Policies and procedures are foundational at UCR. Policies show us what type of place UCR is–how we are to treat one another, and how we can expect to be treated. Policies and procedures show us how we are expected to do certain aspects of our jobs, and how we conduct ourselves when representing the university.
The Chief Compliance Office supports the system ethics and compliance program by helping the administration create and maintain policies and procedures.
Policy Spotlight Series
Each month the Chief Compliance Office will highlight a policy for its Policy Spotlight Series. This month focuses on the recently revised UC policy on Protection of Human Subjects in Research:
Protection of Human Subjects in Research
The recently revised presidential policy describes the responsibilities in protecting the rights and welfare of Human Subjects who participate in Research in which the University is engaged. In order to safeguard the rights and welfare of Human Subjects in Research, the UC follows the ethical principles of the Belmont Report, which includes respect for persons, beneficence, and justice.
The UC also adheres to all applicable federal laws and regulations (i.e. the Common Rule for Research that is funded or supported by multiple federal agencies), state laws and regulations, and University policies and guidelines. When engaged in Research that is not subject to the Common Rule, the campus may replace specific Common Rule requirements with commensurate protections for Human Subjects so long as the University follows the ethical principles referenced in the Belmont Report and that those commensurate protections are consistent with other applicable federal or state laws.
UC Riverside maintains Institutional Review Boards (IRBs) that are charged with review and oversight of Research involving Human Subjects, in accordance with University policies and federal regulations. As a reminder, all faculty, staff and students who are conducting Research involving Human Subjects within the course and scope of their University duties must submit an IRB application to the IRB for approval or exempt determination.
For more information and resources regarding Human Subjects Research at UCR, please visit the Office of Research Integrity page, which includes information from the two Institutional Review Boards that review all Human Subjects Research at UCR—Socio-Behavioral (IRB-SB) and Clinical-Biomedical (IRB-Clin).
As an example of the difference between these two boards—if the research is asking participants if they feel stressed given the current COVID-19 pandemic, then this would be reviewed by the IRB-SB; but if the research will assess a participant’s stress levels through physiological measures (e.g., monitoring their heart rate or conducting a blood draw to test cortisol levels), then this would be reviewed by the IRB-Clin.
New, Updated, and Proposed Policies and Procedures
New and Recently Updated UCR Policies
This is a selected list of UCR policies and procedures that have recently been updated (newly issued or revised), beginning with the most recent effective policy:
Integrity in Admissions (500-50)
This is a new UCR policy initially approved on April 16, 2021 that ensures financial considerations are not factors in admissions decisions. The policy restricts communications regarding applicants between Development Personnel and Undergraduate Admissions, Graduate Admissions and Medical School Admissions. In addition, the policy states that all staff who are involved in informing or recommending admissions decisions are to report any attempts to inappropriately influence admissions decisions to their supervisors or applicable admissions office.
The policy was revised in May 2021 to further clarify a complete prohibition on communication between Development Personnel and admissions offices about applicants and prospective applicants.
Integrity in Admissions - (Effective Date: 05/19/2021)
Recruited Student-Athletes Admissions Review (650-62)
This is a new UCR policy effective April 19, 2021 that ensures financial contributions are not factors in admissions decisions for Recruited Student-Athletes. The policy requires UCR to follow procedures designed to identify anyone that the athletic department knows is acting on behalf of the family of all Recruited Student-Athletes being considered for admission, and ensure that any donation by an identified individual does not influence the admission decision.
Recruited Student-Athletes Admissions Review - (Effective Date: 04/19/2021)
Environmental Health & Safety (425-24)
The Environmental Health & Safety (EH&S) policy originated in 1994. The policy has not received a substantive revision since that time. Overall, the policy outlines the responsibilities of campus officials related to EH&S and summarizes the UCR EH&S programs and their overall role and enforcement authority as it pertains to the health and safety of the UCR campus. The revisions to the policy include updates to the format, layout, and program highlights. In addition, references have been updated with active links included.
Environmental Health & Safety - (Effective Date: 02/04/2021)
Travel Risk Reduction (Interim) (900-25)
The interim policy on Travel Risk Reduction (900-25) was most recently revised in December 2020. The interim policy was first initiated on March 6, 2020 and was updated to align with recommendations and guidance from the CDC, UCOP, and local health officials. The updated policy includes a number of key changes:
• All University-Related Travel has been suspended, except for Essential Travel (Note: The definition of University-Related Travel exempts UCR-owned or controlled properties)
• Essential Travel is defined as travel that is deemed necessary for university business and has received written approval from the necessary individuals
• Approval for travel must receive advanced approval from the traveler’s immediate supervisor, cognizant Vice Chancellor or Dean, and the Provost
• A University-Related Travel Pre-Approval Form has been created in order to ensure all necessary information is capture and to expedite the approval process
• All travelers, including those traveling for personal purposes, must follow the CDC’s guidance for After You Travel, which includes the requirement to quarantine for 14 days (if applicable) before returning to a UCR facility.
• The traveler is required to register all University-Related Travel either through booking through Connexxus or manually via UC Away and is strongly advised to register all personal travel
Travel Risk Reduction - (Effective Date: 12/18/2020)
Athletics/Admissions Conflict on Interest (650-60)
This is a new UCR policy effective September 14, 2020 that protects UCR's commitment to integrity and fairness by avoiding any bias in admissions of a prospective student-athlete. The policy indicates that the use of the student-athlete admissions process to secure a financial, political or similar benefit to the University and the use of the student-athlete admissions process to secure a personal benefit, or to benefit friends, family, or University personnel, rather than the University are prohibited. This policy requires disclosure of situations that may indicate bias or improper influence, and attestations by coaches and athletics staff that they are not aware of any attempt to improperly influence recruitment of a student.
Athletics/Admissions Conflict of Interest - (Effective Date: 09/14/2020)
Reckless Use of Wheeled Devises and Bicycles (850-11)
The Reckless Use of Wheeled Devices and Bicycles policy originated in 2012 and was then reviewed in 2017. The most recent revisions in May 2020 include reference to the UC Riverside Traffic, Parking, and Other Enforcement Codes (issued in October 2019), which allow the reckless use of wheeled devices (i.e. skateboard, in-line roller skates, motorized skateboard, electronically motorized board, scooter, and motorized scooter) and bicycles to be cited as infraction violations of the Code. The scope of the policy remains students, faculty, staff, and visitors of the campus. The proposed revision includes the new term "wheeled devices" and also updates other terminology as well as broken links.
Reckless Use of Wheeled Devices and Bicycles - (Effective Date: 05/21/2020)
For additional policies, visit the UCR Policies & Procedures website at: https://fboapps.ucr.edu/policies/
Newly Proposed or Proposed Revisions to UCR Policies
There are currently no newly proposed UCR policies or proposed revisions to UCR policies posted here for 30-day notice and comment period.
New and Recently Updated Presidential (UC) Policies
This is a selected list of UC Presidential Policies that have recently been updated (newly issued or revised), beginning with the most recent effective policy:
Smoke and Tobacco Free Environment
The Smoke and Tobacco Free Environment policy has undergone a technical review. The technical edits include revising the definition of "marijuana" to reflect the change put forth by the Agricultural Improvement Act of 2018 (commonly known as the 2018 Farm Bill) and the Drug Enforcement Administration's (DEA) subsequent implementation of the Act.
Smoke and Tobacco Free Environment - (Effective Date: 5/11/2021)
Seismic Safety Policy
This Presidential Policy is the result of efforts and discussions by the UC Seismic Advisory Board (SAB) in collaboration with UC campuses, the Office of the President, and the Office of General Counsel. The UC SAB is a council of structural and geotechnical engineers with seismic expertise appointed by the Office of the President to provide seismic advice to the University. The SAB has been working on revising UC’s Seismic Safety Policy to address issues related to analyzing and addressing seismic risk in UC buildings on a systemwide basis. As a result, an updated Seismic Safety Policy is being issued and it replaces the Seismic Safety Policy dated May 19, 2017.
Effective as of the date on the Policy, the requirements apply to buildings UC owns, leases, and acquires for UC’s purpose. It requires campuses to provide building data to the Office of the President for buildings subject to the Policy and references guidelines in the UC Facilities Manual for prioritization of seismic improvement of UC buildings.
Seismic Safety Policy - (Effective Date: 3/19/2021)
This Presidential Policy had not been updated since 1992; therefore, the University initiated a process to update the policy in April 2013 through the Standing Committee on Copyright Policy. The University completed a full systemwide review in December 2019. Key changes to the policy include expanding eligibility to own copyrights, expanding and clarifying the pool of works eligible for copyright ownership, creating a definition for "Significant University Resources" as a limitation on the University's ownership, clarifying copyright ownership for Graduate Students, and clarifying the application of this policy for Represented (Union) Employees. Under the revised policy, the University transfers copyrights it may own in Scholarly & Aesthetic Works created on or after the effective date of this policy to Academic Authors who prepared those works using Independent Academic Effort, subject to limitations set forth in the revised policy.
Copyright Ownership - (Effective Date: 2/1/2021)
G-28 Travel Regulations
The mileage reimbursement rate has been updated in accordance with IRS Notice 2021-02:
- 56 cents a mile is the reimbursement rate for the use of a private automobile for University business travel
- 16 cents a mile is the reimbursement rate for driving an automobile in connection with a move or relocation
G-28 Travel Regulations - (Effective Date: 1/31/2021)
Interim Policy: SARS-CoV-2 Vaccination Program
This is a new interim policy with the purpose of protecting the health and safety of the University community, including its patients and the faculty, staff, trainees, and others who work or train in any of the University’s locations. The policy requires all University of California personnel and certain trainees working or learning on-site to participate in education about the SARS-CoV-2 vaccines that will be available and either consent to administration of the vaccine or affirmatively opt out of SARS CoV-2 vaccination.
Interim Policy: SARS-CoV-2 Vaccination Program - (Effective Date: 1/15/2021 [Campus Locations])
CANRA: Reporting Child Abuse and Neglect
There were technical updates made to the policy per AB 1963:, which include a) expand the definition of Mandated Reporters to include certain human resources employees (including academic personnel staff or other such location employees who are charged with handling discrimination complaints as defined by CANRA), and adults who supervise minor employees; b) reformatted Appendix A to separate Mandated Reporter categories; c) technical update of Appendix B-2; and d) made updates for gender-neutral language.
UC CANRA: Reporting Child Abuse and Neglect Policy - (Effective Date: 1/1/2021)
Gender Recognition and Lived Name
This is a new Presidential Policy which ensures that all University-issued identification documents display personal identification information that recognizes individual's accurate gender identity and lived name. The policy stipulates that the University must provide the minimum three equally recognized gender options in university information systems -- woman, man, and nonbinary -- and an efficient process for current students, employees, and UC alumni and affiliates to retroactively amend their gender designation and lived names in information systems, on university-issued documents, including eligible academic documents. The policy is effective as of November 6, 2020 with full implementation of the policy and procedures to be completed no later than December 31, 2023. This policy has undergone the full systemwide review process.
Gender Recognition and Lived Name (Effective Date: 11/6/2020)
Protections of Human Subjects in Research
The policy has undergone a systemwide comprehensive review. Revisions to the policy include a new definition section for the policy; an explanation of the ethical principles that the University follows for Human Subjects Research; a statement that the University's commitment to Human Subjects applies to all Human Subjects Research in which the University is engaged, regardless of funding source or the institution that provided the IRB review; an explanation that campuses may replace the Common Rule requirements with commensurate protections for Human Subjects when the University is engaged in research that is not subject to the Common Rule; and a description of the responsibilities of the campuses, IRBs, other oversight offices and committees, and researchers for compliance with this policy.
Protections of Human Subjects in Research (Effective Date: 11/6/2020)
Self-Supporting Graduate Professional Degree Programs (SSGPDP) Policy
There were minor technical revisions made to the policy to include a more appropriate timeline for the submittal and review of proposed student charges. All of the updates or additions are intended to clarify the policy, enhance readability and do not change the substance or principles.
Self-Supporting Graduate Professional Degree Programs (SSGPDP) Policy (Effective Date: 9/30/2020)
Anatomical Donation Program and Anatomical Materials
The policy was reviewed and updated as a part of a routine 3-year cycle. Updates were made to pronouns, to titles and credentials and to the policy title; to clarify committee memberships (inclusion of UCR SOM member and delineation of SME’s); reference additional guidance (e.g. COVID-19); and replace the appendices with the most current versions of those documents. One clarifying statement was added to address the appropriateness of facilities where anatomical materials are used. All of the updates or additions are intended to clarify the policy and do not change the substance or principles.
Anatomical Donation Program and Anatomical Materials (Effective Date: 9/28/2020)
New Sexual Violence and Sexual Harassment Policy and Implementing Frameworks
On August 14, 2020, the University of California issued a revised Sexual Violence and Sexual Harassment ("SVSH") Policy and corresponding frameworks. The revision was required to comply with the Title IX regulations issued by the U.S. Department of Education (DOE), which became effective on the same date.
- Sexual Violence Sexual Harassment ("SVSH") Policy
- PACAOS-100: Student Conduct and Discipline
- PACAOS-Appendix E: Sexual Violence and Sexual Harassment Student Adjudication Framework
- PACAOS-Appendix F: Sexual Violence and Sexual Harassment Student Investigation and Adjudication Framework for DOE-Covered Conduct
- SVSH Investigation and Adjudication Framework for Senate and Non-Senate Faculty
- SVSH Investigation and Adjudication Framework for Staff and Non-Faculty Academic Personnel
The policy is annually reviewed by the systemwide Sustainability Steering Committee (SSC) for required updates and revisions. Current revisions include updating targets and additional requirements to Climate Protection, Zero Waste, UC Health, and Sustainable Food Services sections.
- Sustainable Practices (Effective Date: 7/24/2020)
For additional Presidential (UC) policy updates and revisions, visit the UCOP website at: https://policy.ucop.edu/policy-changes/index.html
Proposed Presidential (UC) Policies or Procedures or Proposed Revisions
This section includes Presidential Policies that have been added, updated, or revised and are posted to allow review of the changes:
Presidential Campus Safety Plan
For your review and comment is a draft Presidential Campus Safety Plan that lays a foundation for transforming UC’s culture, policies and practices to achieve a vision of safety in which all members of the community feel equally welcomed, respected and protected from harm. This draft plan was developed based on extensive input from diverse groups of University of California stakeholders, including Campus Safety Task Force members, participants in the campus safety symposia held earlier this spring, and numerous conversations with students, faculty, staff and administrators.
You are welcome to share feedback, questions or comments through the 30-day period from ending on June 30, 2021 by sending an email to firstname.lastname@example.org. Feedback will be considered in advance of President Drake issuing a UC-wide plan this summer.
Separately, the University of California has been engaged in a review of systemwide policing and administrative policies, sometimes referred to as the Gold Book. Comments were due no later May 31, 2021. The review was required by UC policy, previous task force recommendations and recent state legislative changes. It is important to note the review process does not preclude the University from making significant, long-term changes through the Presidential Campus Safety Plan.
Fee Policy for Graduate Student in Absentia Registration
The University of California Office of the President invites comments on a proposed Presidential Policy - Fee Policy for Graduate Student In Absentia Registration. The proposed revisions includes policy language would permit Deans to establish "a local campus region within which in absentia registration will not be considered" instead of limiting eligibility to students outside of California.
For details and specifics about policy revision, please review the Systemwide Cover Letter for Fee Policy for Graduate Student In Absentia Registration, the Fee Policy for Graduate Student In Absentia Registration (Clean), and the Fee Policy for Graduate Student In Absentia Registration (Redline).
If you have any questions, please contact Cain Diaz at Cain.Diaz@ucop.edu or the UCR campus policy contact at email@example.com. Please submit your comments to Cain.Diaz@ucop.edu no later than July 26, 2021.
UC Health Participation in Activities under the End of Life Option Act
The University of California Office of the President invites comments on a proposed Presidential Policy UC Health Participation in Activities under the End of Life Option Act. The policy is proposed to be revised and includes the following key issues:
- The issuance of the Interim Presidential Policy: UC Health Participation in Activities under the End of Life Option Act in 2016, coincided with the issuance of the End of Life Option Act (California Health and Safety Code §443, et seq., referred to in this policy as the “Option Act”) which allows terminally ill adult patients with the mental capacity to make medical decisions to request to be prescribed and self-administer an aid-in-dying drug to end their life if specific conditions are met.
- The Option Act establishes specific procedures and requirements to be followed by patients and health care providers who choose to assist them. It also provides that, upon proper notice, a health care provider may “opt out”.
- UC Health has chosen not to opt out but acknowledges the rights of individual employees to refrain from participating in activities authorized under the Option Act.
- It is the policy of the University of California to extend to its patients the choices made available through the Option Act and to comply with its terms. The University, however, neither requires nor encourages any individual provider to participate. Participation in activities authorized under the Act is strictly voluntary.
For details and specifics about policy revision, please review the Systemwide Cover Letter for UC Health Participation in End of Life Option Act, the UC Health Participation in End of Life Option Act Draft Policy (Clean), and the UC Health Participation in End of Life Option Act Draft Policy (Redline).
If you have any questions, please contact Cathryn Nation at firstname.lastname@example.org or (510) 987-9705 or the UCR campus policy contact at email@example.com. Please submit your comments to firstname.lastname@example.org no later than June 24, 2021.
The Office of the President posts additional Presidential policy updates or revisions for campus comment on the UCOP website at https://policy.ucop.edu/policy-changes/index.html