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. February focuses on the recently-revised interim Travel Risk Reduction policy:
Interim Policy Revision - Travel Risk Reduction (900-25)
The interim policy on Travel Risk Reduction (900-25), which was formerly called the International Travel Policy, was revised in December 2020. The interim policy was first initiated on March 6, 2020 and was recently 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
The interim policy will be reviewed and updated, as needed, on a periodic basis. To find out more information about current travel policies and procedures, please visit the EH&S site: https://ehs.ucr.edu/coronavirus/travel.
Proposed Policies and Procedures
New UCR Proposed Policies or Procedures
There are currently no new UCR policies or procedures posted here for 30-day notice and comment period.
Proposed Amendments or Revisions to UCR Policies or Procedures
The following policy has been revised and is currently posted here for 30-day notice and comment period:
Environmental Health & Safety (425-24)
The Environmental Health & Safety policy (currently known as "Environmental Health & Safety – Office Responsibilities and Services”) originated in 1994. The policy has not received a substantive revision since that time. The Executive Director of Environmental Health & Safety has revised the policy effective February 4, 2021. The revisions include updates to the format, layout, and program highlights. In addition, references have been updated with active links included.
If you are interested in commenting on this policy revision prior to approval, please do so by March 15, 2021 via the following Policy Comment Form.
If you have questions regarding this policy, please contact the Chief Compliance Office at firstname.lastname@example.org or 951-827-8246.
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:
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)
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: 1/22/2021)
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])
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
Native American Cultural Affiliation and Repatriation
The Policy describes the University’s principles and policies regarding the cultural affiliation, repatriation, and stewardship of Native American and Native Hawaiian human remains and cultural items currently held on UC campuses. The Policy was drafted in collaboration with the Cultural Affiliation and Repatriation Policy Advisory Workgroup, a Workgroup comprised of four UC Academic Senate members nominated by the Academic Senate and four tribal members nominated by the President's Native American Advisory Council.
- Native American Cultural Affiliation and Repatriation Policy - INTERIM Policy (Effective Date: 7/24/2020)
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)
Open Access for Theses and Dissertations
This new policy was developed in response to a March 2016 request from the Systemwide Library and Scholarly Information Advisory Committee (SLASIAC), which advises on academic copyright-related matters, systemwide library policies, and strategies to facilitate the transmissions of scholarly communications in a digital environment.
- Open Access for Theses and Dissertations (Effective Date: 3/25/2020)
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:
BFB-BUS-43 Purchase of Goods and Services; Supply Chain Management
The University of California Office of the President invites comments on a proposed revision to BFB-BUS-43 Purchases of Goods and Services; Supply Chain Management. The proposed revision is to include the Small Business First Program.
The Small Business (SB) First Program is designed to address the following:
- Support existing policy for awarding 25% Economically and Socially Responsible (EaSR) spend annually to small and diverse owned businesses (see UC Sustainable Practices Policy)
- Allows the University to award purchase agreements valued up to $250,000 to a certified small business without being competitively bid, so long as the UC obtains price quotations from two or more certified small businesses
- Bring procurement practices further in line with the University’s overall mission and values
- Strengthen the small business community, which is the engine of California’s economy, given that 99.8% of California’s businesses are small and employ 48.8% of California’s private workforce. For every $100 spent at a small business, approximately $68 stays in California
- Prepare UC to lead the way in California’s economic recovery from the COVID-19 pandemic and economic downturn. Statewide, as of November 25, 2020, the number of small businesses decreased by 30.7% compared to January. As the third largest employer in the State, UC supports 1 in 46 of all California jobs and contributes $32.8B annually to gross state product.
The SB First Program includes exclusions for UC Health as well as Design & Construction and exemption for federally funded purchases.
If you have any questions about this revision, please contact Stephanie Lopez at Stephanie.Lopez@ucop.edu or email@example.com. If you would like to provide feedback, please submit your comments via the BUS-43 Policy Review Form or to firstname.lastname@example.org by April 9, 2021.
Research Data and Tangible Research Materials
The University of California Office of the President invites comments on a proposed Presidential Policy - Research Data and Tangible Research Materials. The policy is a new policy that describes the responsibilities of the campus leadership and its researchers concerning the access to, and retention and maintenance of Research Data and Tangible Research Materials produced during the course of University research. The policy addresses the following key issues:
- The policy affirms that the Regents of the University of California owns all Research Data and Tangible Research Materials.
- Research Data and Tangible Research Materials must be retained as long as required by funders, publishers, campus policy, compliance or regulatory bodies, applicable law, relevant agreements, and in accordance with the standards of the Principal Investigators’ scholarly disciplines.
- When Principal Investigators leave the University, Research Data and Tangible Research Materials remain the property of the Regents of the University of California, however, Principal Investigators may generally take copies of Research Data generated under their research projects.
For more information about the policy revision, please review the UC Research Data and Tangible Research Materials policy, which includes the systemwide review cover letter, draft policy, policy points considered document, and policy FAQs.
If you have any questions about this revision, please contact Agnes Balla at email@example.com or firstname.lastname@example.org. If you would like to provide feedback, please submit your comments to RPAC@ucop.edu or email@example.com by March 31, 2021.
IS-12: IT Recovery
The University of California Office of the President invites comments on proposed Presidential Policy - Business and Finance Bulletin IS-12: IT Recovery. The policy was revised by a systemwide workgroup that consisted of 14 representatives from various functions across the system.
If you have any questions about this revision, please contact Robert Smith, UC Systemwide IT Policy Director, at firstname.lastname@example.org or email@example.com. If you would like to provide feedback, please submit your comments to Robert Smith or firstname.lastname@example.org by February 26, 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