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 newly issued systemwide policy--the UC Research Data Policy.
UC Research Data Policy
The University of California Office of the President has issued a new Presidential Policy--the UC Research Data Policy--effective as of July 15, 2022. Ownership of Research Data by the Regents of the University of California is a long-standing precept originally articulated in Section 020 of the Academic Personnel Manual (APM-020), or Regulation 4. Specifically, APM-020 Part II. Sec. 5 states that “Notebooks and other original records of the research are the property of the University.” The intent of the new UC Research Data Policy is to clarify the ownership of and responsibility for research data generated during the course of University research, encourage active data management and sharing practices, and provide guidance with respect to procedures when a University Researcher leaves the University.
The new Presidential Policy went through two systemwide reviews on December 17, 2021 for 90-day comment period and on February 15, 2022 for 60-day comment period, respectively. All the relevant and applicable feedback received from these systemwide reviews was incorporated into the new policy.
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:
Delegation of Authority to Act on Behalf of the Chancellor (150-15)
The policy was originally issued on August 1, 2011 to ensure there is a clear line of succession for delegation of the powers and duties of the Chancellor at times when the Chancellor is unavailable to handle such affairs. The policy underwent technical revisions that were reviewed and approved by the Chancellor and Provost with an effective date of June 30, 2022. The technical revisions include updates to align with current officer titles and positions, updates to hyperlinks in the policy, and updates to formatting.
Delegation of Authority to Act on Behalf of the Chancellor - (Effective: 06/30/2022)
Substance Abuse in the Workplace
The policy was originally issued in November 13, 2006. The policy underwent minor technical revisions that were reviewed by key stakeholders and has an effective date of June 27, 2022. The technical revisions include updating contact information and email addresses in Section V and updating and adding hyperlinks in Section VI.
Substance Abuse in the Workplace - (Effective: 06/27/2022)
Whistleblower and Whistleblower Protection - Local Procedures (650-90)
The Whistleblower and Whistleblower Protection - Local Procedure implement the UC Whistleblower Policy and UC Whistleblower Protection Policy on the UCR campus. In fact, many provisions of the local procedure are dictated by or echo provisions in the UC policies, and/or state law. Though, there are elements of the local procedure that are not dictated by systemwide policy or law and they include the following areas:
- Retaliation: The UC Whistleblower Policy does not define retaliation; however, the UCR local procedures provide a definition which is the same one used in civil rights contexts and the campus Anti-Bullying policy.
- Initial Assessment of Reports: The local procedures provide additional details about the initial process of receiving a report or complaint, including how certain types of reports are reviewed or referred and about steps for intake and interim measures.
- Investigation: The local procedures provide additional details related to investigations such as how the LDO charges and scopes an investigation, when and how parties are notified, how interviews and advisors are handled, procedures for evidence collection, and processes related to the investigation report and eventual closure.
- Frequently Asked Questions: The FAQs include questions and answers to Whistleblower complaints, such as actions that should be taken by a manager or supervisor if a complaint is received and general practices for particular type of reports. There is an FAQ section on Retaliation, which provides further guidance on what is retaliation, who is protected from it, how to prevent retaliation as a manager and supervisor, and some differences between retaliation in the local procedure and retaliation as defined in the WPP. There is also an FAQ section on Improper Government Activities (IGA), which explain what is an IGA, and examples of IGAs pulled from the California State Auditor.
Whistleblower and Whistleblower Protection-Local Procedures - (Effective Date: 06/14/2022)
This is a new policy effective December 1, 2021. The key elements of the policy are that it prohibits and defines Bullying or Abusive Conduct and 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. The 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). The policy also includes provisions about reporting options and obligations, namely that UCR employees or students who experience or witness Bullying or Abusive Conduct are encouraged to report this conduct, and 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. The policy includes information about (existing) ways to report or file a complaint, has information about campus resources, and a section with Frequently Asked Questions.
Anti-Bullying - (Effective Date: 12/01/2021)
Recruited Student-Athletes Admissions Review (650-62)
This policy was originally approved effective April 19, 2021 and 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. The policy was revised and approved effective September 14, 2021 to modify in the review procedure that the unit that will be pulling the donation information will be Audit & Advisory Services and not University Advancement.
Recruited Student-Athletes Admissions Review - (Effective Date: 09/14/2021)
Consensual Intimate (Sexual or Romantic) Relationships in the Workplace
The UCR Consensual Intimate (Sexual or Romantic) Relationships in the Workplace (650-74) policy 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 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.
Consensual Intimate (Sexual or Romantic) Relationships in the Workplace - (Effective Date: 09/10/2021)
Travel Risk Reduction (Interim) (900-25) - Rescinded
The interim policy on Travel Risk Reduction (900-25) was rescinded on July 1, 2021. This was an interim policy that outlined the requirements for travel to ensure the health, safety, and security of the UCR community, including while traveling. In line with the Chancellor’s June 23, 2021 communication and UC Office of the President’s March 12, 2021 updated travel guidelines, exceptional approval for travel is no longer required. As a reminder, University-Related Travel must be registered with UC Away. There are also additional details regarding travel for UCR personnel on the EH&S Travel Guidance website,
Travel Risk Reduction - (Rescinded Effective: 07/01/2021)
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)
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)
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 proposed UCR policies or policy revisions for 30-day notice and comment.
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:
Policy on Vaccination Programs - With Interim Amendments
This policy was updated with interim amendments effective September 1, 2022. A systemwide review of this policy is currently underway with an expected issuance/effective date in early 2023. Revisions include the following:
- Consolidated all existing vaccination requirements other than the Student Immunization Policy.
- Updated language consistent with current public health usage.
- Extended definition of Covered Non-Affiliate to include K-12 students and children enrolled in day care programs and camps sponsored by the University or operated at a University Facility or Location; as well as individuals enrolled in UC extension programs, continuing education, lifelong learning, seminars, workshops, and other non degree-granting educational programs, professional development, and/or recreational programs.
Policy on Vaccination Programs - With Interim Amendments - (Effective September 1, 2022)
BFB-IS-5: Licensing and Operation of University Radio, Television, and Microwave Facilities
The revised Presidential Policy has undergone a technical review. A summary of the changes follows:
- The requirement to print a copy of the FCC regulation was deleted – it is online and readily available at https://www.ecfr.gov/.
- The newest policy template was adopted.
- Terms, role names and organization names were updated to reflect current conventions.
- Corrected grammar and verbs to match policy language.
- Added the functional e-mail address for the Coordinator: firstname.lastname@example.org.
BFB-IS-5: Licensing and Operation of University Radio, Television, and Microwave Facilities - (Effective 08/31/2022)
UC Research Data Policy
Ownership of Research Data by the Regents of the University of California is a long-standing precept originally articulated in Section 020 of the Academic Personnel Manual (APM-020), or Regulation 4. Specifically, APM-020 Part II. Sec. 5 states that “Notebooks and other original records of the research are the property of the University.” The intent of the new UC Research Data Policy is to clarify the ownership of and responsibility for research data generated during the course of University research, encourage active data management and sharing practices, and provide guidance with respect to procedures when a University Researcher leaves the University.
The new Presidential Policy went through two systemwide reviews on December 17, 2021 for 90-day comment period and on February 15, 2022 for 60-day comment period, respectively. All the relevant and applicable feedback received from these systemwide reviews was incorporated into the attached policy.
UC Research Data Policy - (Effective 07/15/2022)
Clery Act - Campus Safety and Security Reporting Policy (Interim)
This Policy is being issued with interim status to comply with the US Department of Education’s requirements. The Policy will undergo a full systemwide review in Fall 2022. The changes in the interim Policy conform with the formal text of the Clery Act and the Department of Education’s recent directives and enforcement cases. The changes include removal of the language regarding categorical exemption of all CARE Advocates, Ombuds, and all other confidential campus offices as Campus Security Authority (CSA), and a clarification that employees with responsibilities, within the scope of their license, as professional or pastoral counselors are not CSAs for the purposes of this Policy.
Clery Act Policy - (Effective 07/14/2022)
BFB-A-47 Direct Costing Procedures
The revised policy went through a technical review and revisions by the identified stakeholders: Campus Costing Policy Directors, Managers and Analysts; the Extramural Fund Managers; and the Campus Controllers. The policy is updated to reflect current federal policy (Uniform Guidance) requirements and institutional practices.
The technical revisions include: changes in Cost Allocation Services (CAS) policy regarding refunds, rebates on P-card purchases and updated language for recharges; changes to the definition of Applicable Credits; and removal of Appendix I.
BFB-A-47 Direct Costing Procedures - (Effective 06/23/2022)
Supplement to Military Pay
The Supplement to Military Pay Policy went through systemwide review in January 2022. Revisions include the following: continue the policy provision indefinitely; removed all references to four-year review provision; additions and update of existing Policy language including scope, definitions, benefits terminology, compliance/responsibilities, and procedures; and updated links, gender neutral language throughout the policy.
Supplemental to Military Pay - (Effective 06/21/2022)
UC Heath Participation in Activities under the End of Life Option Act
The End of Life Option Act Policy was issued as interim to comply with CA SB 380 changes effective January 1, 2022. The attached revised policy incorporated the relevant and applicable feedback received from its systemwide review last March 2021. Changes include updated scope, updated policy owner, addition of a term & definition, and updates to a definition. Compliance and responsibilities have been updated, added FAQs, gender neutral language, and other reformatting changes for continuity of style.
UC Health Participation in Activities under the End of Life Option Act - (Effective: 06/21/2022)
Disclosure of Financial Interest & Management of Conflict of Interest, Public Health Service Research Awards (UC PHS COI)
The revised policy went through a technical review and revision in collaboration with the campuses’ Conflict of Interest Officers, the Research Policy Analysis and Coordination unit, and UC Legal. The revision will bring UC into compliance with the U.S. Department of Energy (DOE) requirements to have a policy in place covering DOE’s new Interim Conflict of Interest Policy for Financial Assistance by June 18, 2022. Revisions include the following:
- Added a sentence to indicate using this policy to implement the DOE Interim Conflict of Interest Policy.
- Added a reference to the DOE Interim Conflict of Interest Policy in the Related Information section.
UC PHS COI Policy - (Effective: 06/17/2022)
Part-Time Study in the University of California
The technical revisions for the Presidential Policy on Part-Time Study in the University of California include: reformatted into the standard Policy template, updated the names of student fees, updated the Responsible Office and Office titles, updated to reflect the replacement of the 1979 Policy on Part-Time Off-Campus Professional Graduate Degree Programs with the Policy on Self-Supporting Graduate Degree Programs, and added a reference to a letter dated July 30, 2021 from the President on the application of the policy to Professional Degree Supplemental Tuition.
Part-Time Study in the University of California - (Effective: 04/29/2022)
Classification of Gifts & Sponsored Awards
The substantive revision of the Presidential Policy on Sustainable Practices went through systemwide review beginning in March 2021. The major changes for the Classification of Gifts and Sponsored Awards include: improved description of the policy scope; further development of the weighted classification criteria that are now grouped into two categories - Determinative and General Indicators; two new FAQs entries; and added clarity to the Checklist to help campuses more easily determine proper classification of research awards as either gifts or sponsored awards.
Classification of Gifts & Sponsored Awards - (Effective: 03/10/2022)
The substantive revision of the Presidential Policy on Sustainable Practices went through systemwide review beginning in September 2021. The revisions include the following: updating the targets and additional requirements for the Green Building Design, Climate Protection, Sustainable Transportation, Sustainable Water Systems, and Sustainability at UC Health sections of the policy; a new Health and Well-Being section was added; and a number of minor revisions were made to clarify the intent and improve the readability of the policy.
Sustainable Practice - (Effective: 03/10/2022)
BUS-79: Expenditures for Business Meetings, Entertainment, and Other Occasions
The technical revisions include that the meal rate increase effective November 1, 2021 is reflected in Appendix A, page 24. This increase was announced by EVP and Chief Financial Officer Brostrom in a memo dated October 19, 2021 to the Vice Chancellors of Administration. In addition, entertainment events held by the President or Chancellors are subject to reimbursement of expenses up to 200% of the listed meal rate limits without requiring additional approval effective January 1, 2022. EVP and CFO Brostrom issued a memo on February 9 to the Vice Chancellors of Administration regarding this change. These events can include donor cultivation or stewardship, recruitment and/or retention. Note, this special rule would not include events for internal senior leadership or for other non-donor related events, all which are still subject to existing approval requirement.
BUS-79: Expenditures for Business Meetings, Entertainment, and Other Occasions - (Effective: 01/01/2022)
BFB-G-28: Travel Regulations
The University’s mileage reimbursement rates for expenses incurred in connection with the business use of a private automobile will increase in accordance with the Internal Revenue Service standard mileage rates published in IRS Notice 2022-03. The following new rates are effective for expenses incurred on or after January 1, 2022:
- The reimbursement rate for the use of a private automobile for University business travel will increase from 56 cents a mile to 58.5 cents a mile.
- The reimbursement rate for driving an automobile in connection with a move or relocation will increase from 16 cents a mile to 18 cents a mile. (Note that reimbursements for moving- related expenses, including mileage, are considered taxable wage income as of January 1, 2018).
BFB-G-28: Travel Regulations - (Effective: 01/01/2022)
Revised Sexual Violence and Sexual Harassment (SVSH) Policy
Last year, the University issued revised interim versions of the SVSH Policy and its implementing frameworks to comply with the 2020 amendments to the federal Title IX regulations made by the U.S. Department of Education (“DOE”). The DOE plans to propose new amendments to the Title IX regulations next year. In the meantime, UC is making every effort to mitigate harm from the existing regulations, including issuing these revised policies. Summarized below are the key revisions, the impetus for the changes, and other information of note:
Senate Bill 493. Certain revisions are to comply with California Senate Bill (SB) 493. This legislation was authored by former Senator Jackson of Santa Barbara and sponsored by Equal Rights Advocates and the Women’s Foundation of California. The SVSH Policy and implementing frameworks together already codified most of SB 493’s requirements. Revisions are therefore limited in the SVSH Policy and in Appendix E, Appendix F, the Faculty Framework and the Staff/NFAP Framework.
Title IX Regulatory Change. Appendix F, the Faculty Framework and the Staff/NFAP Framework also include revisions in response to one significant provision of the Title IX regulations becoming ineffective. The procedures for resolving conduct covered by the regulations issued last year severely limited the Title IX hearing officer’s ability to rely on out-of-hearing statements not subject to cross-examination during the hearing. The regulatory provision requiring this limitation is no longer in effect, due to a federal court decision vacating it and DOE’s subsequent announcement that it would not enforce it. UC included the limitation only because it was legally required at the time. Now that it is not, UC is removing it.
Clinical Setting Changes. The University has dedicated significant effort and resources to preventing, detecting, and responding to Prohibited Conduct arising from the context of patient care. To further that work, certain 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.
Application of Changes to Current Investigations and Adjudications. As a general matter, in resolution processes under the SVSH Policy, the University applies the SVSH Policy definitions of Prohibited Conduct in place at the time alleged violations of the policy occurred, and the investigation and adjudication procedures (set forth in both the SVSH Policy and the applicable resolution framework) in place at the time the Title IX office charges an investigation. However, in some circumstances, the University will apply revised procedures to resolution processes that are already underway—specifically, when doing so is required by law or to ensure fairness.
While revisions to these policies are mostly legally required, the Systemwide Title IX Office appreciated the input of stakeholders during the limited management consultation and 90-day systemwide review for the SVSH Policy.
The following interim policy and investigation and adjudication frameworks have an effective date of 1/1/2022:
Sexual Violence Sexual Harassment ("SVSH") Policy
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 Interim NAGPRA Policy was issued in July 2020 to allow further discussion and consultation with tribal communities and campus stakeholders. A revised draft policy incorporating AB 275 requirements was sent out for systemwide review in March 2021. The attached final policy includes further refinements pursuant to AB 275 and for clarity in response to comments received from Tribes, the Native American Heritage Commission (NAHC), and UC stakeholders. As background, this policy pertains to the treatment and repatriation of Native American and Native Hawaiian human remains and cultural items under the University’s possession or control and the University’s compliance with the federal Native American Graves Protection and Repatriation Act (“NAGPRA”), its accompanying regulations, and the California Native American Graves Protection and Repatriation Act (“CalNAGPRA”).
Native American Cultural Affiliation and Repatriation - (Effective Date: 1/1/2022)BFB-G-41 Employee Non-Cash Award and Other Gifts
The BFB-G-41 Employee Non-Cash Award and Other Gifts policy went through technical revision in order for to reflect the increase in the monthly pre-tax parking and transit limit per Rev. Proc. 2021-45 effective January 1, 2022, from $270 to $280 per month.
BFB-G-41 Employee Non-Cash Award and Other Gifts - (Effective Date: 1/1/2022)
Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards
The Presidential Policy on Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards (UC PHS COI) policy went through the following technical revisions:
- Added an FAQ to remind investigators of other disclosures that may be required by Public Health Service (PHS).
- Added clarification that required disclosures under this policy to include income and travel reimbursement from foreign institutions of higher education or foreign governments.
- Incorporated the allowance of campus discretion to impose a $5,000 de minimis threshold for travel, as already permitted in RPAC Guidance Memo 13-03.
- Updated Record Retention section.
- Fixed broken links, replaced gender pronouns, and other formatting/typographical errors.
Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards (UC PHS COI) - (Effective Date: 12/21/2021)
Fee Policy for Graduate Student In Absentia Registration
The Fee Policy for Graduate Students in Absentia Registration was sent out for systemwide review in April 21, 2021. Feedback received on the proposed revisions were incorporated into the policy as necessary. The final revisions include adding the definition of “Local Campus Region.” This term refers to an area defined by the graduate dean, in consultation with campus constituents, beyond which students have access to substantially fewer campus resources, including instructional, laboratory and library resources, advising and student services.
Fee Policy for Graduate Student in Absentia Registration - (Effective Date: 12/17/2021)
Interim Policy: Affiliations with Certain Healthcare Organizations
The President issued a new Interim Policy on the implementation of Regents Policy 4405 Affiliations with Certain Healthcare Organizations. The University’s medical centers and health professional schools regularly enter into Affiliations with other health care organizations to improve quality and access for the people of the State of California, particularly those in medically underserved communities, and to support the University’s education and research mission. Some of those organizations have instituted Policy-Based Restrictions on care that restrict doctors and other health professionals from providing evidence-based prevention, diagnosis, and treatment. The purpose of this policy is to establish standards for affiliation with such organizations that protect and advance the University’s values, as well as its commitment to inclusion, diversity, equity, and accountability. The interim policy will be sent out for systemwide review before the end of this year.
Interim Policy: Affiliations with Certain Healthcare Organizations - (Effective Date: 9/22/2021)
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)
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)
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:
Policy on Vaccination Programs
On August 30, 2022, the Policy on Vaccination Programs – With Interim Amendments was issued, with an effective date of September 1, 2022, as instruction resumes and prior to the influenza season. The University of California Office of the President invites comments on revisions from the interim amendments to finalize this Presidential Policy.
This policy is renamed “Policy on Vaccination Programs” and primarily consolidates the University's existing systemwide vaccination requirements (other than the Student Immunization Policy) into a systemwide policy with Program Attachments for the SARS-CoV-2 (COVID-19) Vaccination Program and the Seasonal Influenza Vaccination Program. Key revisions that are being distributed for Systemwide Review include the following:
- The COVID-19 Vaccination Program Attachment incorporates language from the July 15, 2021 SARS-CoV-2 (COVID-19) Vaccination Program policy. This is primarily a reorganization and simplification of existing policy language and is not intended to institute substantive changes in policy regarding existing COVID-19 vaccination requirements.
- In alignment with CDC guidance, the deadlines for completion of the primary COVID-19 vaccination series have been extended to allow for a longer interval period between doses.
- Locations are encouraged to evaluate COVID-19 Vaccination Program Participation, but Healthcare Locations are not required to do so.
- The COVID-19 Vaccination Program corrective action/discipline language for policy-covered academic appointees has been clarified.
- The Seasonal Influenza Vaccination Program Attachment incorporates language from the President’s past flu vaccine Executive Orders. The Seasonal Influenza Vaccination Program is an Opt-Out program, which means Covered Individuals may decline vaccination after receiving vaccine education. The Program has an annual compliance date of no later than December 1. Locations may choose an earlier compliance date. The first compliance date for new employees depends on when their first date of employment is in relation to the flu season.
- The language has been updated throughout consistent with current public health usage.
- The following groups are Covered Non-Affiliates instead of Covered Individuals: “K-12 students and children enrolled in day care programs and camps sponsored by the University or operated at a University Facility or Location; as well as individuals enrolled in UC extension programs, continuing education, lifelong learning, seminars, workshops, and other non-degree-granting educational programs.” For clarity, individuals enrolled in professional development and recreational programs are also included in the definition of “Covered Non-Affiliates.” This provides Locations with flexibility on local program implementation as Locations define the requirements for Covered Non-Affiliates.
The revisions were made in consultation with Systemwide Human Resources, Academic Personnel and Programs, UC Health, and UC Legal.
The draft policy is posted on UCNet. For more information, you may also review the Systemwide Review Cover Letter. Any questions or comments from the Academic Senate and campus academic administrators should be submitted to VP-ACADEMICPERSONNEL@ucop.edu. Any questions or comments from staff employees should be submitted to email@example.com no later than December 15, 2022.
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