event of an impasse, in the interest Author must disclose an Invention or Commercial Work of fairness, OTT reserves the right to intervene, at its for which he or she wishes to seek commercialization. discretion, to facilitate a determination of the share Each Inventor or Author will cooperate with OTT at allocation using an internal University process or external all times in the implementation of this Policy (including dispute resolution process, such as mediation or binding executing assignments and other documents as requested arbitration. The external dispute resolver may determine by OTT) in connection with each Invention or Com- the shares of the individual Inventors or Authors and the mercial Work, which includes applying for, obtaining, share of dispute resolution fees and costs to be borne by maintaining and enforcing patents or copyrights each of them. All of the fees and costs of external dispute anywhere in the world; licensing or other transactions; resolution will be borne by the Inventors or Authors. To and cooperating in any litigation, other proceedings or the extent the University incurs any fees and costs (other any dispute resolution, such as mediation, arbitration, etc. than internal costs) in connection with determination of Such cooperation is a condition of receiving a share of share allocation, such fees and costs will be recovered by the Net Proceeds. the University only from the Inventors’ or Authors’ share 5. Role of OTT. OTT will be the primary office at the of Net Proceeds. This Policy will not affect any existing University responsible for managing this Policy. OTT share allocation agreements among Inventors or Authors. will, for example: (a) determine whether or not to seek f. If an Inventor or Author who is a Head of Laboratory patent or copyright protection for an Invention or elects to contribute any or all of his or her share of the Commercial Work and implement the selected strategy; Net Proceeds to his or her laboratory for the purposes (b) determine whether or not releasing an Invention to of supporting ongoing research at the University, then the Inventor or Commercial Work to the Author is in the the University will contribute a matching sum from the best interests of the University; (c) market Inventions and University’s share of the Net Proceeds to such laboratory Commercial Works to potential licensees; (d) structure, to support such research. close and administer license and sponsored research 7. Distribution of Net Proceeds. Net Proceeds from transactions; (e) facilitate the distribution of cash proceeds licensing transactions for Inventions and Commercial from license transactions consistent with the terms of Works will be distributed by the University in its Paragraph 6 of this Policy; and (f) develop and administer ordinary course of business to Inventors or Authors procedures that are consistent with this Policy. according to the share allocation agreement described in 6. Allocation of Cash Proceeds. a. The Author will Paragraph 6(d). No interest will be paid on Net Proceeds. retain any cash proceeds from Scholarly Works and/or The University will use reasonable efforts to distribute Individual Works. any Net Proceeds due to an Inventor or Author who is b. The use of proceeds from sponsored research transac- no longer associated with the University, provided that it tions for Inventions and Commercial Works will be is the sole obligation of such Inventor or Author or his governed by applicable contracts, this Policy and any or her estate to provide current contact information to other applicable University policy. OTT. In the event of the death of an Inventor or Author, c. Cash proceeds (including proceeds from the any Net Proceeds due to the Inventor or Author will be liquidation of Equity as described in Paragraph 8 below) distributed to his or her estate in accordance with this arising from an Invention or Commercial Work will be Policy and applicable law. Payment of Net Proceeds to divided as follows: (i) first, the University will recover an Inventor or Author will be reported by the University all patenting, licensing, transactional, and other costs and as payment of “other income” or “royalties” and not as fees (including e.g., fees and costs of litigation, arbitration, “salary”. Distribution of Net Proceeds to an Inventor mediation or other proceedings) relating to the Invention or Author may have tax consequences for the Inventor or Commercial Work; and (ii) second, the remaining cash or Author, which tax consequences will be the sole proceeds (“Net Proceeds”) will be divided thirty-three responsibility of the Inventor or Author. Each Inventor or

| 31 Author should consult his or her tax advisor to determine by reference into and made a part of this Policy. his or her tax consequences. 9. Inventor or Author Compensation. All Inventors 8. License-Derived Securities. If the University receives and Authors are required to submit to OTT existing and any equity or other class of securities (“Equity”) of a proposed agreements, including proposed amendments to licensee as consideration in a license transaction for Inven- existing agreements, with any entity that is or becomes tions or Commercial Works, then the Equity will be held involved with the University in a license transaction by the University and managed by its designee. It is the concerning the Inventor’s or Author’s Invention or Com- policy of the University to liquidate such Equity as soon mercial Work. Should any Inventor or Author receive or as reasonably practicable, usually in the public market, have a right to receive compensation directly or indirectly rather than seek to maximize the return on the Equity (except for an Inventor’s or Author’s share under Para- by trying to time the sale of the Equity. The University graph 6 above) from such an entity, OTT will determine does not act as a fiduciary for any Inventor or Author whether the existing or proposed agreement would be concerning such Equity, and no Inventor or Author will inconsistent with the interests of the University. If, in its have any right to vote or direct the disposition of such sole discretion, OTT determines that such an agreement Equity. The University has no obligation or duty to an would be inconsistent with the University’s interests, the Inventor or Author regarding the value realized upon agreement may be disclosed by OTT to the Technology liquidation of such Equity, or regarding any personal tax Transfer Committee of the University’s Board of Trustees. consequences that may arise as a result of an Inventor’s or This Committee may then recommend to the University Author’s receipt of Net Proceeds from the disposition of President appropriate action, including adjustment of such Equity. Once the Equity is liquidated, the proceeds the University’s and the Inventors’ or Authors’ shares of will be treated as cash proceeds and distributed under Net Proceeds based on the particular circumstances of the terms of this Policy. For a more detailed explanation the situation. The President’s decision will supersede any of the considerations involved in Equity transactions, inconsistent provisions set forth in Paragraphs 6 and 8. see the attached Appendix B on Guidelines for License Transactions Involving Securities, which is incorporated

EFFECTIVE DATE This Policy became effective on June 4, 2003 upon approval by the Board of Trustees of the University, was amended on October 7, 2005 and March 15, 2010, and is further amended, effective on November 17, 2010.

32 | APPENDIX A

AGREEMENT CONCERNING INTELLECTUAL PROPERTY In consideration of my employment or engagement by The Rockefeller University (the “University”) or my use of the facilities, equipment or funds of or administered by the University, I make this agreement with the University:

1. I hereby agree:

(a) to be bound by the University’s Intellectual Property Policy, as it may be amended from time to time (the “Policy”);

(b) to make prompt and full written disclosures in accordance with the Policy, including disclosure of certain Inventions and/or Commercial Works (as those terms are defined in the Policy) and of existing and proposed agreements that I may have with an entity that is or becomes involved with the University in a license transaction concerning my Inventions or Commercial Works;

(c) to assign and do hereby assign to the University all of my right, title and interest in, to and under the Inventions and/or Commercial Works of which I am an Inventor or Author; and

(d) that all right, title and interest in and to the Inventions and/or Commercial Works discovered or created by me are the property of the University under the terms of the Policy.

2. At the request of the University at any time and in accordance with the Policy, I will execute, without charge, all documents relating to the Inventions and/or Commercial Works, including those reflecting the assignment herein and assist the University in applying for, obtaining, maintaining and enforcing associated patent and copyright applications, patents and copyrights anywhere in the world.

3. At the request of the University, I agree to assist the University, without charge (except for reasonable compensation for extraordinary work, if I am no longer employed or engaged by the University) in the following:

(a) Preparation, filing, prosecution of applications and maintaining patents or copyrights anywhere relating to any Invention or Commercial Work;

(b) Licensing or other transactions relating to any Invention or Commercial Work; and

(c) Any litigation, other proceedings (in courts, patent offices, copyright offices or elsewhere), or any dispute resolution process, including mediation, arbitration or negotiation, relating to any Invention or Commercial Work.

4. This Agreement will inure to the benefit of the University and its nominees and their respective legal representatives, successors and assigns. This Agreement will be binding now and in the future on me and my heirs, legal representatives, executors, administrators and assigns. Except with the prior, written consent of an authorized official of the University, no attempt by me to assign or transfer any rights in Inventions or Commercial Works will relieve me of any of my obligations under this Agreement or the Policy.

5. This Agreement, together with the Policy, supersedes any prior agreements or understandings I may have signed or to which I may be bound with respect to the subject matter of this Agreement. I represent and warrant that I have not entered into any agreement, understanding or obligation with any person, organization or corporation that is in conflict with my obligations under this Agreement or the Policy.

Signature: ______Dated: ______, 20__

Printed Name: ______

| 33 APPENDIX B

GUIDELINES FOR LICENSE TRANSACTIONS INVOLVING SECURITIES One category of potential licensees for an Invention or OTT uses the following list, which must be read in context Commercial Work that is evaluated by OTT is a start-up of the entire Policy, as a guideline in negotiating license company. Typically, a start-up company’s survival will be transactions with start-up companies: tied to the development of the technology licensed to it by • The company should be legally formed, managed by the University, and the company’s research and develop- executives experienced in the company’s industry, and ment efforts will be focused on that technology. Often, a have the potential for credible investors. start-up company can represent the best opportunity for • The University, its officers, its employees, and the the development of an early-stage technology. In some Inventors or the Authors should not hold management cases, a start-up company may represent the only licensing or fiduciary positions in the company. alternative available. • If an Inventor or Author receives or has a right to receive Equity in the company, the requirements of the Univer- Most start-up companies, whether just formed or in sity’s Policy on Conflict of Interest and Commitment in existence for a few years, have little cash and no revenues. Research must be followed. Under these circumstances, the heavy cash burden on the company of a traditional license transaction would divert • In the event that an Inventor or Author holds or will cash needed for research and development efforts and hold Equity in a company on an individual basis, diminish the company’s ability to attract initial investors. the distribution of Net Proceeds may be determined In such a licensing transaction, equity or other class of according to Paragraph 9 of the Policy. securities (“Equity”) is issued to the University at the • The University should hold a minority Equity position, commencement of the license, and most of the company’s generally not more than fifteen percent (15%) of all cash obligations to the University are postponed until outstanding Equity on a fully-diluted basis of the milestones are reached and sales and sublicense fees are company post financing. generated. Equity is not preferred to cash by the University. • The University should not invest cash directly in the Rather, in the absence of sufficient cash compensation formation of the company or in follow-on rounds of available from the company and in lieu of all or part of the financing. This does not preclude, for example, invest- initiation fees, in addition to future fees and royalties, Equity ments in the company by venture capital funds in which may be accepted as compensation by the University. Thus, the University has invested or the exercise of warrants or the issuance of Equity in a license transaction is a reason- options held by the University. able business solution that enhances the overall potential financial return to the University and remains acceptable to • Once Equity is received by the University, the Equity the start-up company and its investors. will be held, managed and liquidated in accordance with the Intellectual Property Policy and other applicable policies and procedures of the University.

JOB POSTING POLICY

ELIGIBLE EMPLOYEES POSITIONS POSTED the appropriate time to initiate the All regular full-time and part-time Active staff vacancies up to the posting and recruitment for each staff employees in good standing with director level that have met budget vacancy. After the posting period, the a minimum of one year of service in approval will be posted. Openings University will hire the most qualified their current positions are eligible to for executive officers, directors, and internal or external candidate. participate in the job posting program. faculty appointments will not be Applications for promotional or lateral posted through this program. TRANSFER PROCEDURE transfer within an employee’s immedi- Internal applicants will respond to ate work area will be considered at POSTING PERIOD a posted position by completing a any time. In the event of exceptional Job vacancies will be posted and transfer application and submitting it circumstances, the Vice President of held open for a period of five days. to Human Resources. Internal transfer Human Resources will determine, at The University reserves the right inquiries will remain confidential her discretion, approval or denial of to recruit externally for all available until an interview is scheduled or eligibility. positions prior to, during, and after until the Vice President of Human the posting period. Human Resources Resources deems appropriate. and management will determine

34 | Interviews will be arranged with PROCEDURE 3. Transfer applications can be candidates whose skills and experi- 1. All transfers must be coordinated obtained from Human Resources ence appear to most closely meet the through Human Resources. Monday through Friday between needs of the prospective department. 9:00 a.m. and 5:00 p.m. 2. Positions will be listed on a “Job If there is mutual interest after an Posting” bulletin issued every 4. Once a transfer application interview, a reference will be obtained Friday, and posted on the Hu- has been received by Human by Human Resources or the hiring man Resources web site (www. Resources, personnel records are manager. rockefeller.edu/hr), where all active reviewed and interviews may be The University may initiate positions are listed. The bulletin scheduled. transfers at any time in response to will be posted on boards located in 5. Employees who have been selected the needs of the organization and the Founder’s Hall adjacent to Human for a transfer must remain in their staff members. Resources and in the Tunnel current positions for a period opposite the Paint Shop. Additional of time equal to their vacation SELECTION bulletins will be available each allowances unless released earlier by Internal applicants will be evaluated Friday in newsstands located in management. The new department and selected on the basis of qualifica- Founder’s Hall, the passageway or laboratory will assume responsi- tions, personnel records, and recom- between Smith Hall and Smith Hall bility for the transferred employee’s mendations from present and/or past Annex, and the Weiss Building on vacation and personal days remain- supervisors. All internal applicants will the second floor. ing in the current fiscal year. be notified of employment decisions by Human Resources.

LABORATORY CARE AND ANIMAL USE

INTRODUCTION The Rockefeller University is dedicated to helping mankind through research in the biomedical and related sciences. Despite the use of the latest research technology, laboratory animals remain essential for much of the work conducted on this campus. We at The Rockefeller University fully recognize our responsibility to maintain and use laboratory animals in a manner consistent with humane concerns. The Rockefeller University’s policies and practices conform to all applicable laws and regulations; wherever feasible, the University’s practices exceed the prevailing national standards. Your help, as an employee, in maintaining the highest standards for appropriate laboratory animal care is critical to good science and humane concerns on this campus.

EXPERIENCE AND TRAINING Safety is a continuing concern. Working with animals in Many newly employed members of the campus community a research environment involves a number of personal risks, have had little formal training in the appropriate care and which are reviewed at the regularly scheduled Employee use of laboratory animals. The University regularly offers Safety Course for new employees. More information about training workshops for all employees who plan to work the use of laboratory animals will be presented at this with animals. These are announced on your monthly training program which we encourage you to attend. reports of animal use and expenses and in The Rockefeller We are eager for you to learn how best to utilize the University Calendar of Events. full program of services at LARC. Please help us help you. Call (212) 327-8525 to request a LARC handbook and CONCERNS schedule an orientation and/or training session with the department. We use animals for research at The Rockefeller University in a manner that considers both scientific need and humane care. Any concerns you have about animal use and care at the University should be directed to the Associate Vice President of the Laboratory Animal Research Center (LARC), (212) 327-8535.

| 35 NEW YORK CITY LACTATION ROOM ACCOMMODATION POLICY

Pursuant to New York City law, University will provide notice to time, the employees should contact employees have a right to request other employees that the room is Human Resources, 212-327-8300 access to a lactation room to express given preference for use as a lactation so that arrangements can be made breast milk. room. to ensure all employees are provided with access to the lactation room. For purposes of this policy, the term THE ROCKEFELLER UNIVERSITY In such instances, the University lactation room means a sanitary place, PROVIDES TWO DEDICATED will endeavor to accommodate all other than a restroom, that can be LACTATION ROOMS ON CAMPUS employees involved such as by used to express breast milk shielded FOR NURSING MOTHERS. requesting that the employees adjust from view and free from intrusion and 1. CRC, Greenberg Building, their desired times for use of the that includes at minimum an electrical Room A08 lactation room and when this is not outlet, a chair, a surface on which 2. WRB, first floor. Walk into the feasible the University may follow a to place a breast pump and other ladies room and lactation room chronological order based on timing personal items, and nearby access to door is on the right. (Please note of receipt of the request. If providing running water. Unless doing so poses the lactation room is a separate an employee access to a lactation an undue hardship, the University will room from the restroom.) room poses an undue hardship to the provide (i) a lactation room in reason- University, the University will engage able proximity to the employee’s work An employee may submit a request in a cooperative dialogue with the area and (ii) a refrigerator suitable for the key to either of the lactation employee. for breast milk storage in reasonable rooms identified above by contacting proximity to such employee’s work Plant Operations at extension 8001. The University will provide reason- area. If a room that is used, at times, The University will respond to such able break time for an employee to for another purpose is designated by requests within five (5) business days. express breast milk pursuant to section the University to serve as a lactation The employee may hold onto the key 206-c of the labor law. room, the sole function of the room until access to the lactation room is will be as a lactation room while an no longer needed; at which time, it Employees can contact Human employee is using the room to express should be returned to Plant Opera- Resources, 212-327-8300 with breast milk. While an employee is tions. If two or more employees need questions regarding this policy. using the room to express milk, the to use the lactation room at the same

USE OF ROCKEFELLER UNIVERSITY LICENSED PRODUCTS

The Rockefeller University licenses be installed on personally-owned required to promptly remove the certain software products, including, assets (including, but not limited to, terminated licensed product(s) from but not limited to, Anti-Virus, Mi- laptops, desktops, handheld devices, all of their personally-owned assets. crosoft Office Products (Word, Excel, etc.) of Rockefeller personnel for All Rockefeller personnel depart- Powerpoint, Outlook, Viso, OneNote, their individual use consistent with ing from the University (“departing Access), Adobe Products (Acrobat, this Policy and other University personnel”) are required to remove Photoshop, Illustrator) Operating policies. Rockefeller personnel who all Rockefeller University licensed Systems (Windows, Macintosh, opt to have Rockefeller University products from their personally-owned Linux), and Scientific Applications licensed products installed on their assets. Departing personnel shall be (DNAStar-Lasergene, MathWorks- personally-owned assets take such liable to the full extent for all claims MatLab, MacVector, SPSS, Splus, licensed products “as is” and without and/or damages resulting from their ChemDraw) (“Rockefeller Univer- any warranty from or liability to the failure to comply with this Policy. sity licensed products”) for use by University. Rockefeller personnel are Departing personnel will provide a employees of and other personnel prohibited from distributing or copy- written statement (in the form of affiliated with The Rockefeller ing Rockefeller University licensed Appendix A, as may be amended from University (“Rockefeller personnel”). products. In the event that any license time to time) to the University that In accordance with the terms of the for a Rockefeller University licensed all Rockefeller University licensed University’s licenses and at the option product is terminated, the University products have been removed from all of Rockefeller personnel, Rockefeller will give notice to all then-current of their personally-owned assets. The University licensed products may Rockefeller personnel who shall be failure of any Rockefeller personnel to

36 | sign this statement shall not affect the If a departing personnel is uncer- uninstalling Rockefeller University applicability of this Policy or relieve tain whether Rockefeller University licensed products, the IT Help Desk such personnel from the obligations licensed products are installed on any at: 212-327-8940 is available to assist. and responsibilities it imposes. personally-owned assets or needs help

LOAN PLAN FOR PREPAID TUITION

A payroll deduction plan has been Rockefeller University Child and This loan plan is administered by established to help employees finance Family Center), primary or secondary Human Resources and all inquiries their tuition costs, and the tuition schools, and post-secondary schools should be directed to this office, (212) costs of their children, which require such as degree-granting colleges, 327-8300. payment in advance. Covered schools junior colleges, and technical or include day care centers, nursery vocational schools. schools (with the exception of The

POLICY ON MINORS IN WORK AREAS OF THE UNIVERSITY

Minors, those individuals under age Your Child to Work Day), must be • Patient care and treatment areas 18, are allowed in University work escorted by University personnel except as allowed by Hospital areas only in accordance with the and are allowed access only to areas policy following policy: specifically defined for that special • Loading areas event. 1. Minors employed by The • Hazardous waste handling and Rockefeller University, Howard 4. Minors visiting the University are storage rooms Hughes Medical Institute, legal not allowed in any work area of the • Construction sites tenants of the University, and any University unless accompanied and hired contractor are allowed only in supervised by an adult employee • Food Service and Hospital areas authorized to adult employees of the University, Howard Hughes Dietary food preparation areas. performing the same job tasks, Medical Institute, or legal tenant of Exclusion of an area from this list and then, if the area contains any the University and only with the shall not be taken to imply that the known or recognizable hazard, only approval of the appropriate depart- area poses no risk to minors. if accompanied and supervised by ment head or Head of Laboratory. 6. Department heads and Heads of an adult employee familiar with the 5. Minors not covered in points 1-3 Laboratory are authorized and hazard. above are strictly prohibited from expected to enforce this policy. 2. Minors participating in University the following areas of the University: Within the guidelines of this policy, sponsored volunteer programs, • Boiler House, mechanical spaces department heads and Heads of (e.g., the University volunteer and rooms, steam tunnels, and Laboratory are authorized to program managed by the Outreach shops grant or deny permission to an Program), are allowed access only employee to bring a minor into the • Compactor room to those areas appropriate to their workplace. The department head or volunteer position and only under • Incinerator room Head of Laboratory may appeal to the direction of their sponsor in • Animal rooms the Senior Director of LS&EH for accordance with separate policies • Containment areas (e.g.,LARC 5 exceptions to the policy to allow a applicable to such programs. All and DWB BL3) minor to enter a prohibited area. volunteers must be at least 16 years of age. • Laboratory rooms where chemicals, biological and radioactive materials, 3. Minors participating in University research equipment, glassware, and fire sponsored special events, (e.g.,Take hazards are used and stored

GUIDELINES ON MENTORING A MINOR IN THE LABORATORY

The University policy on Minors in ticipating in a University-sponsored responsibility for close supervision the Workplace prohibits individuals event or volunteer program. of the minor and strict adherence to under 18 years of age from being in Choosing to mentor a minor University and legal restrictions on “wet” laboratories unless they are par- in a laboratory carries with it the the types of activities that the minor

| 37 may perform. Please note that, due by Jeanne Garbarino, Ph.D. stored and they may watch radioac- to employment and immigration [email protected]. tive materials procedures, but they regulations, the intent and practice of • Minors must complete appropriate may NOT have any hands-on sponsoring a volunteer in a laboratory safety training with LS&EH involvement. must be to provide the volunteer with prior to commencing work in the • Minors may not enter animal an educational experience. Volunteers laboratory. The safety training is rooms in LARC or in LARC may not be engaged in work that arranged as part of the registration satellite facilities in TSH or RRB. would otherwise be performed by a process with the volunteer program • Work with laboratory animals is at paid employee. office. the discretion of the Associate Vice The following list is designed to • Minors must register with and President of LARC. As a general aid you in making your decision to obtain an ID from Security prior to policy, it is not permitted. You must mentor a minor and to guide you in commencing work in the labora- notify the AVP of LARC of your that role: tory. Note: Safety training must intent to include the minor on the • Absolutely no one under 16 be completed before Security will animal protocol and receive written years of age is allowed to work or issue an ID to the minor. approval from LARC prior to volunteer in the laboratories. • In general, minors’ work with bringing or sending any minor to • Supervising mentors and the minor hazardous materials should be LARC or LARC satellite areas for must complete and submit forms in minimized as much as possible. this purpose. the High School Science Outreach • Minors may NOT perform any • Minors may not work on BL3 Student Application http://www. procedures involving radioac- protocols. rockefeller.edu/outreach/webstu- tive materials or sources. They Questions about the safety program app.pdf for the minor to participate may work in a lab room where should be directed to Amy Wilkerson in the Outreach Program directed radioactive materials are used or [email protected].

NON-DISCRIMINATION, ANTI-HARASSMENT, AND ANTI-RETALIATION POLICY

A separate policy controls in the event of sex discrimination, sexual harassment, and/or sexual violence against students. (See University’s Policy for the Prevention of and Response to Sex Discrimination, Sexual Harassment, and Sexual Violence against Students).

POLICY STATEMENT sions; and pregnancy); age; disability; or citizenship status; military status; The Rockefeller University is alienage or citizenship status; military marital or partnership status; caregiver committed to maintaining a work status; marital or partnership status; status; genetic information; or any environment in which each individual caregiver status; genetic information; other characteristic protected under is treated with respect and dignity. or any other characteristic protected applicable law (each a “protected Every member of the University under applicable law. The University characteristic”). This policy and the community, including an employee also prohibits and will not tolerate law forbid discrimination in any and/or a person with an academic retaliation against any individual who aspect of employment, including appointment (“University member”), has engaged in protected activity, as hiring, firing, pay, job assignments, has the right to work in a profes- defined below. promotions, layoff, training, fringe sional atmosphere that promotes equal benefits, and any other term or employment opportunities and is free DEFINITIONS condition of employment. from bias, prejudice, and harassment. Discrimination involves treating a Harassment, in the employment The Rockefeller Univer- person (an employee or job applicant) context, is a form of discrimination sity prohibits and will not tolerate unfavorably because of his or her race; that is a serious violation of this policy discrimination or harassment on the creed; color; national origin; religion; and is illegal under applicable federal, basis of race; creed; color; national sex/gender (including sexual orienta- state, and local laws. Harassment is origin; religion; sex/gender (including tion; self-identified or perceived sex; defined as unwelcome physical, verbal, sexual orientation; self-identified gender expression; gender identity; or visual conduct that denigrates or or perceived sex; gender expression; status of being transgender; status shows hostility or aversion toward an gender identity; status of being trans- as a victim of domestic violence, individual because of one or more gender; status as a victim of domestic sexual violence, or stalking; sexual protected characteristics. Harassment violence, sexual violence, or stalking; and reproductive health decisions; and becomes unlawful where: sexual and reproductive health deci- pregnancy); age; disability; alienage • the offensive conduct is explicitly or implicitly made a term or condi-

38 | tion of employment or continued requests for sexual favors in exchange and in any work-related setting employment, or is used as the basis for job benefits. outside the workplace, such as during for an employment decision; or Protected activity is defined business trips, business meetings, or • the conduct is severe (in which case as activity by an individual who (i) business-related social events. Calls, a single incident may be sufficient) makes a complaint of discrimination texts, emails, and social media usage or pervasive enough so as to or harassment, internally or to a gov- by employees may constitute illegal create a work environment that a ernment agency; (ii) testifies, assists, or workplace harassment, even if they reasonable person would consider otherwise participates in a proceeding occur outside of the workplace intimidating, hostile, or offensive. or an investigation of discrimination premises, on personal devices or Harassing conduct includes, but is not or harassment; (iii) makes an oral during non-work hours. limited to: epithets, slurs, or negative or informal complaint or simply stereotyping; threatening, intimidating, informs a supervisor of discrimina- COMPLAINT PROCEDURE or hostile acts; denigrating jokes or tion or harassment; (iv) reports that A. Reporting an Incident of the display or circulation (including another University member has been Discrimination, Harassment, through email) in the workplace of discriminated against or harassed; or and/or Retaliation written or graphic material that deni- (v) encourages another University The Rockefeller University strongly grates or shows hostility or aversion member to report discrimination or urges the reporting of all incidents of toward an individual or group because harassment. discrimination, harassment, and/or of a protected characteristic. Retaliation is defined as an retaliation, regardless of the offender’s Sexual harassment is defined action that could discourage an indi- identity or position. Individuals who as unwelcome conduct (i) of a vidual who has engaged in protected have experienced conduct that they sexual nature or (ii) which is directed activity from coming forward to make believe is contrary to the University’s towards an individual because of that or support a claim of discrimination policy or who have concerns about individual’s sex/gender (including or harassment, including sexual harass- such matters should immediately sexual orientation; self-identified ment, and is a serious violation of this report their complaints, before the or perceived sex; gender expression; policy and illegal under applicable conduct becomes severe and pervasive. gender identity; status of being federal, state, and local laws. Adverse A complaint may be reported to an transgender; status as a victim of action need not be job-related or individual’s immediate supervisor or domestic violence, sexual violence, or occur in the workplace to constitute to one of the University’s designated stalking; and pregnancy). unlawful retaliation (e.g., threats of representatives, who are (1) the Vice Sexual harassment may include a physical violence outside of work President of Human Resources, range of subtle and not so subtle be- hours). An individual is protected and (2) the Dean of Graduate and haviors and may involve individuals of from retaliation if the individual had Postgraduate Studies. Individuals are the same or different sex. Depending a good faith belief that the alleged not required to report a complaint on the circumstances, these behaviors conduct was unlawful, even if the to their immediate supervisor may include, but are not limited alleged conduct does not rise to the before bringing the matter to the to: unwelcome sexual advances or level of a violation of the law. An attention of one of the University’s requests for sexual favors; sexual jokes individual who makes intentionally designated representatives. Others or innuendoes; verbal abuse of a false charges of harassment, however, who witness or become aware of sexual nature; commentary about an is not protected from retaliation. sexual harassment should report the individual’s body, sexual prowess, or behavior to a supervisor or one of the sexual deficiencies; leering or catcalls; INDIVIDUALS AND CONDUCT University designated representatives. inappropriate touching; insulting COVERED A complaint may be made orally or obscene comments or gestures; This policy applies to applicants, or in writing. (A complaint form inappropriate sex stereotyping; display employees, and persons with academic for reporting a sexual harassment or circulation (including through appointments at the University. This claim is available at: https://www2. email) in the workplace of sexually policy prohibits discrimination, ha- rockefeller.edu/forms/reporting- suggestive objects or pictures; or other rassment including sexual harassment, sexual-harassment/. See also Section physical, verbal, or visual conduct and retaliation, whether engaged in D for additional external avenues of of a sexual nature; threatening, by or towards a fellow employee, redress for sexual harassment claims.) intimidating, or other hostile acts of a a supervisor or manager, a person In addition, any individual in a sexual nature or against an individual with an academic appointment, or supervisory capacity having informa- because of the individual’s sex or someone not directly connected tion about or reason to suspect such gender. A form of sexual harassment, to the University (e.g., an outside acts or patterns of behavior must also called “quid pro quo” harassment, vendor, consultant, or customer). bring the behavior to the attention occurs when a person in authority Conduct prohibited by these poli- of one of the University’s designated makes unwelcome sexual advances or cies is unacceptable in the workplace representatives and not try to “handle the matter” alone. | 39 Early reporting and interven- records. Records of the investigation D. Additional External Avenues tion have proven to be effective in will be maintained, as appropriate. of Redress for Sexual Harass- resolving actual or perceived incidents Confidentiality will be maintained ment Claims of discrimination or harassment. throughout the investigatory process In addition to the internal procedures Therefore, while no fixed reporting to the extent consistent with adequate described above, an employee may period has been established, the Uni- investigation and appropriate correc- pursue a sexual harassment claim with versity strongly urges the immediate tive action. the following governmental agencies. reporting of complaints or concerns 1. Federal Civil Rights Act so that rapid and constructive action C. Responsive Action of 1964 can be taken. The University will Conduct covered by this policy An employee may seek redress under make every effort to stop alleged will be addressed by the Human the federal anti-discrimination laws, discrimination or harassment before Resources office in consultation including Title VII of the Civil Rights it becomes severe or pervasive, but it with the University administration Act of 1964, 42 U.S.C. § 2000e et seq. can do so only with the cooperation as appropriate. Responsive action A sexual harassment complaint may of the University community. Failure will be taken against individuals, be filed with the United States Equal to adhere to the suggested reporting including University members, who Employment Opportunity Commis- procedure in this policy could affect engage in discrimination or harass- sion (EEOC) and thereafter with a an individual’s future right to pursue ment including sexual harassment, or federal district court. legal action under federal, state, and retaliate against another individual 2. New York State Human local discrimination laws, which have who has engaged in protected activity. Rights Law specific time frames for initiating a Supervisors who knowingly allow An employee may seek redress under legal proceeding pursuant to those sexual harassment to continue will the New York State Human Rights laws and are described further below be subject to responsive action. Law, N.Y. Executive Law, Art. 15, in Section D. Responsive action may include, for § 290 et seq. A sexual harassment The availability of this complaint example, training, referral to counsel- complaint may be filed with the New procedure does not preclude ing, monitoring of the offender, York State Division of Human Rights individuals who believe that they are and/or disciplinary action such as and/or with the New York State being subjected to harassing conduct warning, reprimand, withholding of a Supreme Court. from promptly advising the offender promotion or pay increase, reduction that his or her behavior is unwelcome of wages, demotion, reassignment, 3. New York City Human and requesting that it be discontinued. temporary suspension (with or Rights Law However, such action will not without pay), or termination, as There may be applicable local laws constitute a report under this policy. the University deems appropriate protecting individuals from sexual In addition, employees may choose under the circumstances. Appeal of harassment. The county, city, or town at any time to file a formal grievance the responsive action may be made in which the employee lives or works in accordance with the University’s through the University’s Grievance may provide information about exist- Grievance Procedure. Procedure. ing laws. For example, an employee Finally, this policy should not, may seek redress under the New York B. The Investigation and may not, be used as a basis for City anti-discrimination laws protect- Any reported allegations of discrimi- excluding or separating individuals ing individuals from gender-based nation, harassment, or retaliation will of a particular gender or any other harassment, including the New York be investigated promptly, thoroughly, protected characteristic, from partici- City Human Rights Law, Title 8 of and impartially, with due process for pating in business or work-related the Administrative Code of the City all parties. Primary investigation will social activities or discussions. The of New York, N.Y.C. Admin. Code be conducted under the supervision law and policy of The Rockefeller § 8-101 et seq. A sexual harassment of the Vice President of Human University prohibit disparate treat- complaint may be filed with the New Resources or her/his designee in a ment on the basis of sex or any other York City Commission on Human manner that respects, to the extent protected characteristic with regard Rights. possible, the privacy of all of the to terms, conditions, privileges, and 4. Contact the Local Police persons involved. The investigation perquisites of employment. The Department may include individual interviews prohibitions against discrimination, An employee may report sexual with the parties involved and, where harassment, and retaliation are harassment involving physical conduct necessary, with individuals who may intended to complement and further to local law enforcement and/or state have observed the alleged conduct or these policies, not to form the basis of police. may have other relevant knowledge. an exception to them. Individuals who have questions or The investigation also will include concerns about this policy should a review of relevant documents and

40 | speak with the Vice President of Amended by Executive Officers Group Administrative Working Group on Human Resources. on September 29, 2015; updated by April 16, 2019 (amendment effective Administrative Working Group on May 20, 2019) October 8, 2018; further updated by

PERSONAL RELATIONSHIPS POLICY

The Rockefeller University is postdoctoral fellow, or postdoctoral Concerns, including those of a committed to the highest standards of associate, which are prohibited). third party, that a personal relationship professional conduct and integrity and The personal relationships is impairing a member’s ability to be expects all members (“members”) enumerated above are provided as effective in his or her position should of the University community examples, and there may be other be discussed with that member’s (“community”) to adhere to them. personal relationships that fall within manager or a representative of Human Each member has the obligation to this policy. Resources. respect and be fair to other members If a personal relationship covered If allegations of sexual harassment, of the community and to ensure that by this policy occurs, exists, or is relationship violence, or stalking personal relationships (as defined emerging, the members are required arise in connection with a personal below) within the community do to declare the personal relationship to relationship, the University will follow not result in conflicts of interest or Virginia Huffman, Vice President of the Non-Discrimination, Anti- situations that might impair or appear Human Resources or Michael Young, Harassment, and Anti-Retaliation to impair objective judgment. Vice President of Academic Affairs, Policy and/or the Policy for the When members of the University to address any attendant workplace Prevention of and Response to Sex community enter into a sexual, dating, issues. A member who is in a personal Discrimination, Sexual Harassment, or romantic relationship (“personal relationship is expected to recuse Sexual Violence, Relationship relationship”) with another member, himself/herself from any situation in Violence, and Stalking. and one member has supervisory which he/she may directly influence authority over the other, this may the hire, promotion, advancement, Approved by Executive Officers compromise freely given consent, may supervision, assignment of duties Group on November 19, 2018 put at risk the academic/professional and job or research opportunities, Approved by Academic Council on development of the subordinate, and evaluation, salary determination, November 20, 2018 may be contrary to the University’s grade determination, or advising Code of Conduct and other policies. or otherwise directly affecting the Other potential concerns include employment or academic progress alleged actual or perceived sexual (e.g., by participation on a review harassment, favoritism, and preferential committee) of the other member in treatment. the personal relationship. Personal relationships that are The goal of the personal prohibited are those between: relationship declaration is to allow • A Head of Laboratory (Rock- the conditions of the employment efeller or HHMI) and any student or academic association of the two (Ph.D., M.D./Ph.D., Clinical members to be restructured so as to Scholars/M.A., Tri-I, or visiting) at avoid or eliminate potential situations the University; described in the preceding paragraph • A Head of Laboratory and any and without unreasonably disadvan- postdoctoral fellow or postdoctoral taging either member. Declaration associate under his/her direct supervi- of the personal relationship also may sion; and provide some protection for both members involved as well as others • A staff member and any person who may be affected. under his/her direct supervision. Both members in a personal rela- Personal relationships that are strongly tionship are responsible for adhering discouraged are those between: to this policy. Violations of this policy • A Head of Laboratory and will be handled by Human Resources, any person under his/her direct with consequences for violations supervision (other than a student, resting primarily on the member with supervisory authority.

| 41 THE ROCKEFELLER UNIVERSITY INTERIM POLICY FOR ALLEGATIONS OF SEXUAL MIS- CONDUCT CONCERNING A STUDENT (POLICY UNDER TITLE IX AND NY EDUCATION LAW ART. 129-B)

To the extent that this Policy overlaps with the University’s Non-Discrimination, Anti-Harassment, and Anti- Retaliation Policy, this Policy will control in cases involving sex discrimination, sexual harassment, sexual violence, relationship violence, sexual assault, and/or stalking involving a student.1

POLICY STATEMENT and sexual violence that interfere is an omission in federal law that is The Rockefeller University (the with a student’s ability to equally addressed in state law, the univer- “University”, “Institution”) is com- access our educational programs sity takes the position that state law mitted to maintaining an educational and opportunities. prevails. environment that is free from sex On May 19, 2020, the U.S. This Policy covers any occurrence discrimination, sexual harassment, Department of Education issued a of sex discrimination, sexual harass- sexual violence, relationship violence, Final Rule under Title IX of the ment, sexual violence, relationship and stalking. The University does not Education Amendments of 1972 that: violence, and/or stalking involving discriminate on the basis of sex in its a student, regardless of whether the education programs and activities, in • Defines the meaning of “sexual accused is a student, employee, or compliance with the law, including harassment” (including forms of third party, or whether the prohibited Title IX of the U.S. Education sex-based violence) conduct occurred on or off campus Amendments of 1972 and Article • Addresses how this institution must (including studying abroad). The 129-B of the N.Y. Education Law. respond to reports of misconduct University must address reported sex The University strongly encourages falling within that definition of discrimination, sexual harassment, any member of our community who sexual harassment, and sexual violence, relationship violence, is a victim of, or has knowledge of, • Mandates a grievance process or stalking involving a student sex discrimination, sexual harassment, that this institution must follow whether the report (oral or written) sexual violence, relationship violence, to comply with the law in these is made by the alleged victim or a and/or stalking involving a student to specific covered cases before issuing reporting individual other than the report that conduct as set forth below. a disciplinary sanction against a alleged victim. person accused of sexual harass- The University also must ensure PURPOSE OF THIS POLICY ment. that a student who is the victim of The purpose of this policy is to B) Article 129-B is a New York State sexual violence, relationship violence, delineate the policies and procedures Law, which affords protections and/or stalking is afforded the protec- complying with Title IX of the for students who are the victims tions outlined in the Students’ Bill of Educational Amendments of 1972, of sexual assault, relationship vio- Rights Relating to Sexual Violence, (“Title IX”) and Sections 6439-6449 lence, and stalking, including the Relationship Violence, and/or of Article 129-B of the New York right to report the incident to the Stalking, including the right to make Education Law (“129-B”). University or law enforcement, a report to local law enforcement A) Title IX: Title IX is a federal to be protected by the University and to be protected from retaliation. law that prohibits any person in from retaliation for reporting an (See Bill of Rights at the end of this the United States from being incident, and to receive assistance Policy.) discriminated against on the and resources from the University. How does this Policy impact basis of sex in seeking access other University disciplinary to any educational program or INDIVIDUALS AND CONDUCT policies? activity receiving federal financial COVERED The University remains committed assistance. The U.S. Department of to addressing violations to any of its Education, which enforces Title Title IX and Article 129-B of the policies. To the extent that alleged IX, has long defined the meaning New York Education Law address misconduct falls outside this policy of Title IX’s prohibition on sex similar concerns, although they may or is discovered in the course of inves- discrimination broadly to include differ in some respects. Where tigating misconduct covered under various forms of sexual harassment there is a conflict of laws, federal law pre-empts state law. Where there this policy, the University retains

1 This policy may be applied when the complainant is an employee in certain, limited circumstances

42 | authority to investigate and adjudicate decision among all participants to includes any conduct on the basis of the allegations under the applicable engage in sexual activity. Consent can sex that satisfies one or more of the policies and procedures including be given by words or actions, as long following criteria: through a separate grievance proceed- as those words or actions create clear 1. An employee conditioning ing. The elements established in this permission regarding willingness to educational benefits on participa- Policy have no effect and are not engage in the sexual activity. Silence tion in unwelcome sexual conduct transferable to any other University or lack of resistance in and of itself (i.e., quid pro quo); policy for any violation of the Code does not demonstrate consent. The 2. Unwelcome conduct that a of Conduct, employment policies, or definition of consent does not vary reasonable person would determine any civil rights violation except as based upon a participant’s sex, sexual is so severe, pervasive, and objec- narrowly defined in this Policy. This orientation, gender identity, or gender tively offensive that it effectively Policy does not set a precedent for expression. Consent may be given denies a person equal access to the other University policies or processes initially but withdrawn at any time, educational institution’s education and may not be cited for or against and consent to one sexual act does program or activity; any right or aspect of any other policy not necessarily constitute consent 3. Sexual assault includes any sexual or process. to any other sexual act. Consent is act directed against another person, The Title IX and Art. 129-B required regardless of whether the without the consent of the victim Grievance Policy person initiating the act is under the including instances where the influence of drugs and/or alcohol. victim is incapable of giving General Rules of Application Depending on the degree of intoxica- consent; Effective Date tion, someone who is under the 4. Dating violence is also known as This Grievance Policy is effective as influence of alcohol, drugs or other relationship violence and includes of August 14, 2020 and only applies intoxicants may be incapacitated and any violence committed by a to Formal Complaints of sexual therefore unable to consent. Consent person: (A) who is or has been in harassment lodged on or after August cannot be given by a person who is a social relationship of a romantic 14, 2020. Complaints lodged before incapacitated, which occurs when an or intimate nature with the victim; August 14, 2020, will be investigated, individual lacks the ability to know- and (B) where the existence of such and adjudicated according to the ingly choose to participate in sexual a relationship shall be determined policy in effect at the time the activity, and consent cannot be given based on a consideration of the complaint was lodged. when it is the result of any coercion. following factors: (i) The length of Non-Discrimination in Applica- Incapacitation may be caused by the the relationship; (ii) The type of tion lack of consciousness or being asleep, relationship; (iii) The frequency of The requirements and protections being involuntarily restrained, or if an interaction between the persons of this policy apply equally regard- individual otherwise cannot consent. involved in the relationship. less of race, color, national origin, When consent is withdrawn or can 5. Domestic violence is also con- religion, creed, age, disability, sex, no longer be given, sexual activity sidered relationship violence and gender identity or expression, sexual must stop. includes any felony or misdemean- orientation, familial status, pregnancy, Bystander means a person who or crimes of violence committed predisposing genetic characteristics, observes a crime, impending crime, by a current or former spouse or military status, domestic violence conflict, potentially violent behavior, intimate partner of the victim, by victim status, criminal conviction, or conduct that is in violation of rules a person with whom the victim or other protected classes covered or policies of an institution. shares a child in common, by a by federal or state law. All require- Code of Conduct includes person who is cohabitating with or ments and protections are equitably written policies adopted by the has cohabitated with the victim as provided to individuals regardless of University governing student a spouse or intimate partner, by a such status or status as a Complainant, behavior, rights, and responsibilities, person similarly situated to a spouse Respondent, or Witness. Individuals while such student is affiliated with of the victim under New York who wish to file a complaint about the University. domestic or family violence laws or the University’s policy or process Complainant is any individual by any other person against an adult may contact the Department of who has reported being or is alleged or youth victim who is protected Education’s Office for Civil Rights to be the victim of conduct that could from that person’s acts under the using contact information available at constitute covered sexual harassment domestic or family violence laws of https://ocrcas.ed.gov/contact-ocr. as defined under this policy. A New York. complainant may also be referred to 6. Sex Discrimination is conduct DEFINITIONS as a Reporting Individual under towards an individual, based upon Affirmative Consent (“Consent”) Article 129-B. that individual’s sex, or gender is a knowing, voluntary, and mutual Covered Sexual Harassment (including sexual orientation,

| 43 self-identified or perceived sex; that the complainant is the person Respondent any individual who gender expression, gender identity; filing the formal complaint, or signed has been reported to be the perpetra- status of being transgender, status by the Title IX Coordinator, alleging tor of conduct that could constitute as victim of domestic violence sexual harassment against a respondent covered sexual harassment as defined sexual violence, or stalking; sexual about conduct within the Rockefeller under this policy. and reproductive health decisions; University’s education program or ac- Supportive Measures are and pregnancy), that denies the tivity as defined herein and requesting non-disciplinary and non-punitive individual the benefits of, treats the initiation of the procedures consistent accommodations for the benefit of a individual differently, or otherwise with the Title IX Grievance Policy complainant that are made without adversely affects a term or condi- to investigate the allegation of sexual unreasonably burdening the other tion of an individual’s employment, harassment. party.3 education, living environment, Relationship Violence, includ- or participation in a University ing dating violence and domestic Disability Accommodations program or activity. violence, is a pattern of behavior in This Policy does not alter any 7. Sexual Violence or sexual assault which an individual uses physical vio- University obligations under federal is an actual or attempted physical lence, coercion, threats, intimidation, disability laws including the Ameri- sexual act performed against a isolation, or other forms of emotional, cans with Disabilities Act of 1990, person’s will or without a person’s sexual, verbal, and/or economic abuse and Section 504 of the Rehabilitation affirmative consent, including to control their current or former Act of 1973. Parties may request where the person is incapable of intimate partner reasonable accommodations for giving consent due to a disability or Relevant evidence and disclosed disabilities to the Title IX the use of drugs and/or alcohol. questions refer to any questions Coordinator at any point before or 8. Stalking means engaging in a and evidence that tends to make an during the Title IX Grievance Process course of conduct directed at a allegation of covered sexual harass- that do not fundamentally alter the specific person that would cause a ment more or less likely to be true. Process. The Title IX Coordinator will reasonable person to-- (A) fear for Relevant evidence and questions do not affirmatively provide disability their safety or the safety of others; not include the following types of accommodations that have not been or (B) suffer substantial emotional evidence and questions, which are specifically requested by the Parties, distress. deemed “irrelevant” at all stages of even where the Parties may be Note that conduct that does not the Title IX and 129-B Grievance receiving accommodations in other meet one or more of these criteria Process: university programs and activities. may still be prohibited under other • Evidence and questions about the University Policies. complainant’s sexual predisposition Reporting a Violation of this Education Program or Activ- or prior sexual behavior unless: Policy ity2 includes: o They are offered to prove that Any person may report a violation • Any on-campus premises. someone other than the respon- of this policy (whether or not the • Any off-campus premises that the dent committed the conduct person reporting is the person alleged University has substantial control alleged by the complainant, or to be the victim of conduct that over. This includes buildings or o They concern specific incidents could constitute sex discrimination property owned or controlled by a of the complainant’s prior sexual or sexual harassment) to any of the recognized student organization. behavior with respect to the individuals listed in below including • Activity occurring within com- respondent and are offered to the Title IX Coordinator, Officials puter and internet networks, digital prove consent. . with Authority to take Corrective platforms, and computer hardware • Evidence and questions that Action, Campus security, local law or software owned or operated by, constitute, or seek disclosure of, enforcement and/or state police. or used in the operations of the information protected under a Reports may also be made in person, University’s programs and activities legally recognized privilege (i.e.: by mail, by telephone, or by electronic over which the University has attorney/client or physician/patient mail, using the contact information substantial control. privilege.) listed for the Title IX Coordinator, Formal Complaint means a • Any party’s medical, psychological, or by any other means that results in document—including an electronic and similar records unless the the Title IX Coordinator receiving submission—filed by a complainant party has given voluntary, written the person’s verbal or written report. with a signature or other indication consent. Such a report may be made at any

2 Pursuant to Article 129-B of the New York State Education Law, the University may apply this policy to a violation that occurs off campus or while studying abroad. 3 See “Non-Investigatory Measures Available Under Title IX and Article 129-B Grievance Policy” of this policy.

44 | time (including during non-business to not report crimes and violations Occupational Health Services. These hours) by using the telephone number to law enforcement or University confidential resources are not required or electronic mail address, or by mail officials without permission, except or permitted to disclose any identify- to the office address listed for the Title for extreme circumstances, such as ing information regarding an incident IX Coordinator.4 a health and/or safety emergency under this Policy to any outside party, or child abuse. References made to including other individuals at the The Rockefeller University has privacy mean university offices and University, unless the person who designated as its Title IX Coor- employees who cannot guarantee provided information to them has dinator: confidentiality but will maintain consented to disclosure or extreme Virginia Huffman, Vice President, privacy to the greatest extent possible, circumstances as listed above. If the Human Resources. and information disclosed will be accused is a University employee, the Founders Hall, Room 103 relayed only as necessary to investigate complainant may notify a member of 1230 York Avenue and/or seek a resolution and to notify the University’s Human Resources New York, NY 10065 the Title IX Coordinator or designee, and/or has the right to request that tel:212-327-7261; who is responsible for tracking a confidential resource assist in report- email: [email protected]. patterns and spotting systemic issues. ing to the Title IX Coordinator. The University will limit the disclosure as much as practicable, even if Confidential Resources: Officials with Authority to Take the Title IX Coordinator determines Confidential Resources are avail- Corrective Action and Receive a that the request for confidentiality able through Occupational Health Title IX Complaint Include : cannot be honored. Privacy will be Services, (“OHS”), which is located at • James K. Rogers, Director of maintained throughout the investiga- The Hospital Room 118 and can be Security tion of a complaint or report of sex contacted by phone at: (212) 327- Nurses Residence, 1st Floor discrimination, sexual harassment, 8414. Confidential OHS Resources 1230 York Avenue sexual violence, relationship violence, are: New York, NY 10065 and/or stalking, consistent with rea- • Ashley Foo, Director, OHS Tel: (212) 327-7339 sonable investigation and appropriate email: [email protected] Email: [email protected] corrective action. Certain University • Ann Campbell, Adult Nurse • Department Heads of the Dean’s personnel (including officials with Practitioner, OHS Office, Human Resources, Office authority), because of their duty to email: ann.campbell@rockefeller. of General Counsel, Housing, and report conduct prohibited under this edu Security, and Executive Officers of Policy to the Title IX Coordinator or • Dr. Nisha Mehta-Naik, Psychiatrist the University. take action to redress such conduct, • Lauren Rosenblum, LCSW • Emily Harms, Senior Associate cannot guarantee confidentiality Nisha and Lauren provide on- Dean; Andrea Morris, Director of but will maintain the privacy of the site/telehealth confidential counseling Career and Professional Develop- complainant or reporting individual, and medical services to employees and ment; Marta Delgado, Director, to the greatest extent possible. These students. To schedule a confidential Graduate Program Administrator of University personnel will share a appointment with either Nisha or Finances and Student Affairs; and complaint or report only as necessary Lauren, please call OHS at (212) Kristen Cullen, Graduate Admis- for the Title IX Coordinator to inves- 327-8414. sions Administrator and Registrar, tigate and/or seek a resolution and, if Michelle Keenan, Director Of required, with law enforcement. Outside Confidential Resources: Employment, Kimberly Preston, If an individual complainant If an individual prefers to make an Director of HR Compliance. wishes to keep their identity anony- anonymous report and/or speak mous, they can use a confidential with someone not affiliated with the resource. Confidential resources can University, the below hotlines are Privacy vs. Confidentiality and will maintain the confidentiality completely confidential and available The University wants victims and of information provided to them by at all times (24 hours/7 days per bystanders of sexual violence to have a complainant, accused, or reporting week): the necessary information and support individual. The following individuals • New York State Domestic and regardless of whether they choose to may provide confidentiality: licensed Sexual Violence Hotline: 800-942- report sexual violence to security or mental health counselors, advocates, 6906, or http://www.opdv.ny.gov/ to law enforcement. References made and health care professionals, help/dvhotlines.html. Additional to confidentiality refer to the ability including those at the University’s disclosure and assistance options of identified confidential resources

4 A reported violation of this policy does not of itself necessitate an investigation. See, “The Grievance Process” for requirements of an investigation.

| 45 are catalogued by the Office for the will notify the complainant and take the authority to place a non-student Prevention of Domestic Violence immediate action as necessary to employee respondent on administra- and presented in several languages: protect or assist the complainant. tive leave during this policy’s griev- http://www.opdv.ny.gov/help/ ance process. index.html. Non-Investigatory Measures The Grievance Process • New York State Office of Victim’s Available Under Policy Filing a Formal Complaint Services: 800-247-8035 or www. The timeframe for the Title IX ovs.ny.gov; Supportive Measures Grievance Process begins with the • Victim Intervention Program at Complainants (as defined above), who filing of a Formal Complaint. The New York Presbyterian Hospital report allegations that could constitute Grievance Process will be concluded Weill-Cornell Medical Center: covered sexual harassment under this within a reasonably prompt manner, (212) 746-9414 or https://www. policy, have the right to receive sup- and no longer than ninety (90) nyp.org/social-work/victim- portive measures from the University calendar days after the filing of the intervention-program. regardless of whether they desire to Formal Complaint, provided that the • Safe Horizon’s Rape/Sexual Assault file a complaint. Supportive measures Process may be extended for a good and Domestic Violence Hotline: are non-disciplinary and non-punitive. reason, including but not limited 800-621-HOPE (4673). They may be made available free of charge and kept confidential except as to the absence of a party, a party’s advisor, or a witness; concurrent law Reports Made with Requests Not necessary to facilitate the supportive enforcement activity; or the need for to Act: measure. Supportive measures may language assistance or accommodation A complainant may request (1) that include, but not be limited to: of disabilities. The procedure for their name not be revealed to the • Counseling applying for extensions is described accused, and/or that the University • Extensions of deadlines or other below. does not investigate or take action. course/resource-related adjustments To file a Formal Complaint, a The University will strongly support • Modifications of work or class complainant must provide the Title such a request, although honoring schedules IX Coordinator a written, signed the request may limit the University’s • Campus security escort services complaint describing the facts alleged. ability to investigate and respond • Restrictions on contact between Complainants are only able to file a fully to the incident. The Title IX the parties (no contact orders) Formal Complaint under this Policy Coordinator will determine whether • Changes in work or housing if they are currently participating in, the University can honor a request for locations or attempting to participate in, the confidentiality by a complainant or a • Leaves of absence education programs or activities of the reporting individual while still provid- • Increased security and monitoring University, including as an employee. ing a safe and nondiscriminatory of certain areas of the campus If a complainant does not wish to environment for all students. A request Emergency Removal make a Formal Complaint, the Title not to investigate or take action may The Rockefeller University retains IX Coordinator may determine a not be honored if such action might the authority to remove a respondent Formal Complaint is necessary. The put other individuals at risk. Factors from the University’s program or University will inform the complain- to consider in determining whether activity on an emergency basis, when ant of this decision in writing, and to honor a request include whether: the University: (1) undertakes an the complainant need not participate (a) the accused has a history of violent individualized safety and risk analysis, in the process further but will receive behavior or is a repeat offender; (b) and (2) determines that an immediate all notices issued under this Policy the incident represents an escalation threat to the physical health or safety and Process. Nothing in this Policy in unlawful conduct on behalf of of any student or other individual prevents a complainant from seeking the accused from previously noted arising from the allegations of covered the assistance of state or local law behavior; (c) there is an increased sexual harassment justifies a removal. enforcement alongside the appropri- risk that the accused will commit If the University determines such ate on-campus process. additional acts of violence; (d) the removal is necessary, the respondent accused used a weapon or force; (e) will be provided notice and an Informal Resolution the reporting individual is a minor; opportunity to challenge the A complainant who files a Formal and (f) the University has other means decision immediately following the Complaint may elect, at any time, to obtain evidence such as security removal. The University may remove to address the matter through the footage, and (g) that information a respondent on an emergency basis University’s Informal Resolution reveals a pattern of perpetration at whether the grievance process is Process. All Parties to a Formal a given location or by a particular underway or not. Complaint must agree to enter the group. If the University determines Informal Resolution Process through Administrative Leave that an investigation is required, it an informed written consent. Please The Rockefeller University retains

46 | refer to the policy entitled, “Informal constitute covered sexual harass- retains discretion to determine if Resolution Process,” for more ment as defined in this policy. a violation of any other Univer- information. If all of the elements are met, If all sity Policy has occurred. If so, the Multi-Institutional of the elements are met, The Uni- University will promptly send When the reported misconduct versity will investigate the allegations written notice of the dismissal of the involves students or employees of according to the Grievance Process. Formal Complaint under this Policy’s another institution(s), the University Mandatory Dismissal Grievance Process and removal of the may work collaboratively with the If any one of these elements are not allegations concerning misconduct other institution(s) to address the met, the Title IX Coordinator, will under the other University Policy. misconduct provided that such notify the parties that the Formal Notice of Allegations collaboration complies federal and Complaint is being dismissed for the The Title IX Coordinator will draft state law. purposes of the Title IX Grievance and provide the Notice of Allegations Multi-Party Situations Policy. Each party may appeal this to any party to the allegations of The University may consolidate dismissal using the procedure outlined sexual harassment. Such notice will Formal Complaints alleging covered in “Appeals,” below. occur as soon as practicable, after sexual harassment against more than Discretionary Dismissal the University receives a Formal one respondent, or by more than one The Title IX Coordinator, may Complaint of the allegations if there complainant against one or more dismiss a Formal Complaint brought are no extenuating circumstances. respondents, or by one party against under the Title IX Grievance Policy, The parties will be notified by their the other party, where the allegations or any specific allegations raised university email accounts or other of covered sexual harassment arise out within that Formal Complaint, at reasonable means if they are a student of the same facts or circumstances. any time during the investigation or or employee, and by other reason- hearing, if: able means if they are neither. The Allegations Potentially Falling University will provide sufficient time Under Two Policies: • A complainant notifies the Title IX Coordinator in writing that they for the parties to review the Notice If the alleged conduct, if true, includes of Allegations and prepare a response conduct that would constitute would like to withdraw the Formal Complaint, or any allegations raised before any initial interview. covered sexual harassment and The Title IX Coordinator may conduct that would not constitute in the Formal Complaint. • The respondent is no longer determine that the Formal Complaint covered sexual harassment, the Title must be dismissed on the mandatory IX Grievance Process will be applied enrolled or employed by the University; or, grounds identified above and will to investigation and adjudication of issue a Notice of Dismissal. If such a only the allegations that constitute • If specific circumstances prevent the University from gathering evidence determination is made, any party to covered sexual harassment. Conduct the allegations of sexual harassment that would not constitute covered sufficient to reach a determination regarding the Formal Complaint identified in the Formal Complaint sexual harassment under this policy will receive the Notice of Dismissal will be addressed in accordance the or allegations within the Formal Complaint. in conjunction with, or in separate corresponding University policy correspondence after, the Notice of concerning such misconduct. Any party may appeal a dismissal determination using the process set Allegations. Determining Jurisdiction forth in “Appeals,” below. Contents of Notice The Title IX Coordinator will deter- Notice of Dismissal The Notice of Allegations will mine if the instant Title IX Grievance include the following: Process should apply to a Formal Upon reaching a decision that the Formal Complaint will be dismissed, • Notice of the University’s Title IX Complaint. The Process will apply and129-B Grievance Process and a when all of the following elements are the University will promptly send written notice of the dismissal of the hyperlink to a copy of the process. met, in the reasonable determination • Notice of the allegations poten- of the Title IX Coordinator: Formal Complaint or any specific allegation within the Formal Com- tially constituting covered sexual 1. The conduct is alleged to have harassment, and sufficient details occurred on or after August 14, plaint, and the reason for the dismissal, simultaneously to the parties through known at the time the Notice is 2020; issued, such as the identities of the 2. The conduct is alleged to have their university email accounts. It is the responsibility of parties to parties involved in the incident, if occurred in the United States. known, including the complainant; 3. The conduct occurred while a maintain and regularly check their email accounts. the conduct allegedly constituting student was studying abroad under covered sexual harassment; and the §129-B of the N.Y. Educational Notice of Removal date and location of the alleged Law. Upon dismissal for the purposes of incident, if known. 4. The alleged conduct, if true, would Title IX and 129-B, the University

| 47 • A statement that the respondent is directly and not through an advocate ment of the Title IX Coordinator or presumed not responsible for the or representative. Students participat- designee provided that the requestor alleged conduct and that a deter- ing as Complainant or Respondent provides reasonable notice and the mination regarding responsibility in this process may be accompanied delay does not overly inconvenience is made at the conclusion of the by an Advisor of Choice to any other parties. For example, a request grievance process. meeting or hearing to which they are to take a five day pause made an hour • A statement that the parties may required or are eligible to attend. The before a hearing for which multiple have an advisor of their choice, Advisor of Choice is not an advocate. parties and their advisors have traveled who may be, but is not required to Except where explicitly stated by this to and prepared for shall generally be, an attorney. Policy, as consistent with the Final not be granted, while a request for • A statement that before the conclu- Rule, Advisors of Choice shall not a five day pause in the middle of sion of the investigation, the parties participate directly in the process as investigation interviews to allow a may inspect and review evidence per standard policy and practice of party to obtain certain documentary obtained as part of the investiga- The Rockefeller University. evidence shall generally be granted. tion that is directly related to the The University will not inten- The Title IX Coordinator shall have allegations raised in the Formal tionally schedule meetings or hearings sole judgment to grant further pauses Complaint, including the evidence on dates where the Advisors of in the Process. upon which the University does Choice for all parties are not avail- Investigation not intend to rely in reaching a able, provided that the Advisors act General Rules of Investigations determination regarding responsi- reasonably in providing available dates The Title IX Coordinator and/ bility, and evidence that both tends and work collegially to find dates and or an investigator designated by the to prove or disprove the allegations, times that meet all schedules. Title IX Coordinator will perform whether obtained from a party or The University’s obligations to an investigation under a reasonably other source. investigate and adjudicate in a prompt prompt timeframe of the conduct • A statement that prohibits know- timeframe under Title IX and other alleged to constitute covered sexual ingly making false statements college policies apply to matters harassment after issuing the Notice of or knowingly submitting false governed under this Policy, and the Allegations. information during the grievance University cannot agree to extensive The University and not the process. delays solely to accommodate the parties, has the burden of proof and Ongoing Notice schedule of an Advisor of Choice. The determination of what is the burden of gathering evidence, If, in the course of an investigation, i.e., the responsibility of showing a the University decides to investigate reasonable shall be made by the Title IX Coordinator or designee. The violation of this Policy has occurred. allegations about the complainant This burden does not rest with or respondent that are not included University will not be obligated to delay a meeting or hearing under this either party, and either party may in the Notice of Allegations and are decide not to share their account of otherwise covered “sexual harassment” process more than five (5) days due to the unavailability of an Advisor what occurred or may decide not to falling within the Title IX Grievance participate in an investigation or hear- Policy, the University will notify the of Choice, and may offer the party the opportunity to obtain a different ing. This does not shift the burden of parties whose identities are known proof away from the University and of the additional allegations by their Advisor of Choice or utilize one provided by the University. does not indicate responsibility. The university email accounts or other University cannot access, consider, reasonable means. The parties will be Notice of Meetings and Inter- or disclose medical records without provided sufficient time to review views a waiver from the party (or parent, the additional allegations to prepare a The University will provide, to a if applicable) to whom the records response before any initial interview party whose participation is invited belong or of whom the records regarding those additional charges. or expected, written notice of the include information. The Rockefeller Advisor of Choice and Participa- date, time, location, participants, and University will provide an equal tion of Advisor of Choice purpose of all hearings, investigative opportunity for the parties to present The University will provide the interviews, or other meetings with witnesses, including fact and expert parties equal access to advisors and a party, with sufficient time for the witnesses, and other inculpatory and support persons; any restrictions on party to prepare to participate. exculpatory evidence, (i.e., evidence advisor participation will be applied Delays that tends to prove and disprove the equally. Each party may request a one-time allegations) as described below. The University has a long- delay in the Grievance Process of Inspection and Review of standing practice of requiring up to five (5) days for good cause Evidence students to participate in the process (granted or denied in the sole judg- Prior to the completion of the

48 | investigation, the parties will have inspection and review will be available The University will not issue a an equal opportunity to inspect and at any hearing, including for purposes disciplinary sanction arising from an review the evidence obtained through of cross-examination. The parties and allegation of covered sexual harassment the investigation. The purpose of their advisors must sign an agreement without holding a live hearing unless the inspection and review process is not to disseminate any of the evidence the complaint otherwise resolved to allow each party the equal op- subject to inspection and review or through an informal resolution process. portunity to meaningfully respond to use such evidence for any purpose The live hearing may be conducted the evidence prior to conclusion of the unrelated to the Title IX grievance with all parties physically present in investigation. process. The parties and their advisors the same geographic location, or—at All parties must submit any agree not to photograph or otherwise the University’s discretion—any or all evidence they would like included in copy the evidence. parties, witnesses, and other participants the investigation prior to beginning Inclusion of Evidence Not Di- may appear at the live hearing of the inspection and review period. rectly Related to the Allegations: virtually through secure remote video Evidence that will be available for Evidence obtained in the investigation conferencing as prescribed by the inspection and review by the parties that is determined in the reasoned University. This technology will enable will be any evidence that is directly judgment of the investigator not to participants simultaneously to see and related to the allegations raised in the be directly related to the allegations hear each other. At its discretion, the Formal Complaint. It will include any: in the Formal Complaint will not be University may delay or adjourn a 1. Evidence that is relevant, even if disclosed, or may be appropriately hearing based on technological errors that evidence does not end up being redacted before the parties’ inspection not within a party’s control. All relied upon by the University in to avoid disclosure of personally proceedings will be recorded through making a determination regarding identifiable information of a student. either audio recording or audiovisual responsibility. Any evidence obtained in the inves- recording. That recording will be made 2. Inculpatory or exculpatory evidence tigation that is kept from disclosure available to the parties for inspection (i.e., evidence that tends to prove or appropriately redacted will be and review. Prior to obtaining access or disprove the allegations) that is documented in a “privilege log” that to any evidence, the parties and their directly related to the allegations, may be reviewed by the parties and advisors must sign an agreement not to whether obtained from a party or their advisors, if any. disseminate any of the testimony heard other source. or evidence obtained in the hearing Investigative Report The University will send the or use such testimony or evidence for The Title IX Coordinator and/or an evidence made available for each party any purpose unrelated to the Title IX investigator designated by the Title IX and each party’s advisor, if any, to Grievance Process. Once signed, this Coordinator will create an Investiga- inspect and review via electronic for- Agreement may not be withdrawn. tive Report that fairly summarizes mat. The University is not under any relevant evidence, will and provide Continuances or Granting Exten- obligation to use any specific process that Report to the parties at least sions or technology to provide the evidence ten (10) calendar days prior to the The University may determine that and shall have the sole discretion in hearing in electronic format via email multiple sessions or a continuance (i.e., terms of determining format and any or hard copy if requested by a party a pause on the continuation of the restrictions or limitations on access. in writing for each party’s review and hearing until a later date or time) is The parties will have ten (10) written response. The Investigative needed to complete a hearing. If so, the calendar days to inspect and review the Report is not intended to catalog all University will notify all participants evidence and submit a written response evidence obtained by the investigator, and endeavor to accommodate all by email to the investigator. The but only to provide a fair summary of participants’ schedules and complete investigator will consider the parties’ that evidence. Only relevant evidence the hearing as promptly as practicable. written responses before completing (including both inculpatory and Newly discovered Evidence the Investigative Report. exculpatory—i.e., tending to prove As a general rule, no new evidence or The University will provide the and disprove the allegations—relevant witnesses may be submitted during the parties up to ten (10) days to provide evidence) will be referenced in the live hearing. If a party identifies new a response, after which the investigator Investigative Report. The investigator evidence or witnesses that were not will not be required to accept a late may redact irrelevant information from reasonably available prior to the live submission. Investigator has fifteen the Investigative Report when that hearing and could affect the outcome (15) calendar days to generate a report information is contained in documents of the matter, the party may request or, alternatively, may provide the parties or evidence that is/are otherwise that such evidence or witnesses be with written notice extending the relevant. considered at the live hearing. The investigation for fifteen (15) calendar Hearing Decision Maker will consider days and explaining the reason for the Hearing this request and make a determination extension. Any evidence subject to General Rules of Hearings

| 49 regarding (1) whether such evidence party in reaching a determination an advisor to serve in this role for or witness testimony was actually regarding responsibility, but may the limited purpose of conducting unavailable by reasonable effort prior reach a determination regarding the cross-examination at no fee or to the hearing, and (2) whether such responsibility based on evidence that charge to the party. evidence or witness testimony could does not constitute a “statement” by • The advisor is not prohibited from affect the outcome of the matter. The that party. having a conflict of interest or bias party offering the newly discovered • The decision-maker cannot draw an in favor of or against complainants evidence or witness has the burden inference about the determination or respondents generally, or in of establishing these questions by the regarding responsibility based solely favor or against the parties to the preponderance of the evidence. on a party’s absence from the live particular case. If the Hearing Decision Maker hearing or refusal to answer cross • The advisor is not prohibited from answers in the affirmative to both examination or other questions. being a witness in the matter. questions, then the parties will be • If a party does not attend the live granted a reasonable pause in the hear- The Hearing Decision Maker hearing, the party’s advisor may ap- ing to review the evidence or prepare • A hearing body will consist of a pear and conduct cross-examination for questioning of the witness. single Hearing Decision Maker. on their behalf. Participants in the live hearing • No member of the hearing body • If neither a party nor their advisor Live hearings are not public, and the will also have served as the Title IX appear at the hearing, the University only individuals permitted to partici- Coordinator, Title IX investigator, will provide an advisor to appear on pate in the hearing are as follows: or advisor to any party in the case, behalf of the non-appearing party. Complainant and Respondent (The nor may any member of the hearing Witnesses Parties) body serve on the appeals body in • Witnesses cannot be compelled to • The parties cannot waive the right the case. participate in the live hearing and to a live hearing. • No member of the hearing body have the right not to participate in • The University may still proceed will have a conflict of interest or bias the hearing free from retaliation. with the live hearing in the in favor of or against complainants • If a witness does not submit to absence of a party and may reach or respondents generally, or in cross-examination, as described a determination of responsibility favor or against the parties to the below, the decision-maker cannot in their absence, including through particular case. rely on any statements made by that any evidence gathered that does • The hearing body will be trained witness in reaching a determination not constitute a “statement” by that on topics including how to serve regarding responsibility, including party. impartially, issues of relevance, any statement relayed by the absent a) For example, A verbal or written including how to apply the rape witness to a witness or party who statement constituting part or shield protections provided for testifies at the live hearing. all of the sexual harassment itself complainants, and any technology to • Witnesses are expected to conduct is not a “prior statement” that be used at the hearing. themselves appropriately. must be excluded if the maker • The parties will have an opportunity Hearing Procedures of the statement does not submit to raise any objections regarding a For all live hearings conducted under to cross-examination about that Decision Maker’s actual or perceived this Title IX Grievance Process, the statement. In other words, a prior conflicts of interest or bias at the procedure will be as follows: statement would not include commencement of the live hearing. • The Hearing Decision Maker a document, audio recording, Advisor of choice will open and establish rules and audiovisual reading, and digital • The parties have the right to select expectations for the hearing. media, including but not limited an advisor of their choice, who • The Parties will each be given the to text messages, emails, and social may be, but does not have to be, an opportunity to provide opening media postings, that constitute the attorney. statements. conduct alleged to have been the • The advisor of choice may ac- • The Hearing Decision Maker will act of sexual harassment under company the parties to any meeting ask questions of the Parties and the formal complaint. or hearing they are permitted to Witnesses • The University will not threaten, attend, but may not speak for the • Parties will be given the opportunity coerce, intimidate, or discriminate party, except for the purpose of for live cross-examination after the against the party in an attempt to cross-examination. Hearing Decision Maker conducts secure the party’s participation. • The parties are not permitted to its initial round of questioning; Dur- • If a party does not submit to conduct cross-examination; it must ing the Parties’ cross-examination, cross-examination, the Hearing be conducted by the advisor. As a Hearing Decision Maker will have Decision Maker cannot rely on result, if a party does not select an the authority to pause cross-exami- any prior statements made by that advisor, the University will select nation at any time for the purposes

50 | of asking Hearing Decision Maker IX-129B hearings, determinations detector tests”) and other procedures own follow up questions; and any regarding responsibility may be based that are outside of standard use in time necessary in order to enforce in part, or entirely, on documentary, academic and non-academic conduct the established rules of decorum. audiovisual, and digital evidence, as processes will be allowed to testify and • Should a Party or the Party’s Advisor warranted in the reasoned judgment be crossed as required by the Final choose not to cross-examine a Party of the Hearing Decision Maker. Rule, the decision-maker will be or Witness, the Party shall affir- Hearing Decision Maker’s shall not instructed to afford lower weight to matively waive cross-examination draw inferences regarding a party or such processes relative to the testimony through a written or oral statement witness’ credibility based on the party of fact witnesses. to the Hearing Decision Maker. A or witness’ status as a complainant, Adverse Inference Party’s waiver of cross-examination respondent, or witness, nor shall it base Where a party or witness’ conduct or does not eliminate the ability of its judgments in stereotypes about how statements demonstrate that the party the Hearing Decision Maker to use a party or witness would or should act or witness is engaging in retaliatory statements made by the Party. under the circumstances. Generally, conduct, including but not limited to Live Cross-Examination Procedure credibility judgments should rest on witness tampering and intimidation, Each party’s advisor will conduct live the demeanor of the party or witness, the Hearing Decision Maker may draw cross-examination of the other party the plausibility of their testimony, the an adverse or negative inference as to or parties and witnesses. During this consistency of their testimony, and its that party or witness’ credibility. live-cross examination the advisor will reliability in light of corroborating ask the other party or parties and wit- or conflicting testimony or evidence. Still, credibility judgments should not Components of the Determination nesses relevant questions and follow-up Regarding Responsibility questions, including those challenging rest on whether a party or witness’ testimony is non-linear or incomplete, The written Determination Regard- credibility directly, orally, and in real ing Responsibility will be issued time. Before any cross-examination or if the party or witness is displaying stress or anxiety. Decision makers will simultaneously to all parties through question is answered, the Hearing their university email account, or other Decision Maker will determine if the afford the highest weight relative to other testimony to first-hand testimony reasonable means, as necessary. The question is relevant. Cross-examination Determination will include: questions that are duplicative of those by parties and witnesses regarding their own memory of specific facts 1. Identification of the allegations already asked, including by the Hearing potentially constituting covered Decision Maker may be deemed that occurred. Both inculpatory and exculpatory (i.e., tending to prove and sexual harassment; irrelevant if they have been asked and 2. A description of the procedural steps answered. disprove the allegations) evidence will be weighed in equal fashion. taken from the receipt of the formal Review of Recording complaint through the determina- The recording of the hearing will Expert Witnesses, Character tion, including any notifications to be available for review by the parties Witnesses and Polygraph Tests: the parties, interviews with parties within ___ calendar days unless there While an expert witness will be and witnesses, site visits, methods are any extenuating circumstances. The allowed to testify and be crossed used to gather other evidence, and recording/transcript of the hearing will as required by the Final Rule, the hearings held; not be provided to parties or advisors decision-maker will be instructed to 3. Findings of fact supporting the of choice. afford lower weight to non-factual determination; testimony of the expert relative to fact 4. Conclusions regarding which section Determination Regarding Re- witnesses, and any expert testimony sponsibility of the University Policy/Code of that is not directed to the specific Conduct, if any, the respondent has Standard of Proof facts that occurred in the case will be or has not violated. The preponderance of the evidence afforded lower weight relative to fact 5. For each allegation: standard will apply for investigations witnesses, regardless of whether the a. A statement of, and rationale and determinations regarding respon- expert witness testimony is the subject for, a determination regarding sibility of formal complaints covered of cross examination and regardless responsibility; under this Policy. This means that the of whether all parties present experts b. A statement of, and rationale investigation and hearing determine as witnesses. While the character for, any disciplinary sanctions whether it is more likely than not that witnesses will be allowed to testify the recipient imposes on the a violation of the Policy occurred. and be crossed as required by the Final respondent; and General Considerations for Evalu- Rule, the decision-maker will be c. A statement of, and rationale for, ating Testimony and Evidence instructed to afford very low weight to whether remedies designed to While the opportunity for cross- any non-factual character testimony of restore or preserve equal access to examination is required in all Title any witness. While the processes and the recipient’s education program testimony about polygraph tests (“lie

| 51 or activity will be provided by the a party appeals, the institution will as discriminate against any individual recipient to the complainant; and soon as practicable notify the other because the individual has made a 6. The recipient’s procedures and the party in writing of the appeal, however report or complaint, testified, assisted, permitted reasons for the complain- the time for appeal shall be offered or participated or refused to participate ant and respondent to appeal equitably to all parties and shall not be in any manner in an investigation, (described below in “Appeal”). extended for any party solely because proceeding or hearing under this Title Timeline of Determination the other party filed an appeal. IX Grievance Policy. Regarding Responsibility Appeals may be no longer than ten Any intimidation, threats, coercion, If there are no extenuating circum- (10) (including attachments). Appeals or discrimination, for the purpose stances, the determination regarding should be submitted in electronic of interfering with any right or responsibility will be issued by the form using ARIAL or TIMES NEW privilege secured by Title IX or its University within ten (10) calendar ROMAN, 12-point font, and single- implementing regulations constitutes days of the completion of the hearing. spaced. Appeals should use footnotes, retaliation. This includes any charges not endnotes. Appeals that do not filed against an individual for code Finality meet these standards may be returned of conduct violations that do not The determination regarding responsi- to the party for correction, but the involve sex discrimination or sexual bility becomes final either on the date time for appeal will not be extended harassment, but that arise from the that the institution provides the parties unless there is evidence that technical same facts or circumstances as a report with the written determination of the malfunction caused the appeal docu- or complaint of sex discrimination result of the appeal, if an appeal is filed ment not to meet these standards. or a report or Formal Complaint of consistent with the procedures and Appeals will be decided by an Ap- sexual harassment. Complaints alleging timeline outlined in “Appeals” below, peals Panel who will be free of conflict retaliation may be filed according to or if an appeal is not filed, the date of interest and bias, and will not serve the University’s sex discrimination on which the opportunity to appeal as investigator, Title IX Coordinator, procedures under this policy. expires. or hearing decisionmaker in the same Appeals matter. The outcome of appeal will be AMNESTY POLICY FOR ALCOHOL Each party may appeal (1) the dismissal provided in writing simultaneously to AND/OR DRUG USE BY REPORT- of a formal complaint or any included both parties and include rationale for ING INDIVIDUALS allegations and/or (2) a determination the decision. The health and safety of every regarding responsibility. To appeal, a Retaliation student at the University is of utmost party must submit their written appeal The University will keep the importance. The University recognizes within five (5) calendar days of being identity of any individual who has that students who have been drinking notified of the decision, indicating the made a report or complaint of sex and/or using drugs (whether such grounds for the appeal. discrimination confidential, including use is voluntary or involuntary) at the The limited grounds for appeal the identity of any individual who time that violence, including but not available are as follows: has made a report or filed a Formal limited to domestic violence, dating • Procedural irregularity that affected Complaint of sexual harassment under violence, sexual assault, sexual violence, the outcome of the matter (i.e. a this Title IX Grievance Policy, any relationship violence, and/or stalking, failure to follow the institution’s Complainant, any individual who has occurs may be hesitant to report such own procedures); been reported to be the perpetrator of incidents due to fear of potential • New evidence that was not sex discrimination, any Respondent, consequences for their own conduct. reasonably available at the time the and any witness, except as permitted by The University strongly encourages determination regarding responsibil- the FERPA statute, 20 U.S.C. 1232g, students to report any of the above ity or dismissal was made, that could or FERPA regulations, 34 CFR part misconduct to University officials. A affect the outcome of the matter; 99, or as required by law, or to carry bystander or a complainant who acting • The Title IX Coordinator, out the purposes of 34 CFR part 106, in good faith reports or discloses any investigator(s), or decision-maker(s) including the conduct of any investiga- incident of sexual violence, relationship had a conflict of interest or bias tion, hearing, or judicial proceeding violence, and/or stalking to University for or against an individual party, under this Title IX Grievance Policy. officials or law enforcement will not or for or against complainants or No person may intimidate, be subject to disciplinary action for respondents in general, that affected threaten, coerce, or discriminate violation of the University’s Substance the outcome of the matter. against any individual for the purpose Abuse Policy occurring at or near the The submission of appeal stays any of interfering with any right or time of the commission of the reported sanctions for the pendency of an ap- privilege secured by Title IX of the incident. peal. Supportive measures and remote Education Amendments of 1972 or its learning opportunities remain available implementing regulations. No person UNIVERSITY STUDENTS’ BILL during the pendency of the appeal. If may intimidate, threaten, coerce, or OF RIGHTS RELATING TO

52 | SEXUAL VIOLENCE, RELATION- of religion without interference student’s rights and options for proceed- SHIP VIOLENCE, AND/OR by the investigation, hearing, and/ ing, available resources, and assistance, STALKING or decision-making process of the and where applicable, the importance All University students have the right University. of preserving evidence and obtaining to: Additional information and a sexual assault forensic examination 1. Make a report to local law guidance concerning these rights and as soon as possible. These individuals enforcement and/or state police; implementing procedures is set forth will explain that they can offer the 2. Have disclosures of sexual violence, in the attached University’s Guidelines student privacy, if not confidentiality, including domestic violence, dat- and Implementing Procedures. and will inform the student of other ing violence, stalking, and sexual Questions regarding Title IX may be reporting options. They will also offer a assault, treated seriously; referred to the University’s Title IX student information and assistance with 3. Make a decision about whether Coordinator or to the Office for Civil filing a report and will advise that the or not to disclose a crime and/or Rights (OCR), U.S. Department of criminal justice process utilizes different violation and to participate in the Health and Human Services. standards of proof and evidence than University’s investigation, hearing, the University’s investigation process. and/or decision-making process GUIDELINES AND IMPLEMENTING Questions about whether a specific and/or criminal justice process free PROCEDURES incident violated the State’s criminal law from pressure by the University; These guidelines and implementing should be addressed to law enforcement 4. Participate in a process that is fair, procedures provide additional informa- or the district attorney; impartial, and provides adequate tion and guidance concerning Univer- • File a report of sexual violence, notice and a meaningful opportu- sity students’ rights and the University’s relationship violence, and/or stalking nity to be heard; procedure for responding to complaints with the University. Reports will be 5. Be treated with dignity and receive or reports under the attached Policy, investigated in accordance with the from the University courteous, available resources, protections and Policy; fair, and respectful health care accommodations, procedural rights, and • Receive assistance from the Director and counseling services, where sanctions. of Security (James Rogers) or his designee in initiating legal proceed- available; Response to Complaints or ings in family court or civil court; and 6. Be free from any suggestion that Reports • Request, at any time, the withdrawal the complainant or reporting In addition to the rights set forth in of a complaint or further involvement individual is at fault when these the Policy, a bystander who reports with the University’s investigation crimes and/or violations are or University student who has been a process. committed, or should have acted victim of sexual violence, relationship The following information will be in a different manner to avoid such violence, and/or stalking has the right given to a reporting individual at the crimes and/or violations; to: first instance of disclosure of sexual 7. Describe the incident to as few • Notify University security and/or violence, relationship violence, and/or University representatives as local law enforcement or state police stalking: practicable and not be required to about the incident; You You have the right to make a unnecessarily repeat a description • Have emergency access to the Title report to University Security, local of the incident; IX Coordinator (Virginia Huffman) law enforcement, and/or state police; 8. Be protected from retaliation by and/or the Director of Security or choose not to report; to report the University, any University em- (James K. Rogers). Contact informa- the incident to the University; to be ployee, personnel, and/or student; tion for these individuals is as follows: and/or the accused and/or their protected by the University from Virginia Huffman friends, family, and acquaintances retaliation for reporting an incident; Title IX Coordinator within the jurisdiction of the and to receive assistance and resources Vice President, Human Resources University; from the University. Founders Hall, Rm 103 9. Have access to at least one level of It should be noted that if an Tel: 212-327-7261 appeal of a determination; individual discloses information Email: [email protected] 10. Be accompanied by an advisor through a public awareness event, of choice who may assist and James K. Rogers such as candlelight vigils, protests, or advise a complainant, reporting Director of Security other public event, the University is not individual, or accused throughout Nurses Residence, 1st Floor required to begin an investigation based the investigation, hearing, and/or Tel: 212-327-7339 on such information (unless requested decision-making process, including Email: [email protected] to do so by the individual), although the University may use the information during all meetings and hearings These individuals are trained in to inform its education and prevention related to such process; and interviewing victims of sexual assault efforts. 11. Exercise civil rights and practice and will offer information about a

| 53 Resources Available to University sexual violence. disciplinary action. If the accused and Students To best preserve evidence, victims/ victim observe each other in a public It is important for a victim of survivors should avoid showering, place, the accused will be responsible sexual violence to seek immediate washing, changing clothes, combing for leaving the area immediately and appropriate medical assistance and hair, drinking, eating, or doing anything and without directly contacting the treatment as needed. In the course of to alter physical appearance until after victim. treatment, it is important to preserve a physical exam has been completed. • Assistance Obtaining an Order of evidence that may be necessary to prove Also, within 96 hours of an assault, Protection: A student may request the reported conduct occurred or to you can get a Sexual Assault Forensic that the University’s Director of obtain an order of protection. The Examination (commonly referred to Security or other appropriate Univer- University’s on-campus Occupational as a rape kit) at a hospital. While there sity representative assist the student in Health Service (OHS) is available free should be no charge for a rape kit, obtaining a court order of protection of charge to all University students. there may be a charge for medical or and/or explain to the student the • OHS is staffed by nurse practitioners counseling services off campus and, order and the consequences of and a certified occupational health in some cases, insurance may be billed violating the order. The University nurse who offer confidential, basic for services. You are encouraged to let will provide to the student, a copy of medical advice, or first aid care when hospital personnel know if you do not the court order of protection when such treatment is necessary in want your insurance policyholder to received by the University. Uni- advance of a student receiving private be notified about your access to these versity Security shall assist local law medical attention. services. The New York State Office of enforcement, if necessary, in effecting • OHS also has on-campus a Weill Victim Services may be able to assist an arrest for violation of an order of Cornell Medicine psychiatrist and a in compensating victims/survivors for protection. licensed clinical social worker who health care and counseling services, • Interim Sanctions: When the accused offers confidential counseling and including emergency funds. is determined to present a continuing help in finding appropriate mental More information may be found threat to the health and safety of the health care providers within the here: https://ovs.ny.gov/sites/default/ University community, the University University’s healthcare networks. files/brochure/ovs-rights-cv or by may institute an interim suspension, OHS is open Monday through calling (800) 247-8035. Additional as appropriate, pending the outcome Friday, 9 a.m. to 5 p.m. and is located in options are explained here: https://ovs. of the University’s investigation The Rockefeller University Hospital, ny.gov/help-crime-victims. or appeal process (or local law Room 118; tel: 212-327-8214. While Additional information about sexu- enforcement’s investigation) and in OHS staff are unable to perform ally transmitted infections, sexual assault accordance with other rules and procedures related to the collection of forensic examinations, and resources policies of the University, including evidence for the purpose of pursuing available to victims of sexual violence the University’s Grievance Procedures a criminal action, they can provide as- may be found on the New York State and the Non-Discrimination, Anti- sistance and support when an individual Department of Health website at: Harassment, and Anti-Retaliation requests or requires transportation to a https://www.health.ny.gov/prevention/ Policy. full-service hospital. sexual_violence/; and by contacting • Supportive Measures/Interim The Employee Assistance Program, The New York State Office of Victim Accommodations: The University (EAP) is also available free of charge to Services: tel: 800-247-8035 or www. may provide reasonable and available all University students and employees. ovs.ny.gov. interim measures and accom- EAP, which is offered through The University Protections and Accom- modations to the victim and/or Standard, is a confidential, short term modations for Its Students the accused that effect a change in counseling and referral service that is The University may offer any of the academic, housing, employment, equipped to provide various support following protections and accom- transportation, or other applicable services, including short term counsel- modations, as appropriate, to a Univer- arrangements in order to help ensure ing, therapy, and crisis intervention. sity student who has been a victim or safety, prevent retaliation, and avoid an To reach the EAP directly, call (888) accused of sexual violence, relationship ongoing hostile environment. 293-6948 or text MSEAP to 53342, or violence, and/or stalking: A University student who is a visit www.worklifehealth.com. • No Contact Order: When the victim or an accused may (i) request any In addition, across the street from accused is a student, the University of the above protections or accom- the University is New York Presbyterian may issue and provide a copy of a modations, (ii) request to be afforded a Hospital – Weill Cornell Medicine, “no contact order” to the victim reasonably prompt review by the Title which has a New York State-designated and the accused whereby continued IX Coordinator or her designee of the Sexual Assault Forensic Examiner intentional contact with the victim need for and terms of any of the above (SAFE) Program and provides special- would be a violation of University protections or accommodations (even if ized care to victims of sexual assault or policy and thus, subject to additional the victim does not file or continue to

54 | pursue a complaint), including potential the course of the investigation or ap- reason, any such transcript notation will modification, and (iii) will be allowed to peal process must be protected from be removed. submit evidence in support or defense public release until a final appellate of the request. The Title IX Coordinator determination has been made, unless will be responsible for coordinating otherwise required by law. with appropriate offices on campus to Sanctions implement appropriate measures. Sanctions against an individual found Procedural Rights to have violated the University’s Policy In addition to the procedural rights set may include, for example: training; forth in the Policy, a student who has referral to counseling; monitoring of been the victim of, or has been accused the offender; warning or reprimand; of, a violation of the Policy has a right suspension or expulsion (in the case of to: a student offender); or withholding of • Have access to a full and fair record of a promotion or pay increase, reduction any hearing, and have the record be of wages, demotion, reassignment, preserved for at least seven (7) years suspension, or termination (in the case from the date of such a hearing; of an employee offender). • Have access to a fair and impartial For crimes of violence, including appeal panel’s review of the determi- but not limited to sexual violence, the nation; University will make a notation on the • Have the University’s investigation transcript of students found responsible or appeal process occur concurrently for a violation pursuant to the Univer- with a criminal justice investiga- sity’s investigation and appeal process tion and proceeding if a criminal that the student was “suspended after a complaint was filed, except for finding of responsibility for a code of temporary delays requested by local conduct violation” or “expelled after a law enforcement to gather evidence; finding of responsibility for a code of • Exclude their own prior sexual conduct violation”, as appropriate. For history with persons other than the an accused who withdraws from the accused or their own mental health University while such conduct charges diagnosis and/or treatment from the are pending, and declines to complete University’s investigation or appeal the investigation process, the University process. However, past findings of will make a notation on the transcript of sexual assault, relationship violence, such students that they “withdrew with and/or stalking may be admissible in conduct charges pending.” Such nota- determining sanctions; and tion will not be removed prior to one • Choose whether to disclose or discuss year after conclusion of the suspension, the outcome of the University’s while notations for expulsion will not investigation or appeal process, except be removed. If a finding of a violation that all information obtained during of University Policy is vacated for any

| 55 NON-SMOKING POLICY

The Rockefeller University’s policy lounges, the Faculty and Students to retaliatory action in violation of on non-smoking is established to Club, the Philosopher’s Garden, this policy should report the action protect all faculty, staff, students, and parking areas. Smoking is also immediately to Human Resources. children attending the Child and prohibited in all University vehicles. The University will promptly and Family Center, volunteers, and visitors Compliance with the smoke-free thoroughly investigate any claims of from the health risks associated with campus policy is mandatory for all retaliatory action. secondhand smoke and to promote faculty, staff, students, volunteers, Violations of this policy may and ensure general safety and comfort. contractors, and visitors to the result in appropriate corrective Other than the limited exception campus. disciplinary action, up to and includ- for private residences noted below, Exception: Private residences ing termination of employment and/ smoking is prohibited in all areas of owned by the University, including or revocation of rights to access to the the campus, including the outside but not limited to the Graduate Stu- campus. grounds. Smoking is not permitted dents’ Residence and Sophie Fricke The University encourages and anywhere on campus, including, Hall are exempt from this policy. supports employees in their effort to but not limited to, the Univer- Smoking is prohibited in public areas stop smoking and offers a smoking sity Hospital, the Child and Family of the residential buildings. cessation benefit. For further informa- Center, the auditorium, the library, Employees are prohibited from tion concerning this benefit, please classrooms, conference and meeting taking retaliatory action or an contact Occupational Health Services rooms, laboratories, private enclosed adverse personnel action against an at extension 8414. offices, restrooms, elevators, hallways, individual for taking reasonable steps If you have any questions about stairwells, building mechanical areas to enforce this policy or requesting the non-smoking policy, please and rooftops, the gymnasium, squash management’s assistance in its contact Human Resources at exten- courts, locker rooms, tennis courts, implementation. Any employee who sion 8300. cafeteria and dining rooms, staff believes he or she has been subjected Revised 2-23-2011

OCCUPATIONAL HEALTH SERVICE

Occupational Health Services (OHS) notify OHS immediately. Hospital and is open from 9:00 a.m. offers employees a variety of services Medical information obtained by to 5:00 p.m., Monday through Friday, without charge; however, it is not OHS is generally held in confidence. (212) 327-8414. intended, nor is it possible, that it However, employees should know If you have questions concerning substitute for a personal physician or a that the Vice President of Human this policy, please discuss it with the hospital clinic or emergency room. Its Resources will be informed when staff members of OHS or the Vice staff members will offer basic medical such information bears upon job President of Human Resources. advice or care when such treatment performance, University benefits, sick For more information on various is necessary before the employee can pay, safety, or the commission of illegal healthcare programs, please refer to obtain private medical attention. If acts on campus. the Programs and Mandated Benefits you have an accident or become ill The office is located on the first booklet. while at work, you must report to or floor of The Rockefeller University

PAY TRANSPARENCY NONDISCRIMINATION PROVISION

The contractor will not discharge or in any other manner other employees or applicants to individuals who do not discriminate against employees or applicants because otherwise have access to compensation information, unless they have inquired about, discussed, or disclosed their the disclosure is (a) in response to a formal complaint or own pay or the pay of another employee or applicant. charge, (b) in furtherance of an investigation, proceeding, However, employees who have access to the compensation hearing, or action, including an investigation conducted by information of other employees or applicants as a part the employer, or (c) consistent with the contractor’s legal of their essential job functions cannot disclose the pay of duty to furnish information.

56 | PERSONAL COMMUNICATION DEVICE AND SERVICE POLICY

The Rockefeller University provides Personal Com- Personnel using PCD Authorized person munication Devices (PCDs) and service to those personnel Laboratory personnel Head of Laboratory whose University job duties require them. A “Personal All other personnel Depends on the structure Communication Device” is an individually-portable, of the laboratory or office: University-owned communication device to be used for usually Director or Assoc. business communication activities for the University. PCDs Vice President include cell phones, Push to Talk (PTT), Smartphones or any handheld communication device (for example, PROCEDURE FOR ORDERING OR UPGRADING BlackBerry’s, iPhones), wireless data cards, similar equip- PCDS OR SERVICE ment, and certain accessories. The appropriate authorized person should submit a written This Policy describes the circumstances under which request (via email) for a new or upgraded PCD or service PCDs may be requested, the approval process for purchase to the attention of TelecomPCD (telecom-pcd@rockefeller. of PCDs and service, the procedures for ordering and edu). On the Telecommunications Services website (www. upgrading PCDs and service, the procedures for modifying rockefeller.edu/telecom/PCDOrder.pdf), users will find or terminating PCD service, periodic review procedures, detailed instructions for composing the written request. and guidelines for use. Telecommunications Services will obtain the best The purpose of this Policy is to promote the proper pricing from an approved provider such as AT&T, Sprint/ stewardship of University assets, streamline procedures, and Nextel, T-Mobile or Verizon Wireless, depending upon establish a framework for consistent decision-making. the equipment and plan that best suits the administrative office or laboratory’s needs. Telecommunications will send CIRCUMSTANCES UNDER WHICH PCDS MAY BE detailed descriptions of the equipment, plan, and price to REQUESTED the authorized person for approval. The authorized person An individual working at the University is eligible to will approve via email and send to Telecommunications have a PCD if he or she has a valid business need for one the office or laboratory’s account information (PTAEO). and follows the procedures outlined in this Policy. “Valid Telecommunications will place the order and notify the business need” is defined as the need to be readily accessible authorized person when the PCD can be picked up. The for communications on essential University business with same process is used for upgrading PCDs or service plans. the public or with University faculty, staff, or students, If an employee or researcher who meets the eligibility coupled with the impracticability of relying on a land-line requirements set out above for a University PCD already telephone due to: has a personal communication device that satisfies the (a) frequent travel, working at a remote location, working requirements stated above for PCDs, the employee or at numerous campus locations each workday, etc.; or researcher may transfer responsibility for paying for his or her current device and/or service to the University. The (b) the need to receive or initiate communication in University will pay for the service plan, but typically will emergency situations; or not purchase the device. When the device needs to be (c) the need to be accessible and available during non- upgraded, the University will pay for a replacement PCD, business hours or by electronic means at all times. assuming the PCD and service are still justified as a valid A PCD will be provided only to a University employee business need. or researcher who is asked by his or her supervisor to carry one. An employee or researcher cannot self-determine that PROCEDURE FOR MODIFYING OR TERMINATING he or she has a valid business need for a PCD. PCDs should PCD SERVICE be requested when they are the least expensive practicable When an employee or researcher with a PCD changes means of providing the necessary communication capacity. positions, leaves the University, or no longer requires the same PCD/service for his or her job duties, the appropriate APPROVAL PROCESS FOR PURCHASE OF PCDS authorized person will arrange with Telecommunications All purchases of PCDs and PCD service will be made by Services to make any needed change to or termination of Telecommunications Services. Under no circumstance the PCD or service. The lab or administrative office may should other University employees, lab heads, or admin- choose (1) to keep the PCD and service as a spare, (2) to istration purchase PCDs or PCD services using funds keep the PCD with suspended/vacation service (so that the administered by Rockefeller University. phone number is retained), or (3) to turn off the service but All requests for purchases of PCDs and PCD service keep the PCD. must be approved by the appropriate authorized person. If an employee or researcher is leaving the University, and the laboratory or administrative office does not need the PCD and its service plan, the employee or researcher

| 57 may keep the wireless telephone number and/or PCD. text plan, with written permission from the authorized person. To keep the telephone number, the employee/researcher should fill out the Responsibility of Billing Transfer Form, GUIDELINES FOR THE USE OF PCDS which must be signed by the employee/researcher and by Users of PCDs must follow all applicable laws, rules, and an authorized person. If the employee/researcher wants regulations related to use of PCDs. Safety should always to keep his or her PCD purchased by the University, he be the first priority. New York State law and Rockefeller or she must pay the University the value of the PCD, as University policy prohibit the use of a cell phone without determined by the Telecommunications Service. a hands-free device while driving. In addition, Rockefeller University policy prohibits the following: PERIODIC REVIEW • Any hands-on use of a PCD while driving (including Telecommunications Services sends periodic usage logs texting, emailing, web surfing, etc.), to each head of laboratory or administrative office, and • Any use of a PCD while crossing streets, and asks whether all persons on the list (a) still work at the University and (b) still have the same PCDs. Laboratories • Any use of a PCD in a dangerous or reckless manner. and administrative offices should not wait until this review to discontinue the possession of a PCD or service when QUESTIONS ABOUT THIS POLICY? an employee/researcher leaves or when his/her job duties Contact Telecommunications Services: 212-327-7784, no longer meet the eligibility requirements. Examples of [email protected] such a change in duties might include transfer to another laboratory or administrative office, assumption of a new job, The University thanks the Cornell University Policy Office or certain types of leave. for permission to use parts of Cornell University Policy Telecommunications Services also reviews the usage 3.24, Personal Communication Devices. logs, and may recommend to the authorized person that a user’s service be switched to a more cost-effective plan. Policy approved by the Administrative Working Group on For example, a PCD that the authorized person determines April 8, 2009 needs to be used for text messaging may be switched to a

RADIATION MONITORING POLICY

The Nuclear Regulatory Commission has regulations the laboratory. governing the close monitoring of the radiation dose 3. The employee decides to declare her pregnancy for that pregnant women are exposed to. If you are pregnant purposes of the radiation monitoring process. and you work in a laboratory, or your duties take you 4. Occupational Health Services notifies Laboratory Safety into a laboratory on a regular basis, you may elect to take that the employee has declared her pregnancy. advantage of this monitoring process. The following is The Rockefeller University procedure available to a pregnant 5. The employee notifies Laboratory Safety of her wish to woman who chooses to benefit from this monitoring. This avail herself of the monitoring process and the counseling procedure is completely voluntary, and any information described in item 2. In the event that an employee fails obtained from the employee will be confidential and will to so notify Laboratory Safety within 10 working days be used only to properly implement the procedure. of the declaration of her pregnancy, Laboratory Safety will initiate the process by contacting the employee and 1. The employee informs Occupational Health Services of reminding her of the monitoring process. her pregnancy. 6. Laboratory Safety schedules and implements the counseling 2. Occupational Health Services informs the employee and the necessary monitoring program for the employee. of the availability of the monitoring process conducted by Laboratory Safety and counseling concerning the potential hazards to the embryo/fetus from materials in

58 | RESEARCH MISCONDUCT POLICY AND PROCEDURE

I. Authority and Applicability proceedings is limited, to the extent possible, to those This Policy has been adopted pursuant to the requirements who need to know, consistent with a thorough, compe- of 42 CFR Part 93, Public Health Service (“PHS”) Policies tent, objective and fair research misconduct proceeding. on Research Misconduct, 70 Federal Register 28384 (May In certain instances required by law, the identity of 17, 2005). This Policy describes the University’s role in Respondents and Complainants must be disclosed in implementing federal regulations that set forth the control- proceedings of the United States Department of Health ling law and procedure. and Human Services. Special care will be taken to protect the confidentiality of research subjects. II. Overview h. All persons involved in the process for determining 1 2 a. Research misconduct means fabrication , falsification , whether research misconduct has occurred must be 3 and plagiarism in proposing, performing, or reviewing free of conflict of interest. A conflict of interest is an research or in reporting research results. Authorship unresolved conflicting personal, professional, or financial disputes are not governed under this Policy unless they interest with persons involved in the inquiry or investiga- involve plagiarism. Research misconduct does not tion such as could reasonably be thought potentially include honest errors or differences of opinion. to influence inappropriately the exercise of a person’s b. A finding of research misconduct requires that the obligation within this Policy. conduct at issue must have been committed intentionally, knowingly, or recklessly. An allegation of research III. Ombudsman misconduct must be proven by a preponderance of the a. The President of the University will appoint an Om- evidence which means that based on all the evidence, the budsman to address an allegation of research misconduct. challenged conduct is more likely than not to have been If the University President has a conflict of interest, the misconduct. Vice President for Scientific Affairs shall serve in the c. Allegations of research misconduct involving Public Health President’s stead and shall assume all of the responsibilities Service-supported research, research training, or activities of the President described in this Policy. related to such research or research training (including b. The Ombudsman must have appropriate expertise applications for Public Health Service support) are covered to handle the matter and must not have a conflict of under this Policy. interest. d. Respondents are persons against whom allegations of research misconduct are directed. Complainants are IV. Allegations of Research Misconduct persons who in good faith make allegations of research a. Any person who has a good faith basis to believe that misconduct. The Office of Research Integrity (“ORI”) is research misconduct has occurred at the University or the federal office within the United States Department of involving University personnel may make an allegation Health and Human Services with jurisdiction over cases of research misconduct. Good faith means having a belief of alleged research misconduct. in the truth of one’s assertion or testimony. An allegation is not made in good faith if it is made with knowing or e. The University or the federal government has the burden reckless disregard for information that would negate the of proving research misconduct. The Respondent has the allegation or testimony. burden of proving that the disputed conduct is the result of honest errors or differences of opinion. b An allegation may be made to the University’s Vice President for Academic Affairs, to Complainant’s Head of f. The conduct at issue must have occurred within six years Laboratory or to ORI. Typically, where an allegation is of the date that the allegation of misconduct is made, or made to ORI, the agency will refer the allegation back to within six years of the citation, re-publication, or other the University where the alleged misconduct occurred. use by the Respondent of the research record alleged to ORI, however, may proceed at any time with its own have been fabricated, falsified, or plagiarized. A research inquiry, investigation, or adjudication of a research misconduct proceeding may occur at any time if the misconduct matter. alleged misconduct would possibly have a substantial adverse effect on the health or safety of the public. c. The Ombudsman will give the Respondent timely, written notice of the allegation. Either before or at the g. Disclosure of the identity of Respondents, Complainants, time the University notifies the Respondent of the witnesses and others involved in research misconduct allegation, the University must promptly take all reason-

1 Fabrication is making up data or results and recording or reporting them. 2 Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record. The research record is the data that reflects scientific inquiry, and includes, but is not limited to, research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, and journal articles. 3 Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

| 59 able and practical steps to gain custody of all the research period, the reasons justifying that longer period will be records and evidence needed to conduct the research documented in the record of the inquiry. misconduct proceeding and must secure the material in e. Based on the evidence considered, the Ombudsman will its custody. The University must, during the proceeding, determine whether the allegation of misconduct has take custody of additional relevant research records or substance and warrants an investigation, i.e., whether evidence and must secure that material as well. there is substance to the charge of fabrication, falsifica- d. Appropriate actions, if any, will be taken, from this point tion, or plagiarism. If the Ombudsman so determines, the forward, to protect public health, federal funds and matter will move to the investigation stage. equipment, and the integrity of affected Public Health f. The Ombudsman will promptly prepare a written Service-supported research. Draft Inquiry Report setting forth (i) the name(s) and position(s) of the Respondent(s); (ii) a short statement of V. Inquiry the allegations; (iii) the PHS support involved; and (iv) a An inquiry is a preliminary information-gathering, the facts found and the conclusion reached. fact-finding effort. Upon receiving a written or an oral g. The Respondent(s) will be given a copy of the Draft allegation of research misconduct, the Ombudsman will Inquiry Report which must include a reference to the commence an Inquiry if the allegation appears to fall applicable federal regulations governing research miscon- within the definition of research misconduct, involves or duct and to this University Policy. The Respondent(s) is related to Public Health Service-supported research or will have a reasonable opportunity to review and research training, and is sufficiently credible and specific to comment on the Draft Inquiry Report and to attach to allow for the identification of potential relevant evidence. it any comments the Respondent(s) thinks appropriate. If these criteria are met, the Ombudsman will give written The Draft Inquiry Report, including any edits made to notice reflecting the nature of the charged misconduct it by the Ombudsman, and the comments, if any, by the to the Respondent, the Complainant, the President of Respondent(s) will become the Final Inquiry Report. the University and the University’s General Counsel. The Ombudsman will conduct a thorough, objective and fair h. The Final Inquiry Report must be sent promptly by the inquiry. The Ombudsman is authorized to secure docu- Ombudsman to the President of the University and to ments and testimony from any persons having expertise or the University’s General Counsel. factual knowledge relevant to the matter. i. If the Ombudsman concludes that the allegation b. The purpose of the Inquiry is to gather information of research misconduct is without substance, the sufficient to determine whether an allegation of mis- Final Inquiry Report will so state. If the Ombudsman conduct has substance and warrants an Investigation. An concludes that the allegation of research misconduct has investigation involves the formal development of a factual substance and warrants an investigation, then, within 30 record and the examination of that record leading to a days of its issuance, the Final Inquiry Report must be decision whether research misconduct has occurred. submitted to ORI along with the material described in the applicable federal regulations. The Final Inquiry c. Respondent and Complainant must cooperate with Report may, but need not, recommend corrective action the Ombudsman by, including but not limited to, to be taken should the subsequent investigation find that providing oral and/or written information deemed research misconduct has occurred. by the Ombudsman to be reasonably necessary to the conduct of the inquiry. The Ombudsman will have the j. The Final Inquiry Report and any necessary accompany- sole discretion to determine the information needed ing documentation described in the applicable federal for the inquiry and whether any or all information will regulations must be maintained for no fewer than 7 years be received by the Ombudsman orally or in writing. after the termination of the inquiry to permit federal Respondent and/or Complainant may choose to be oversight at any time during that period. represented at any stage of this matter by a colleague or person outside the University or by legal counsel. Choos- VI. Investigation ing to be represented will not be deemed uncooperative a. Whereas the inquiry assesses whether an allegation of re- behavior. Uncooperative behavior by Respondent may search misconduct has substance and warrants an investiga- result in immediate implementation of the investigation tion, an investigation involves the formal development of a phase of this procedure and/or other appropriate action. factual record on which to assess whether the matter should Uncooperative behavior by Complainant may, but may be dismissed or a finding of research misconduct should not, result in discontinuation of the inquiry. be made. At the investigation, a finding must be made, by a preponderance of the evidence, whether fabrication, d. The Ombudsman will proceed expeditiously, respecting falsification, or plagiarism occurred and was committed both the need for thoroughness and the interests of the intentionally, knowingly, or recklessly. The Respondent has parties. An inquiry should be completed and a Final the opportunity to prove that, if fabrication, falsification, Inquiry Report issued within 60 days after initiation or plagiarism did occur, it was the result of honest error or of the inquiry. If the circumstances warrant a longer difference of opinion.

60 | b. The President of the University or his or her designee taken into custody and the reasons for that inaction; and (i) will appoint a Special Committee of no fewer than (v) provide a finding as to whether research misconduct three persons who are free of conflict of interest to occurred for each separate allegation of research investigate the allegations of research misconduct. The misconduct identified during the investigation, and investigation must begin within 30 days after the date if misconduct was found, (a) identify it as falsifica- of issuance of the Final Inquiry Report; tion, fabrication, or plagiarism and whether it was (ii) must notify ORI of the decision to undertake an intentional, knowing, or reckless; (b) summarize the investigation on or prior to its commencement; facts and the analysis supporting the conclusion; (c) identify any publications that need correction (iii) must notify the Respondent in writing of the com- or retraction; (d) identify the person(s) responsible mencement of the investigation and the allegations, for the misconduct; (e) list any current support or including new allegations, if any, that may not have known applications or proposals for support that the been addressed during the inquiry or in the Final Respondent(s) has pending with non-PHS federal Inquiry Report; and agencies. (iv) will assure that the research records and evidence The University will maintain and provide to ORI upon needed to conduct the investigation have been secured. request all records of this proceeding, including results of all c. The Committee will be formed and may ask the Univer- interviews and the summaries reflecting such interviews. sity’s Office of the General Counsel to engage external e. The Respondent(s) must receive a copy of the Draft Investigation Counsel to conduct the investigation at Investigation Report and be given supervised reasonable the direction of the Committee with assistance, if and access to evidence on which the report is based, having as needed, from the Office of the General Counsel. The due regard for the confidentiality of the sources of Committee and its Investigation Counsel will have the the evidence. Respondent’s comments on the Draft authority necessary to fully develop the record through Investigation Report must be submitted within 30 days all appropriate means, and to secure the cooperation of of the date on which Respondent(s) received the Draft persons having factual knowledge and expertise relevant Investigation Report. The Committee must consider and to the matter. Among the processes to be undertaken by address the Respondent’s comments before issuing its the Committee and/or its Investigation Counsel are the Final Investigation Report. following: f. The Complainant may, at the Committee’s discretion, be (i) use diligent efforts to ensure that the investigation is provided with a copy of the Draft Investigation Report thorough and sufficiently documented; or relevant portions of it. Complainant’s comments, if (ii) interview each person who has been reasonably any, must be submitted within 30 of the date on which identified as having information regarding any the Complainant received access to any part or all of the relevant aspects of the investigation, even if that Draft Investigation Report. person was interviewed during the inquiry, submit g. Best efforts must be used to complete an investigation written interview summaries to the interviewees for in all aspects, including sending the Final Investigation correction, and include the summaries in the record Report to ORI, within 120 days of the commencement of investigation; and of the investigation. If an extension of time is required, (iii) pursue diligently all significant issues including any the University will apply in writing for an extension evidence of additional instances of possible research from ORI. The Final Investigation Report will contain misconduct. the elements required by applicable federal regulations. All information necessary for completing the investigation and reaching a determination will be made available to the VII. Action by the President of the University Committee in compliance with applicable federal regulations. a. If the Committee finds that research misconduct has occurred, the President, in his or her sole discretion, d. The Committee will produce a Draft Investigation will take appropriate corrective action. Such action may Report. The Draft Investigation Report will: include but is not limited to University disciplinary (i) describe the allegations of research misconduct action, including termination of employment, restitution investigated; to a funding agency, and/or appropriate correction of the (ii) describe and document the PHS support involved; research record. A finding of research misconduct shall be entered into the personnel record of the Respondent. (iii) reference institutional policies and procedures under which the investigation was conducted; b If the Committee does not find that research misconduct has occurred, the records required to be preserved by (iv) identify and summarize the research records and federal regulations and this Policy will be preserved, but evidence reviewed, and identify any evidence taken no sanction shall be imposed on Respondent(s). into custody, but not reviewed. The report should also describe any relevant records and evidence not c The University will provide to ORI a Final Investigation

| 61 Report describing the final institutional finding and Respondent(s) exonerated in any procedure described action, and will cooperate with ORI in any administra- in this Policy as well as persons who participated in the tive action by that agency following conclusion of the procedure, including, but not limited to Complainant(s), University process. witnesses and members of the Committee. VIII. Efforts to Protect Reputation The University will take reasonable and practical efforts Amendments approved by Academic Council on to protect or restore the position and reputation of September 15, 2005.

RESPONDING TO AN ON-CAMPUS VIOLENT FELONY OR A MISSING PERSON REPORT

1. Definitions. reported violent felony or missing person, the Director A. “Violent Felony” is defined in New York Penal of Security will report the matter to the New York Law §70.02. This Policy and Procedure applies only Police Department. to a violent felony committed on The Rockefeller C. The University will follow its internal investigation University campus. plan. In addition, it will cooperate and coordinate with B. “Missing Person” is defined as a member of the and provide assistance to assigned members of the New University community who resides in University hous- York Police Department, which will investigate the ing and whose absence from campus is unexplained and reported matter in accordance with its own procedures. raises reasonable cause for concern. 3. Procedural Exception 2. Procedure A. The University’s reporting obligations are subject to A. The University Director of Security must be the rights of sexual assault victims, under federal law, to notified and will take immediate action in response to decide whether or not to report such incidents to law receiving a report of a violent felony or of a missing enforcement officers. person. B. As soon as practicable but in no case more than Policy Adopted by EOG 04 08 15 twenty-four (24) hours after receiving notice of a

STATIONERY USAGE POLICY

Stationery and all other documents bearing the name of Employees and students are responsible for complying The Rockefeller University should not be used for personal with this policy and all other rules and procedures the correspondence. The stationery is to be used only for University establishes from time to time for use of its professional matters related to the University or to Univer- stationery. Employees who violate this policy are subject to sity employees’ or students’ professional work. discipline, up to and including dismissal. Any information included on stationery for personal or non-business use should not be considered private or confidential.

62 | SUBSTANCE ABUSE POLICY

The Rockefeller University (“University”) is committed to health insurance. The EAP is available 24 hours a day, protecting the safety, health and well-being of its employees seven days a week. For more information visit www. and students. The University recognizes that alcohol abuse workhealthlife.com/Standard3, download the app, text and drug use pose a significant threat to our community. It MSEAP to 53342, or call 1-888-293-6948 and identify is the policy of The Rockefeller University to make every your employer as The Rockefeller University. effort to ensure a drug-free workplace to protect the health, The Oxford also has a program available through their safety, and welfare of its employees, its students, and the Oxford Live and Work Well Program. It is also available public. The University also recognizes that alcohol and drug 24 hours a day, seven days a week and can be accessed at abuse and addiction are treatable conditions. Employees are www.liveandworkwell.com and by calling its substance encouraged to voluntarily seek help for alcohol and/or drug abuse hotline at 1-855-780-5955. problems. The University will address such matters on a case Campus communities in need of substance use or by case basis. A student or employee who violates abuse assistance may also contact Occupational Health this Policy will be subject to University sanctions Services (“OHS”) by phone (212) 327-8414 or by visit- and criminal sanctions provided by federal, state, and ing OHS in Room 118 of the Rockefeller University local law. The following guidelines have been established to Hospital. maintain a drug-free environment. The Drug-Free Schools and Communities Act of 1990 (1) University policy prohibits the unlawful manufacture, requires that this Policy include descriptions of the health possession, use, distribution, dispensation, sale, or risks associated with drug and alcohol abuse and the legal purchase of non-prescribed controlled substances sanctions under local, state, or federal law for illicit use, pos- (drugs) and intoxicants (alcohol) on University premises session, or distribution of alcohol and controlled substances. or at off campus University-sponsored events. This does not include the lawful consumption and/ THE HEALTH RISKS OF ALCOHOL USE AND ABUSE or possession of alcohol by those over the age of 21 at University-sponsored events (on or off campus) or Alcohol consumption causes several marked changes in in the Abby Aldrich Dining Room, the Faculty and behavior. Even low doses significantly impair the judgment Students Club, or University Housing. and coordination required to drive a car safely, increasing the likelihood that the driver will be involved in an ac- (2) All employees are required to report to their jobs in cident. Low to moderate doses of alcohol also increase the a good mental and physical condition. Any individual incidence of a variety of aggressive acts, including spouse whose work performance is impaired by the use of and child abuse. drugs, alcohol, and/or other intoxicants will be consid- Moderate to high doses of alcohol cause marked ered a threat to the safety of their work environment, impairments in higher mental functions, severely altering and subject to immediate discipline. a person’s ability to learn and remember information. (3) As required by the Drug-Free Workplace Act of 1988, Very high doses cause respiratory depression and death. If an employee working on projects funded through fed- combined with other depressants of the central nervous eral contracts or grants must notify Human Resources system, much lower doses of alcohol will produce these or the Deans Office of a conviction of a criminal drug effects. violation that occurred on University property within Repeated use of alcohol can lead to dependence. five (5) days of such conviction. The University is Alcoholism is defined as a complex, chronic psychological required to notify the relevant federal contracting or and nutritional disorder associated with compulsive and/or granting agency within ten (10) days and to take the excessive drinking. Alcohol is addictive in nature; it poisons appropriate personnel action within thirty (30) days of the body, destroys the brain, heart, liver, and pancreas; it receipt of the notice. damages the digestive tract and immune system. Alcoholics A conviction includes: a plea or finding of guilty, any are more vulnerable to heart disease, cancer, organ failure, plea of “nolo contendere”, or an imposition of a fine or and mental illnesses. Sudden cessation of alcohol intake is penalty. likely to produce withdrawal symptoms, including severe anxiety, tremors, hallucinations, and convulsions. Alcohol (4) Members of the University community who need drug withdrawal can be life-threatening. and/or alcohol counseling, rehabilitation, or support Mothers who drink alcohol during pregnancy may services are urged to use the Employee Assistance give birth to infants with fetal alcohol syndrome. These Program (EAP), which provides immediate and confi- infants have irreversible physical abnormalities and mental dential assistance for any work, health, or life concern. retardation. In addition, research indicates that children of The EAP can help with addictions such as alcohol and alcoholic parents are at greater risk than others of becoming drug abuse. The EAP can provide short-term counsel- alcoholics. ing and referrals for long-term treatment, utilizing your

| 63 THE HEALTH RISKS OF DRUG ABUSE change. The full list of NY drug crimes and their penalties Drugs are chemicals which cause physical and psychological can be found in the New York Penal Code. dependence. Please review Chart A below, which describes Under New York City law, a person who has been the uses and effects of controlled substances. convicted of felony possession or sale of a controlled substance may be subject to a civil penalty between $10,000 FEDERAL TRAFFICKING PENALTIES and $100,000 for each count that resulted in a conviction and for the costs of the investigation and prosecution of the Please review Charts B and C below for a description of individual. federal penalties for the trafficking of controlled substances.

PENALTIES FOR UNLAWFUL DISTRIBUTION FEDERAL PENALTIES AND SANCTIONS OF ALCOHOL FOR THE ILLEGAL POSSESSION OF CONTROLLED SUBSTANCES Under both federal and New York State laws, selling or otherwise furnishing alcohol to an individual under the First Conviction - Up to one-year imprisonment and age of 21 is a misdemeanor punishable by fine and/or fine of at least $1,000, or both. imprisonment. In New York State the punishment may After one prior drug conviction - At least 15 days in include up to one-year imprisonment and $1000.00 fine. prison, not to exceed two years and fine of at least $2,500, Selling alcohol without a license or permit is unlawful and or both. punishable by a fine and/or imprisonment. After two or more prior drug convictions – At least 90 days in prison, not to exceed three years and a fine of at DRIVING WHILE INTOXICATED (DWI) least $5,000, or both. Driving while intoxicated (DWI), as determined by a blood In addition, the offender may be forced to relinquish alcohol content of .08 or higher is a misdemeanor punish- personal and real property used to possess or facilitate able by up to a year imprisonment and/or a $1,000 fine for possession of a controlled substance if the violation is a first offense plus six months license revocation; a second punishable by more than one year in prison. Any vehicle or subsequent offense is a felony. Driving while impaired by used to transport or conceal a controlled substance must alcohol (DWAI, not necessarily legally intoxicated, but with be forfeited and a civil fine may be imposed. For first-time a relevant level of blood alcohol content of at least .05) is offenders, federal benefits, such as student loans, grants, also a violation, punishable by up to 15 days imprisonment contracts, and professional and commercial licenses, can be and/or a $500 fine plus a 90-day license suspension. denied for up to one year. For the second and subsequent Repeated offenses result in more serious penalties. offenses, federal benefits can be denied for up to five years. RECREATIONAL MARIJUANA NEW YORK STATE AND CITY PENALTIES FOR Under federal law, marijuana is a considered a Schedule DRUG POSSESSION 1 controlled substance and has no acceptable medical New York State law also forbids the possession, use, or use. The federal government, however, does acknowledge distribution of illicit drugs and imposes criminal penalties, that several states have enacted laws relation to the use of which may include imprisonment. The penalty imposed marijuana for medical purposes and personal use. The for a conviction will generally depend upon the specific federal government has stated in various publications that drug and the amount of the drug held or sold, as well as the it will focus its enforcement resources on 8 priorities1 and individual’s history of prior convictions. Judges have some trust that state and local marijuana laws will address the discretion to consider the circumstances in sentencing. The enforcement of penalties relating to such activity. While the following are a few examples of potential criminal penalties federal government allows the states to enforce marijuana for drug infractions under New York law. infractions, the federal government has not relinquished its enforcement or penalties to the states. • The criminal possession of 500 milligrams or more of In New York State, the use and possession of non- cocaine is a class D felony, punishable by up to 2 ½ years medical marijuana in any amount is illegal. The penalty in prison. for marijuana possession is determined by the amount in • The possession of one-half an ounce of cocaine or more one’s possession. While possession of up to two ounces is is a Class C felony punishable by 1 - 9 years in prison. a violation. Possession of more than two ounces can be a • The criminal possession of eight to sixteen ounces of misdemeanor or felony depending on amount (see above) marijuana is a class E felony, punishable by up to 4 years and circumstances. In addition, operating a vehicle under in prison and up to $5000.00. the influence of marijuana is a matter of public safety may This list is not intended to be exhaustive and is subject to result in criminal charges. The University recognizes that some members of the

1 The 8 federal enforcement priorities concern marijuana activity relating to the distribution to minors, funding criminal enterprises, diverting state laws, trafficking other drugs, firearms and violence, drugged driving and adverse public health consequences, growth on public lands and use or possession on federal property.

64 | campus community may visit or reside in states where the Campus community members who are registered with the recreational use of marijuana is legal, such as our neighbor- NYSMMP to safely possess medical marijuana, as either ing state, New Jersey. It is the policy of The Rockefeller certified patients or designated caregivers, are required to University to follow the laws and regulations of New declare their registration with OHS. Such members will be York State. Therefore, use and possession of marijuana for required to provide a copy of their New York State Medical recreational purposes in prohibited on University property. Marijuana ID card, as well as the form and dose for the marijuana product prescribed to them. In accordance with MEDICAL MARIJUANA New York State Law, the University does cannot recognize New York State recognizes the medical use of marijuana in medical marijuana registry programs outside of New York limited circumstances. Medical marijuana is not considered State. a drug under New York Education Law. Marijuana may be legally prescribed for severe and debilitating or life- VIOLATIONS OF THE SUBSTANCE ABUSE POLICY threatening conditions when accompanied by complicating The Rockefeller University will impose disciplinary conditions. These conditions are listed in Article 33, Title sanctions on students and employees (consistent with local, 5-A of the Public Health Law and are listed below. state, and federal law), up to and including expulsion or • Cancer termination of employment and referral for prosecution, for • AIDS or HIV positive violations of this Policy. • ALS (Amyotrophic lateral sclerosis) • Parkinson’s Disease • Multiple Sclerosis • Spinal Cord Injury with spasticity • Epilepsy • Inflammatory Bowel Disease (IBD) • Neuropathy • Huntington’s Disease • Post-Traumatic Stress Disorder • Chronic Pain • As an alternative to Opioid Use • Substance Use Disorder When such conditions are accompanied by one or more the following associated or complicating conditions: • Cachexia or wasting syndrome • Severe or chronic pain • Severe nausea • Seizures • Severe or persistent muscle spasms • Post-Traumatic Stress Disorder • Opioid Use Disorder. New York Law requires individuals who lawfully use or possess medical marijuana products to register with the New York State Medical Marijuana Program (“NYSMMP”). New York State does not accept certification or registry identification cards from other states. Only New York State residents are eligible to register with NYSMMP and must be certified by an NYSMMP registered practitioner. Once certified, patients may designate up to two registered caregivers who must also register with the NYSMMP. Certified patients and their designated caregivers may possess up to a 30- day supply of medical marijuana in the form prescribed by practitioner per the New York State Prescription Monitoring Program. Certified patients and designated caregivers must carry a New York State Medical Marijuana ID card whenever they possess approved medical marijuana products. Medical marijuana may not be transported outside of state lines. In addition, marijuana used for medical purposes under the laws of other states may not be transported to New York State.

| 65 CHART A CCHARTHART A A CONTROLLECONTROLLEDD SUCBOSNTT ASUBSTANCESRNOCLLEESD - S U- UUSESSBES ANDT AANN EFFECTSDC EESF F -E UCSTESS AND EFFECTS

DRUGS DEPENDENCE Duration Usual Possible Effects of Withdrawal DRUGS DRUGS MOTHEREDI CNAMEAL MEDICALDEPEN USESMDEE NDCICEA L DEPENDENCToleranceE Duration UsuaDl uration PossiblUe sual Effects Pofo ssibWleit hdraEwffaelc ts of Withdrawal OTHER NACSAME OTHER NAME Physical Psychol.T olerance (Hours)T oleraMethodsnce Effects Overdose Syndrome CSA CSA USES PhysicalU SESP sycholP. hysical Psycho(lH. ours) Method(sH ours) EffecMtse thodOs verdoseE ffectSsy ndroOmvee rdose Syndrome NARCOTICS NARCOTICS NARCOTICS Opium Dover’s Powder, Analgesic, High High Yes 3-6 Oral, smoked II III V Paregonic Antidiarrheal Opium Dover’s Powder,Opium Analgesic,Dover’s Powder, Analgesic, High High High Yes High 3-6 YesOral,Oral, smoked, smoked 3-6 Oral, smoked II III V Paregonic IIMorphine III V AntidiarrhealMSParegonic-Contin, Analgesic,Antidiarrheal High High Yes 3-6 II III Roxanol Antitussive injected Oral, smoked, Oral, smoked, Morphine MS-Contin,MorphineOxycodone Analgesic,Percocet,MS-Contin, HighAnalgesic, HighHigh HighHigh Yes Yes High 33--612 YesOral, injected 3-6 Watery eyes, II III Roxanol II IIIII AntitussiveOxyContinRoxanol AnalgesicAntitussive injected injectedSlow and runny nose, Euphoria, shallow yawning, loss Injected, Heroin DiacelyImorphine High High Yes 3-6 drowsiness, breathing, of appetite, None sniffed, smoked Oxycodone Percocet,Oxycodone I Horse,Percocet, Smack High High High Yes High 3-12 YesOral, injected respiratory3-12 Oral,clammy injected skin, irritability, Watery eyes, Watery eyes, II OxyContin II AnalgesiOxyContinc Analgesic depression, convulsions, Slowtremors, and runny nose,Slow and runny nose, Hydromorphone Dilaudid Analgesic High High Yes 3-6 Oral, injected constrictedEuphoria, coma, shallowpanic, Euphoria,yawning, lossshallow yawning, loss Heroin DiacelyImorphineHeroinII DiacelyImorphine Injected, pupils, nausea Injected,possible cramps, nausea, None HighNone High High Yes High 3-6 Yes 3-6 drowsiness,death breathing,chills anddrowsiness, of appetite, breathing, of appetite, I Horse, SmackMeperidine I Demoral,Horse, Smack sniffed, smoked sniffed, smoked Analgesic High High Yes 3-6 Oral, injected respiratory clammysweating skin,respiratory irritability, clammy skin, irritability, II Mepergan depression, convulsions,depression, tremors, convulsions, tremors, Hydromorphone Hydromorphone Methadone Dolophine, High High High Yes High 3-6 YesOral, injected 3-6 constrictedOral, injectedcoma, constrictedpanic, coma, panic, Dilaudid AnalgesicDilaudid AnalgesicAnalgesic High High-Low Yes 12-24 Oral, injected II II II Methadose pupils, nausea possible pupils, nauseacramps, nausea,possible cramps, nausea, death chills and death chills and Meperidine Demoral,Meperidine Others Demoral, Analgesic, High-Low High-Low Yes Variable Oral, injected I II III IV V AnalgesiPercodanc, Lomotil antidiarrhealHighAnalgesi c High High Yes High 3-6 YesOral, injected 3-6 Oral, injected sweating sweating II Mepergan II Mepergan

Methadone Dolophine,MethadoneDEPRESSANTS Dolophine, Analgesic HighAnalgesic High-Low High Yes High-Low 12-24 YesOral, injected 12-24 Oral, injected II Methadose II Methadose Chloral Noctee Hypnotic Moderate Moderate Yes 5-8 Oral Hydrate IV Others Others Analgesic, HighAnalgesic-Low , High-LowHigh -Low Yes High-LowVariable YesOral, injectedVariable Oral, injected I II III IV V PercodanI, IILomotilBarbiturates III IV V antidiarrhealSeconal,Percodan Tuinal, Lomotil Anesthetic antidiarrheal II III IV Phenobarbital sedative, High-Mod. High-Mod. Yes 1-16 Oral hypnotic Shallow Anxiety, Slurred respiration, insomnia, DEPRESSANTS DEBenzodiazepinesPRESSA NValium,TS Xanax, Antianxiety, speech, Low Low Yes 4-8 Oral clammy skin, tremors, IV Atvian, Dalmane sedative, disorientation dilated pupils, delirium, hypnotic drunken Chloral Noctee Chloral HypnoticNoctee Hypnotic weak and rapid convulsions, Moderate Moderate Moderate Yes Moderate 5-8 YesOral behavior5-8 Oral Hydrate IV HydrateMethaqualone IV Sedative, pulse, coma, possible Quaalude High High Yes 4-8 Oral without odor I hypnotic possible death death Barbiturates Seconal,Barbiturates Tuinal AnestheticSeconal, Tuinal Anesthetic Glutethimide Sedative,High -Mod. High-Mod.High -Mod. Yes High-Mod. 1-16 YesOral 1-16 Oral II III IV PhenobarbitalII III IV sedative,DoridenPhenobarbital hypnotic sedative, hypnoticHigh Moderate Yes 4-8 Oral III hypnotic Shallow Shallow Slurred Slurred Anxiety, Anxiety, respiration, respiration, Benzodiazepines Valium,Benzodiazepines Xanax,Others Antianxiety,Valmid,Valium, Noludar, Xanax, Varies LowAntianxiety, Moderate Low ModerateLow Yes Yes Low 44-8-8 YesOralOral 4-8 speech,Oral speech, insomnia, insomnia, III IV Placidyl GHB clammy skin, clammy skin, IV Atvian, DalmaneIV sedative,Atvian, hypnotic Dalmane sedative, hypnotic disorientation disorientationtremors, tremors, dilated pupils, dilated pupils, drunken drunken delirium, delirium, Methaqualone Methaqualone Sedative, Sedative, weak and rapid weak and rapid QuaaludeSTIMULANTS Quaalude High High High Yes High 4-8 YesOral 4-8 behaviorOral behavior convulsions, convulsions, I I hypnotic hypnotic pulse, coma, pulse, coma, Sniffed, smoked without odor without odorpossible death possible death Cocaine Coke, Crack, Local anesthetic Possible High Yes 1-2 possible death possible death injected Glutethimide GlutethimideII Sedative,Flake, Snow Sedative, Doriden Doriden High Moderate High Yes Moderate 4-8 YesOral Increased4-8 Oral III AmphetaminesIII hypnoticDelcobese, Weight control,hypnotic Possible High Yes 2-4 Oral, injected alertness, Agitation, II Biphetamine narcolepsy excitation, Apathy, long increase in euphoria, periods of Others Valmid, Noludar,Others VariesValmid, Noludar, ModerateVaries Moderate Moderate Yes Moderate 4-8 YesOral 4-8 Oralbody Phenmetrazine Preludin Weight control Possible High Yes 2-4 Oral, injected increased sleep, III IV Placidyl GHBIII IV Placidyl GHB temperature, II pulse rate & irritability, hallucinations, blood depression, convulsions, Methylphienidate Ritalin Attention deficit, Possible Moderate Yes 2-4 Oral, injected pressure, disorientation possible death II narcolepsy insomnia, loss of appetite Others Adipex, Cylert, Weight control III IV Didrex, Ionamin Possible High Yes 2-4 Oral, injected Khat

HALLUCINOGENS

LSD Acid, Microdot None None Unknown Yes 8-12 Oral I

Mescaline Peyote, Cactus, None None Unknown Yes 8-12 Oral I Buttons Illusions and Longer, more Amphetamine 2.5-DMA PMA None Unknown Unknown Yes Variable Oral, injected hallucinations, intense “trip” Withdrawal Variants I STP MDA DOM poor episodes, syndrome not perception of Smoked, oral, psychosis, reported Phencyclidine PCP, Angel None Unknown High Yes Days time and injected possible death II Dust, Hog distance Smoked, oral, Phencyclidine PCE, PcPy, None Unknown High Yes Days Analogues I TCP injected Smoked, sniffed Others Psilocyn, DMT, None None Unknown Possible Variable I Bufotenine, DET injected, oral

CANNABIS

Marijuana Grass, Reefer, Unknown Moderate Yes 2-4 Smoked, oral I Pot, Thai Sticks Euphoria, Insomnia, relaxed Chemotherapy Fatigue, hyperactivity, Tetrahydro- THC, Marinol Unknown Moderate Yes 2-4 Smoked, oral inhibitions, cannabinol I II antinauseant paranoia, and decreased increased possible appetite, appetite, Hashish Hash None Unknown Moderate Yes 2-4 Smoked, oral psychosis occasionally disoriented I reported behavior Hashish Oil Hash Oil None Unknown Moderate Yes 2-4 Smoked, oral I

66 | CCHARTHART BB

FEDERAL TRFEDERALAFFICK TRAFFICKINGING PENA LPENALTIESTIES FO RFOR SC SCHEDULESHEDULES I, III,, IIII,I, IV,III ,AND IV, VA (EXCEPTND V ( EMARIJUANA)XCEPT MA RIJUANA)

SCHESCHEDULEDULE SU BSUBSTANCE/STANCE/ PEPENALTYNALTY SUBSTANCE/SUBSTAN CE/ PENALTYPENA LTY QUAQUANTITYNTITY QUANTITYQUANTIT Y II Cocaine First Offense: Not Cocaine First Offense: Not less II Cocaine500- 4999 grams Firstless Offense:than 5 yrs. andNot not 5Cocaine kilograms or more thanFirst 10 yrs. Offense: and not Not less 500-mixture4999 grams lessmore than than 5 yrs.40 yrs. and If not mixture5 kilograms or more morethan than 10 life. yrs. If and death not mixture more than 40 yrs. If mixture more than life. If death II Cocaine Base death or serious bodily Cocaine Base or serious bodily injury, II Cocaine28-279 Base grams deathinjury, or notserious less thanbodily 20 280Cocaine grams Base or more not orless serious than 20 bodily yrs. or injury, 28-279mixture grams injury,yrs. or not more less than than life. 20 mixture280 grams or more morenot than less life. than Fine 20 ofyrs . or yrs.Fine or ofmore not morethan thanlife. not moremore than $10life. Fine of IV mixtureFentanyl Fentanylmixture Fine$5 millionof not moreif an than millionnot moreif an individual, than $10 IV Fentanyl40-399 grams individual, $25 million 400Fentanyl grams or more $50 million if not an mixture $5 million if an mixture million if an individual, 40-399 grams individual,if not an individual. $25 million 400 grams or more individual.$50 million if not an I mixtureFentanyl Analogue Fentanylmixture Analogue 10-99 grams mixtureif Secondnot an individual.Offense: Not 100 grams or more Secondindividual. Offense: Not I Fentanyl Analogue less than 10 yrs. and mixtureFentanyl Analogue less than 20 yrs, and not 10-99 grams mixture Secondnot more Offense: than life. Not If 100 grams or more moreSecond than life. Offense: If death Not I Heroin Heroin lessdeath than or 10serious yrs. andbodily mixture or seriousless than bodily 20 yrs,injury, and not 100-999 grams 1 kilogram or more notinjury, more l ifethan life. If lifemore imprisonment. than life. Fine If death I Heroinmixture mixtureHeroin deathimprisonment. or serious Finebodily of of notor seriousmore than bodily $20 injury, 100-999 grams 1 kilogram or more I LSD injury,not more life than $8 LSD millionlife imprisonment.if an individual, Fine mixture 10mixture grams or more 1-9 grams mixture imprisonment.million if an individual, Fine of $75of million not more if not than an $20 mixture I LSD not$50 more million than if $8not an LSD individual.million if an individual, II 1-9 gramsMethamphetamine mixture individual. Methamphetamine10 grams or more million if an individual, 2 or$75 More million Prior if not an 5-49 grams pure or $50 million if not an 50mixture grams or more pure individual. 50-499 grams or 500 grams or more Offenses: Life II Methamphetaminemixture individual. mixtureMethamphetamine imprisonment. Fine of 5-49 grams pure or 50 grams or more pure not 2more or More than $20 Prior PCP PCP II millionOffenses: if an individual, Life 50-49910- 99grams grams pure or 100or 500 grams grams or more or more pure $75imprisonment. million if not an Fine of mixture100- 999 grams ormixture 1 kilogram or more individual.not more than $20 II PCPmixture mixturePCP million if an individual, 10-99 grams pure or 100 grams or more pure $75 million if not an 100-999 grams or 1 kilogram or more SUBSTANCE/QUANTITY PENALTY individual. mixture mixture Any Amount Of Other Schedule I First Offense: Not more that 20 yrs. If death or serious bodily injury, not & II Substances less than 20 yrs. or more than Life. Fine $1 million if an individual, $5 SUBSAnyTA NDrugCE /ProductQUAN ContainingTITY PEmiNllionALT ifY not an individual. Gamma Hydroxybutyric Acid Any Amount Of Other Schedule I FirstSecond Offense: Offense: Not Not more more that than 20 30 yrs. yrs. If If death death oror serious bodily bodily injury, injury, not & II SubstancesFlunitrazepam (Schedule IV) 1 lesslife than imprisonment. 20 yrs. or moreFine $2 than million Life. if Finean individual, $1 million $10 if million an individual, if not an $5 Gram CHART B Any Drug Product Containing millindividual.ion if not an individual. Gamma Hydroxybutyric Acid Any Amount Of Other Schedule IIISecond First Offense: Offense: Not Not more more than than 10 yrs. 30 yrs. If death If death or serious or serious bodily bodilyinjury, notinjury, FlunitrazeDrugspam (Schedule IV) 1 lifemore imprisonment. that 15 yrs. Fine Fine not $2 more million than if$500,000 an individual, if an individual, $10 million $2.5 ifmillion not an Gram individual.if not an individual. Second Offense: Not more than 20 yrs. If death or serious injury, not more than 30 yrs. Fine not more than $1 million if an individual, $5 million if not an individual. Any Amount Of All Other First Offense: Not more than 5 yrs. Fine not more than $250,000 if an Schedule IV Drugs (other than one individual, $1 million if not an individual. gram or more of Flunitrazepam) Second Offense: Not more than 10 yrs. Fine not more than $500,000 if an individual, $2 million if other than an individual. Any Amount Of All Schedule V First Offense: Not more than 1 yr. Fine not more than $100,000 if an Drugs individual, $250,000 if not an individual. Second Offense: Not more than 4 yrs. Fine not more than $200,000 if an individual, $500,000 if not an individual.

| 67 CHART C

FEDERAL TRAFFICKING PENALTIES FOR MARIJUANA, HASHISH AND HASHISH OIL

SCHEDULE I SUBSTANCES

Marijuana First Offense: Not less than 10 yrs. or more than life. If death or serious bodily 1,000 kilograms or more marijuana injury, not less than 20 yrs., or more than life. Fine not more than $10 million if an mixture or 1,000 or more marijuana individual, $50 million if other than an individual. plants Second Offense: Not less than 20 yrs. or more than life. If death or serious bodily injury, life imprisonment. Fine not more than $20 million if an individual, $75 million if other than an individual.

Marijuana First Offense: Not less than 5 yrs. or more than 40 yrs. If death or serious bodily 100 to 999 kilograms marijuana injury, not less than 20 yrs. or more than life. Fine not more than $5 million if an mixture or 100 to 999 marijuana individual, $25 million if other than an individual. plants Second Offense: Not less than 10 yrs. or more than life. If death or serious bodily injury, life imprisonment. Fine not more than $8 million if an individual, $50million if other than an individual.

Marijuana First Offense: Not more than 20 yrs. If death or serious bodily injury, not less 50 to 99 kilograms marijuana mixture, than 20 yrs. or more than life. Fine $1 million if an individual, $5 million if other 50 to 99 marijuana plants than an individual. Hashish More than 10 kilograms Second Offense: Not more than 30 yrs. If death or serious bodily injury, life imprisonment. Fine $2 million if an individual, $10 million if other than an Hashish Oil individual. More than 1 kilogram Marijuana First Offense: Not more than 5 yrs. Fine not more than $250,000, $1 million if less than 50 kilograms marijuana (but other than an individual. does not include 50 or more marijuana plants regardless of weight) Second Offense: Not more than 10 yrs. Fine $500,000 if an individual, $2 million if other than individual. 1 to 49 marijuana plants Hashish 10 kilograms or less Hashish Oil 1 kilogram or less

1654/61777-001 current/41047728v1

68 |

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It is the policy of The Rockefeller University to support equality of educational and employment opportunity. No individual shall be discriminated against with respect to admission, access, or employment in or to any University program or activity on the basis of race, color, national origin, religion, sex (including gender, gender identity, gender expression, pregnancy, and sexual harassment), disability, age, citizenship status, military status, marital or partnership status, sexual orientation, genetic information, or any other characteristic protected by law. The Rockefeller University is committed to the maintenance of affirmative action programs that will assure the continuation of such equality of opportunity.

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Virginia Huffman Vice President, Human Resources and Title IX Coordinator Founder’s Hall, Room 103 New York, New York 10064 (212) 427-7261 [email protected]

Inquiries also may be directed to the U.S. Department of Health and Human Services, Office for Civil Rights at: https://www.hhs.gov/ocr/ or by telephone at: 1-800-868-1019, or 1-800-537-7697 (TDD).

Revised: December 4, 2020