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 technical revisions to the UCR Consensual Intimate (Sexual or Romantic) Relationships in the Workplace policy:
Consensual Intimate (Sexual or Romantic) Relationships in the Workplace (650-74)
The UCR Consensual Intimate (Sexual or Romantic) Relationships in the Workplace policy (650-74) originated in October 2017 for the purpose of preventing real or apparent conflicts of interest and other problems associated with consensual relationships in the workplace. In coordination with UCR’s central Human Resources, the policy underwent technical revisions in September 2021 to transfer Responsible Offices from Human Resources to the Office of Title IX, Equal Opportunity & Affirmative Action (Title IX/EOAA) and simplify the consultation process between Human Resources and Title IX/EOAA. Under the new Responsible Office, the policy is also undergoing a substantive review. The substantive review may consider:
- Whether/how the policy addresses previous intimate relationships
- Whether the covered situations are clearly communicated
- Who has standing to report concerns
- The process for assessing appropriate steps for disclosed relationships.
If substantive revisions are proposed following the review, these revisions will be developed in consultation with stakeholders and shared with the broader UCR community for notice and comment. If you have questions regarding this policy, please contact the Chief Compliance Office at firstname.lastname@example.org or 2-8246.
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 is currently the following newly proposed UCR policy posted here for 30-day notice and comment period:
The UCR Policy Office invites comments on a newly-developed campus Anti-Bullying Policy. To aid in the review, this posting provides background and context on the purpose of the proposed policy and summarizes the policy development process.
Background; Policy Goals. In 2016, President Napolitano released guidance to the UC system on Abusive Conduct and Bullying in the Workplace. At UCR, this was supplemented and promoted through Guidance from the UCR Provost. But neither document created a new prohibition on bullying or abusive conduct—these documents instead communicated the UC’s views regarding such conduct and explained how such conduct could, in some circumstances, be addressed under existing policies.
The 2019 Campus Culture Task Force Report recognized the need to strengthen the commitment to addressing and eliminating bullying and abusive conduct. In 2020, the Communications and Policy Coordination Group (CPCG), which comprises the Vice Chancellor and Chief Diversity Officer, the Vice Provost for Academic Personnel, the Ombuds, the Chief Compliance Officer, and representatives of the Academic Personnel Office, the Academic Senate, Student Affairs, Human Resources, and other campus divisions, began the policy development process for a new Anti-Bullying Policy.
Policy Development Process; Academic Senate Review. The draft policy was initially modeled on policies and guidelines from other UC campuses, including Berkeley and Merced. The draft policy was provided to the UCR Academic Senate for review, which prompted a number of comments and questions from Senate committees in August 2020. This important feedback was carefully considered as CPCG worked to further refine the draft. CPCG also collected feedback from other stakeholders. The updated draft policy was then sent for a second review to the Academic Senate and additional feedback was received in June 2021, which was incorporated into the draft.
Key Elements of Policy. The proposed policy:
- Applies to all UCR employees, including faculty and staff. It also applies to certain non-affiliates (as described in the policy). It does not apply to students; student conduct is regulated under the Policies Applying to Campus Activities, Organizations and Students (PACAOS).
- Prohibits and defines Bullying or Abusive Conduct (as defined in the policy).
- Communicates the obligations of management to maintain a culture in which Bullying or Abusive Conduct are contrary to its norms and not condoned or tolerated.
- Includes provisions about reporting options and obligations. UCR employees or students who experience or witness Bullying or Abusive Conduct are encouraged to report this conduct, and the policy has information about (existing) ways to report or file a complaint. Supervisors, managers, and administrators who receive a report or witness prohibited conduct shall consult with ELR, APO, or the VPAR when responding to a report.
- Has information about campus resources.
- Includes FAQs.
Campuswide Review. Campuswide review is a public notice and comment period to inform the UCR community, especially affected employees and students, about policy proposals. Feedback and input are encouraged and will be carefully considered.
You can find the proposed policy on the Chief Compliance Office site. We would appreciate receiving your comments no later than October 20, 2021. Please submit your comments via the Policy Comment Form or to email@example.com.
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:
Establishing and Maintaining Presidential Policies ("Policy on Policies")
The Presidential Policy on Establishing and Maintaining Presidential Policies ("Policy on Policies") went through technical revisions in order for Section II, Definitions, and Section V, Procedures, to read more clearly. These technical revisions include updating embedded links; re-locating policy text for readability and clarity; and using defined terms consistently.
Establishing and Maintaining Presidential Policies ("Policy on Policies") - (Effective Date: 8/1/2021)
SARS-CoV-2 (COVID-19) Vaccination Program
The policy requires COVID-19 vaccination for all individuals learning, working and living at UC locations this fall, and participating in person in UC programs that may occur off-site (such as UC athletics programs or study abroad), with limited exceptions, accommodations, and deferrals. The issuance of the policy gives students, faculty, academic appointees, and staff who are returning in the fall ample time to arrange to be fully vaccinated if they have not done so already.
The final policy is the product of consultation with UC infectious disease experts and ongoing review of evidence from medical studies concerning the dangerousness of COVID-19 and emerging variants of concern, as well as the safety and effectiveness of the vaccines for preventing infection, hospitalizations, and deaths from COVID-19, and for reducing the spread of this deadly disease. Vaccination is by far the most effective way to prevent severe disease and death after exposure to the virus and to reduce spread of the disease to those who are not able, or not yet eligible, to receive the vaccine. The final policy is also the product of consultation with the UC community, including faculty and student health physician directors that began in April, and revealed strong support for moving forward with a vaccination requirement now.
To maintain the health and well-being of the campus community and that of the general public, the COVID-19 vaccination requirement applies to students and employees alike, including faculty, academic appointees, staff, postdoctoral researchers, and trainees, as a condition of their physical access to UC facilities, as well as in-person participation in UC programs that may occur off-site (such as UC athletics programs or study abroad). This policy was arrived at after reviewing the safety and efficacy of the three vaccines approved by the Food and Drug Administration (FDA) for emergency use, and considering the severe risks presented by a virus that has killed more than 600,000 people in the United States alone, as well as the rise of more transmissible and more virulent variants.
SARS-CoV-2 (COVID-19) Vaccination Program - (Effective Date: 7/15/2021)
BFB-IS-12: IT Recovery
IS-12 was revised and completely re-written to comply with academic research and grant requirements, conform to cyber insurance underwriting and to the Office of Civil Rights guidance on HIPAA compliance, adapt to changes in security landscape (ransomware and wipers), and adopt a standards-based approach to IT Recovery. The policy was updated to align with UC’s overall business continuity and disaster preparedness planning. The policy name was also changed from “Continuity Planning and Disaster Recovery” to “IT Recovery.” Additional features were added to support Location governance, budgeting, and risk management.
IS-12: IT Recovery - (Effective Date: 7/1/2021)
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. On June 11, 2021, the President revised versions of two policies, the Sexual Violence and Sexual Harassment Investigation and Adjudication Framework for Senate and Non-Senate Faculty (“Faculty Framework”) and Sexual Violence and Sexual Harassment Investigation and Adjudication Framework for Staff and Non-Faculty Academic Personnel (“Staff Framework”). The revised frameworks implements a provision in the regulations that allows the UC to carve the live hearing requirement out of the Title IX process when allegations arise from programs that are not “postsecondary educational institutions,” as defined in the regulations, even if they are part of the University.
- 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 (Revised: June 11, 2021)
- SVSH Investigation and Adjudication Framework for Staff and Non-Faculty Academic Personnel (Revised: June 11, 2021)
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)
BFB-BUS-43 Purchases of Goods and Services; Supply Chain Management
The Presidential Policy on Purchases of Goods and Services; Supply Chain Management (BUS-43) is the principal policy governing procurement and supply chain management. This policy has been updated to include the Small Business First (SBF) policy. SBF is designed to address the following:
- Support existing policy for awarding 25 percent Economically and Socially Responsible (EaSR) spend annually to small and diverse owned businesses (see UC Sustainable Practices Policy)
- Take advantage of California Public Contract Code Section 10508.5 that 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 percent of California’s businesses are small and employ 48.8 percent 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 percent compared to January, 2020. As the third largest employer in the State, UC supports 1 in 46 of all California jobs and contributes $32.8 billion annually to gross state product. Additional spend from UC could be the lifeline small businesses need to survive and thrive.
SBF also includes exclusions for UC Health an Design& Construction as well as exemptions for federally funded purchases.
Additional resources for SBF are available on the Procurement Services website.
BFB-BUS-43 Purchases of Goods and Services; Supply Chain Management - (Effective Date: 3/1/2021)
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)
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:
Sexual Violence and Sexual Harassment (SVSH) Policy
The University of California Office of the President invites comments on proposed revisions to the Presidential Policy of Sexual Violence and Sexual Harassment. The proposed revisions are to: (i) comply with a new state law, Senate Bill (SB) 493, and (ii) better account for Prohibited Conduct in the clinical setting.
Senate Bill 493. UC must comply with SB 493 by January 1, 2022. The law was motivated largely by concerns, which UC shares, about potential adverse effects of the U.S. Department of Education's 2020 amendments to the federal Title IX regulations. UC policies and implementing frameworks already codify most of SB 493's requirements. Some other requirements are met in practice but not currently written in policy. Implementing revisions to the SVSH Policy are therefore limited, and include:
- the addition of "sexual exploitation" as a form of Prohibited Conduct;
- limitations on UC's use of no-contact orders that restrict a Complainant's contacts with a Respondent;
- a requirement that Confidential Resources inform a person who discloses Prohibited Conduct of their right to report to Title IX, and hot to do so;
- the addition of clergy members and employees who report to CARE leadership to enumerated Confidential Resources;
- a statement that resolution processes under SVSH policy are not adversarial;
- a statement that the Title IX Officer will update parties periodically on the status of investigations;
- the addition of certain notice requirements when the Title IX Officer opens an investigation despite the complainant's wishes;
- a statement that the Title IX Officer will consider whether systemic remedies are appropriate at the end of an investigation; and
- a requirement that locations notify volunteers and contractors who regularly interact with students of the SVSH Policy.
Clinical Setting-Related Changes. The University has dedicated significant effort and resources to the critical work of preventing, detecting and responding to Prohibited Conduct arising from the context of patient care. To further that work, certain proposed policy revisions are to better account for the clinical context. These revisions were reviewed last year by the President's Working Group on SVSH in the Clinical Setting. The primarily include:
- a requirement that all Responsible Employees report possible Prohibited Conduct that occurs in the context of patient care. Employees with heightened reporting obligations under the current SVSH Policy--faculty, Human Resources and Academic Personnel administrators, policy, managers and supervisors, and Title IX personnel--already have this obligation;
- modified definitions of Prohibited Conduct that apply when allegations arise in the context of patient care. These definitions are already in use via guidance the Systemwide Title IX Office issued in December 2019, and will now be in an appendix to the SVSH Policy;
- a provision that sexual assault during a clinical encounter is considered "aggravated," along with the use of force, violence or menace, deliberately causing or taking advantage of incapacitations, and misuse of complainant's image. A determination that conduct is aggravated may affect the corrective actions; and
- the addition of examples and of references to University policies and officials, regulations, and regulatory agencies relevant to the clinical setting.
For details and specifics about policy revision, please review the Systemwide Cover Letter for the revised SVSH Policy, the proposed revision to the SVSH Policy (Clean), and the proposed revision to the SVSH Policy (Redline).
If you have any questions, please contact the UCR Policy Office at email@example.com. Please submit your comments to Suzanne Taylor, Systemwide Title IX Director at firstname.lastname@example.org no later than November 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