https://wiki.unmc.edu/api.php?action=feedcontributions&user=Dpanowic&feedformat=atomUniversity of Nebraska Medical Center - User contributions [en]2024-03-29T13:29:04ZUser contributionsMediaWiki 1.39.4https://wiki.unmc.edu/index.php?title=Drug_Free_Campus&diff=14378Drug Free Campus2023-10-17T21:55:47Z<p>Dpanowic: Prevention Update and memo updated</p>
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<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No: '''1003'''<br /><br />
Effective Date: '''10/17/03'''<br /><br />
Revised Date: '''02/05/18'''<br /><br />
Reviewed Date: '''02/05/18'''<br /><br />
<br /><br />
<big>'''Drug Free Campus Policy'''</big><br /><br />
<br /><br />
== Purpose == <br />
1.1 The University of Nebraska Medical Center (UNMC) is committed to providing a Drug Free Campus.<br />
== Scope == <br />
2.1 This policy is applicable to all UNMC students and employees to include Office/Service, Managerial/Professional, Faculty, and Other Academic positions. It also may apply to campus visitors like applicants for educational programs, applicants for employment, volunteers, and vendors. <br />
== Basis of the Policy == <br />
3.1 The University of Nebraska desires to provide an alcohol and drug-free, healthy, safe, and secure work environment and has established a code of conduct for all campuses of the University of Nebraska system. UNMC will comply with all federal and state laws, regulations and orders, including the policies of the Board of Regents which pertain to providing a drug free campus. <br />
== Authorities and Administration ==<br />
4.1 The UNMC Human Resources' Division Director of Employee Relations is responsible for the administration, implementation, and maintenance of the Drug Free Campus Policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance Executive Director of Human Resources and the Vice Chancellor for Business and Finance. <br />
== Policy ==<br />
5.1 '''Drug Free Workplace'''<br /><br /><br />
UNMC prohibits employees from the unlawful manufacture, distribution, dispensation, possession, or use of alcohol and/or a controlled substance on UNMC property. The term "substance" refers to drug or chemical compounds that are controlled by local, state, or federal law. UNMC complies with the Drug-Free Workplace Act of 1988, as amended.<br /><br />
<br /><br />
Conviction of a crime related to the unlawful manufacture, distribution, dispensation or use of alcohol and/or a controlled substance may result in a fine, a prison sentence, or both. <br /><br />
<br /><br />
5.2 '''UNMC Position on Chemical Dependency'''<br /><br />
<br /><br />
UNMC supports the position that chemical dependency is a disease that can endanger the health and well being of students, employees, and faculty and can have a negative effect on the public they serve. UNMC advocates treatment and rehabilitation for affected students, employees, and faculty in a manner that first protects the public, while allowing a reasonable opportunity for recovery and re-entry into the workplace/classroom. Chemical dependency is recognized as a disease, and employee relations issues will be administered from this philosophy and in accordance with all legal requirements of state and federal law.<br/> <br /><br />
UNMC does not illegally discriminate in its academic program or employment practices against individuals who are in recovery from chemical dependency. UNMC takes a community leadership role in health care professional education, research, and public education about substance use, abuse, and dependency.<br /><br />
<br /><br />
5.3 '''Employee Requirements for a Drug-free Workplace'''<br /><br />
<br /><br />
Compliance with this policy is a term and condition of employment at UNMC.<br />
<br /><br /><br />
UNMC employees must notify their department heads of any criminal drug statute convictions for violations occurring in the workplace no later than five (5) days after such conviction. Under the compliance provisions of the Drug-Free Workplace Act of 1988, UNMC shall notify the appropriate federal agency within ten (10) days of receiving notice of a criminal conviction for a violation occurring in the workplace for employees who are paid under federally-funded grants. <br /><br />
<br /><br />
5.4 '''Employment Actions as Part of the Drug-free Workplace'''<br /><br />
<br /><br />
UNMC employees will be subject to the corrective and disciplinary action as outlined in the Corrective and Disciplinary Policy. <br /><br /><br />
Any violation of the Employee Health and Safety Policy, including unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance on the UNMC campus, any criminal drug statute conviction for a violation occurring in the workplace, or working while under the influence of alcohol or a controlled substance, can result in disciplinary actions up to and including termination for cause.<br /><br /><br />
UNMC employees are expected to meet performance standards and comply with UNMC policies and procedures. Supervisors and managers will administer corrective and disciplinary action, up to and including termination, according to UNMC Policy No. 1098, [[Corrective/Disciplinary Action|Corrective and Disciplinary Action]].<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
==Additional Information==<br />
*Human Resources, Employee Relations at 402-559-7394 or 402-559-8534 <br />
*UNMC Policy No. 1098, [[Corrective/Disciplinary Action|Corrective and Disciplinary Action]]<br />
*UNMC Policy No. 1106, [[Fitness for Duty]]<br />
*UNMC Procedures No. 1003, [http://www.unmc.edu/hr/Proc/Procedures1003.pdf Drug Free Campus]<br />
*UNMC Procedures No. 1098, [http://www.unmc.edu/hr/Proc/Procedures1098.pdf Corrective and Disciplinary Action]<br />
*UNMC Procedures No. 1106, [http://www.unmc.edu/hr/Proc/Procedures1106.pdf Fitness for Duty]<br />
*[https://www.unmc.edu/academicaffairs/_documents/compliance/Statement_of_Understanding.pdf Statement of Understanding] <br />
*[https://www.unmc.edu/human-resources/_documents/memo_drug_and_alcohol_abuse_prevention.pdf Memo from the Associate General Counsel of the University of Nebraska, July 2023]<br />
*[https://www.unmc.edu/human-resources/_documents/University-of-Nebraska-Drug-and-Alcohol-Prevention-Update.pdf University of Nebraska Drug and Alcohol Abuse Prevention Update, 2023]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=COVID_Vaccination&diff=14319COVID Vaccination2023-09-20T20:48:03Z<p>Dpanowic: </p>
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<table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
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<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf Alternate Worksite] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Chosen Name and Gender Identity] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf Recruitment and Selection] | [[COVID Vaccination]] | [https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Voluntary FTE Reduction Program] <br /><br /><br />
<br />
Policy No.: '''1109'''<br><br />
<br />
UNMC Policy No. 1109, [https://wiki.unmc.edu/index.php?title=COVID_Vaccination&oldid=12690 Mandatory COVID-19 Vaccination Policy], has been deleted, effective 07/31/23. Beginning Monday, July 31, UNMC no longer requires the COVID-19 vaccine as a condition of employment or enrollment. The change aligns with UNMC’s primary clinical partner, Nebraska Medicine, which lifted its COVID vaccine requirement on July 24, as well as UNMC’s prominent peer academic medical centers. Both organizations continue to recommend and strongly encourage employees and students to be fully vaccinated for both COVID-19 and influenza. <br><br><br />
<br />
For additional information, please see [https://www.unmc.edu/newsroom/2023/07/31/covid-19-vaccination-no-longer-required/ the UNMC Today] or contact [mailto:employeerelations@unmc.edu Human Resources – Employee Relations] at 402-559-7394 or 402-559-8534.</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=14318Policies and Procedures2023-09-20T20:42:27Z<p>Dpanowic: Changing Policy Coordinator contact info</p>
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<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:mhurlocker@unmc.edu Margaret Hurlocker], Policy Coordinator, at 402-559-3207.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|06/22/23<br />
|06/22/23<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination] deleted effective 07/31/23<br />
|1109<br />
|10/13/21<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|04/28/23<br />
|04/28/23<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|07/10/23<br />
|07/10/23<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|07/11/23<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|07/21/23 <br />
|07/21/23<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/21/23<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|06/27/23<br />
|06/27/23<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|07/21/23<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|07/24/23<br />
|07/24/23<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|07/21/23<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|07/21/23<br />
|-<br />
|[[Electronic Digital Signatures and Records]]<br />
|8019<br />
|08/14/23<br />
|09/13/23<br />
|09/13/23<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|08/01/23<br />
|08/01/23<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Tuberculosis_Exposure&diff=14317Tuberculosis Exposure2023-09-20T16:46:26Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Safety]] | [[Deadly Weapon]] | [[Shipping Hazardous Materials]] | [[Latex Sensitivity]] | [[Bloodborne Pathogens Exposure]] | [[Waste Handling]] | [[Portable Space Heaters]] | [[Children in the Workplace]] | [[Pets in the Workplace]] | [[Tuberculosis Exposure]] | [[Food, Drinks and Cosmetic Use in Laboratory Areas]] | [[Medical Surveillance]] | [[Enterprise Threat Assessment Response Team]] | [[Management of Violent or Aggressive Patients/Visitors]] | [[Youth Safety]] | [[Tours]] | [[Small Appliance]] | [[Unmanned Aircraft]] | [[Electric Scooter]] | [[Face Covering]]<br />
<br /><br />
<br /><br />
Policy No.: '''2009'''<br /><br />
Effective Date: '''05/11/10'''<br /><br />
Revised Date: '''12/02/21'''<br /><br />
Reviewed Date: '''12/02/21'''<br /><br />
<br /><br />
'''<big>Tuberculosis Exposure Policy</big>'''<br />
== Basis for Policy ==<br />
The University of Nebraska Medical Center (UNMC) is committed to providing a safe and healthful work environment to prevent or minimize staff, researchers and student exposure to ''Mycobacterium tuberculosis'' complex (Mtb) and offer appropriate initial treatment/follow-up, when or if such exposures occur.<br />
== Policy ==<br />
The policy of UNMC is to follow all applicable state and federal regulations including the Occupational Safety and Health Administration Standards, and the Center for Disease Control (CDC) guidelines, when making decisions regarding rights and responsibilities of individuals exposed to or currently under treatment for Mtb disease. To ensure compliance with these authoritative regulations and provide guidance to UNMC staff, researchers and students, a [https://www.unmc.edu/ehs/safety/TB_Exposure_Plan.pdf Tuberculosis Exposure Control Plan] has been designed to eliminate or minimize exposure to Mtb. <br /><br />
<br />
All UNMC staff, researchers, and students who might be exposed to Mtb should review the [https://www.unmc.edu/ehs/safety/TB_Exposure_Plan.pdf Tuberculosis Exposure Control Plan].<br />
<br />
==Additional Information==<br />
*Contact [mailto:unmcehs@unmc.edu UNMC Environmental Health and Safety] or 402-559-6356<br />
*[https://www.unmc.edu/ehs/about/index.html UNMC Environmental Health and Safety]<br />
*[https://www.unmc.edu/ehs/safety/safety_policies_plans_guidelines.html UNMC Environmental Health and Safety Policies, Plans and Guidelines]<br />
*[https://www.unmc.edu/ehs/safety/TB_Exposure_Plan.pdf Tuberculosis Exposure Control Plan].<br /><br /><br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=14261Policies and Procedures2023-09-01T17:38:38Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|06/22/23<br />
|06/22/23<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination] deleted effective 07/31/23<br />
|1109<br />
|10/13/21<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|04/28/23<br />
|04/28/23<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|07/10/23<br />
|07/10/23<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|07/11/23<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|07/21/23 <br />
|07/21/23<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/21/23<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|06/27/23<br />
|06/27/23<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|07/21/23<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|07/24/23<br />
|07/24/23<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|07/21/23<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|07/21/23<br />
|-<br />
|[[Electronic Digital Signatures and Records]]<br />
|8019<br />
|8/14/23<br />
|draft<br />
|<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|08/01/23<br />
|08/01/23<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=COVID_Vaccination&diff=14260COVID Vaccination2023-09-01T17:36:18Z<p>Dpanowic: </p>
<hr />
<div><br /><br />
<table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf Alternate Worksite] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Chosen Name and Gender Identity] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf Recruitment and Selection] | [[COVID Vaccination]] | [https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Voluntary FTE Reduction Program] <br /><br /><br />
<br />
Policy No.: '''1109'''<br><br />
Effective Date: '''02/23/22'''<br><br />
<br />
<br />
UNMC Policy No. 1109, [https://wiki.unmc.edu/index.php?title=COVID_Vaccination&oldid=12690 Mandatory COVID-19 Vaccination Policy], has been deleted, effective 07/31/23. Beginning Monday, July 31, UNMC no longer requires the COVID-19 vaccine as a condition of employment or enrollment. The change aligns with UNMC’s primary clinical partner, Nebraska Medicine, which lifted its COVID vaccine requirement on July 24, as well as UNMC’s prominent peer academic medical centers. Both organizations continue to recommend and strongly encourage employees and students to be fully vaccinated for both COVID-19 and influenza. <br><br />
<br />
For additional information, please see [[https://www.unmc.edu/newsroom/2023/07/31/covid-19-vaccination-no-longer-required/ the UNMC Today]] or contact [[mailto:employeerelations@unmc.edu Human Resources – Employee Relations]] at 402-559-7394 or 402-559-8534.</div>Dpanowichttps://wiki.unmc.edu/index.php?title=COVID_Vaccination&diff=14259COVID Vaccination2023-09-01T17:30:19Z<p>Dpanowic: </p>
<hr />
<div><br /><br />
<table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf Alternate Worksite] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Chosen Name and Gender Identity] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf Recruitment and Selection] | [[COVID Vaccination]] | [https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Voluntary FTE Reduction Program] <br /><br /><br />
<br />
Policy No.: '''6103'''<br><br />
Effective Date: '''06/27/02'''<br><br />
<br />
<br />
UNMC Policy No. 1109, [https://wiki.unmc.edu/index.php?title=COVID_Vaccination&oldid=12690 Mandatory COVID-19 Vaccination Policy], has been deleted, effective 07/31/23. Beginning Monday, July 31, UNMC no longer requires the COVID-19 vaccine as a condition of employment or enrollment. The change aligns with UNMC’s primary clinical partner, Nebraska Medicine, which lifted its COVID vaccine requirement on July 24, as well as UNMC’s prominent peer academic medical centers. Both organizations continue to recommend and strongly encourage employees and students to be fully vaccinated for both COVID-19 and influenza. <br><br />
<br />
For additional information, please see [[https://www.unmc.edu/newsroom/2023/07/31/covid-19-vaccination-no-longer-required/ the UNMC Today]] or contact [[mailto:employeerelations@unmc.edu Human Resources – Employee Relations]] at 402-559-7394 or 402-559-8534.</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Human_Resources&diff=14258Human Resources2023-09-01T16:56:07Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
== [[Employee Leave]] == <br />
== [[Drug Free Campus]] == <br />
== [[Employment]] == <br />
== [[Work Schedules]] == <br />
== [[Employee Separation]] == <br />
== [[Compensation Administration]] == <br />
== [[Dress Code]] == <br />
== [[Background Check]] ==<br />
== [[Recurring/Additional Payment]] ==<br />
== [[Employee Grievance Process]] == <br />
== [[Reduction-in-Force]] == <br />
== [[Outside Employment]] == <br />
== [[Political Activities]] == <br />
== [[Employee/Dependent Scholarship]] == <br />
== [[Employee Recognition and Reward]] ==<br />
== [[Performance Evaluation]] == <br />
== [[Corrective/Disciplinary Action]] == <br />
== [[Non-Discrimination and Harassment]] ==<br />
== [[Tobacco-Free Campus]] ==<br />
== [[Nepotism]] ==<br />
== [[Influenza]] == <br />
== [[Consensual Relationships]] ==<br />
== [[AIDS, HIV, and Other Bloodborne Pathogens]]==<br />
== [[Personnel Action Documentation]] ==<br />
== [[Fitness for Duty]] ==<br />
== [[Sexual Misconduct]]==<br />
== [[Personnel Files]]==<br />
== [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf NU Alternate Work Site Policy]==<br />
== [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf NU Policy on Chosen Name and Gender Identity]==<br />
== [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf, NU Recruitment and Selection Policy]==<br />
== [https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]==<br />
Mandatory COVID-19 Policy deleted 7/31/23<br />
==[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] ==</div>Dpanowichttps://wiki.unmc.edu/index.php?title=COVID_Vaccination&diff=14257COVID Vaccination2023-09-01T16:52:24Z<p>Dpanowic: </p>
<hr />
<div><br /><br />
<table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf Alternate Worksite] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Chosen Name and Gender Identity] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf Recruitment and Selection] | [[COVID Vaccination]] | [https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Voluntary FTE Reduction Program] <br /><br /><br />
<br />
Policy No.: '''6103'''<br><br />
Effective Date: '''06/27/02'''<br><br />
<br />
<br />
UNMC Policy No. 1109, [https://wiki.unmc.edu/index.php?title=COVID_Vaccination&oldid=12690 Mandatory COVID-19 Vaccination Policy], has been deleted, effective 07/31/23. Beginning Monday, July 31, UNMC no longer requires the COVID-19 vaccine as a condition of employment or enrollment. The change aligns with UNMC’s primary clinical partner, Nebraska Medicine, which lifted its COVID vaccine requirement on July 24, as well as UNMC’s prominent peer academic medical centers. Both organizations continue to recommend and strongly encourage employees and students to be fully vaccinated for both COVID-19 and influenza. <br />
<br />
For additional information, please see [[https://www.unmc.edu/newsroom/2023/07/31/covid-19-vaccination-no-longer-required/ the UNMC Today article]] or contact [[mailto:employeerelations@unmc.edu Human Resources – Employee Relations]] at 402-559-7394 or 402-559-8534.</div>Dpanowichttps://wiki.unmc.edu/index.php?title=COVID_Vaccination&diff=14256COVID Vaccination2023-09-01T16:43:14Z<p>Dpanowic: </p>
<hr />
<div><br /><br />
<table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf Alternate Worksite] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Chosen Name and Gender Identity] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf Recruitment and Selection] | [[COVID Vaccination]] | [https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Voluntary FTE Reduction Program] <br /><br /><br />
<br />
Policy No.: 6103<br />
Effective Date: 06/27/02<br><br />
<br />
UNMC Policy No. 1109, Mandatory COVID-19 Vaccination Policy, has been deleted, effective 07/31/23. Beginning Monday, July 31, UNMC no longer requires the COVID-19 vaccine as a condition of employment or enrollment. The change aligns with UNMC’s primary clinical partner, Nebraska Medicine, which lifted its COVID vaccine requirement on July 24, as well as UNMC’s prominent peer academic medical centers. Both organizations continue to recommend and strongly encourage employees and students to be fully vaccinated for both COVID-19 and influenza. <br />
<br />
For additional information, please see [[https://www.unmc.edu/newsroom/2023/07/31/covid-19-vaccination-no-longer-required/ the UNMC Today article]] or contact [[mailto:employeerelations@unmc.edu Human Resources – Employee Relations]] at 402-559-7394 or 402-559-8534.</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Electronic_Digital_Signatures_and_Records&diff=14240Electronic Digital Signatures and Records2023-08-23T17:03:02Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><tr><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td></tr></table>[[Compliance Program]] | [[Compliance Hotline]] | [[Inspections/Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]] | [[Electronic Digital Signatures and Records]]<br />
<br />
<br />
Policy No.: '''8019'''<br><br />
Effective Date: 08/14/23 '''Draft''' <br><br />
Revised Date: <br><br />
Reviewed Date: <br><br />
<br />
<br />
'''<big>Electronic, Digital Signatures and Records - FDA Regulated Research</big>'''<br><br />
<br />
==Basis for Policy==<br />
Participation in FDA regulated protocols require the University Nebraska Medical Center (UNMC) to comply with the federal government’s rules, regulations and guidelines applicable to FDA regulated research. FDA Guidelines contained in [https://www.fda.gov/regulatory-information/search-fda-guidance-documents/part-11-electronic-records-electronic-signatures-scope-and-application Part 11, Electronic Records; Electronic Signatures - Scope and Application | FDA] pertaining to FDA regulated research must be followed.<br />
==Responsibilities==<br />
<br />
* When UNMC manages FDA regulated protocols, UNMC is required to ensure electronic storage and management of information is consistent and in the same reliability as paper.<br />
* Documentation of system procedures must be maintained to ensure the integrity of the data.<br />
* Electronic Signatures must be facilitated and managed in a similar methodology as a wet signature on paper.<br />
<br />
==Policy==<br />
It is the policy of the University of Nebraska Medical Center (UNMC) to comply with the FDA’s regulations for the storage and management of Electronic Records and Electronic or Digital Signatures. These regulations include the Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards or [https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1 Uniform Guidance 2 CFR Part 200]. UNMC will also comply with regulations issued by sponsoring agencies as they relate to grants and contracts.<br />
<br />
* UNMC is beholden to the scope and general provisions outlined in the [https://www.ecfr.gov/current/title-21/chapter-I/subchapter-A/part-11 PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES] regulations as defined in the [https://www.fda.gov/regulatory-information/search-fda-guidance-documents/part-11-electronic-records-electronic-signatures-scope-and-application FDA’s guidelines and interpretation] of scope and application.<br />
** '''Authority:''' [https://www.govinfo.gov/content/pkg/USCODE-2021-title21/pdf/USCODE-2021-title21-chap9-subchapII-sec321.pdf 21 U.S.C. 321–393]; [https://www.govinfo.gov/content/pkg/USCODE-2021-title42/pdf/USCODE-2021-title42-chap6A-subchapII-partF-subpart1-sec262.pdf 42 U.S.C. 262].<br />
** '''Source:''' [https://www.federalregister.gov/documents/1997/03/20/97-6833/electronic-records-electronic-signatures 62 FR 13464], Mar. 20, 1997, unless otherwise noted.<br />
<br />
==Additional Information==<br />
<br />
* [Mailto:devopsbrl@unmc.edu DevOps Business Relationship Leads, UNMC.]]<br />
* [https://univnebrmedcntr.sharepoint.com.mcas.ms/teams/FDAPart11Checklist/_layouts/15/AccessDenied.aspx?Source=https%3A%2F%2Funivnebrmedcntr%2Esharepoint%2Ecom%2Fteams%2FFDAPart11Checklist%2FShared%20Documents%2FForms%2FAllItems%2Easpx%3Fviewid%3D60e03d35%252D2539%252D439e%252Db1bb%252Dea61de066528&correlation=f5e3cca0%2Dc0ff%2D4000%2D0541%2De52ab4f3efef&Type=list&name=b378b1bb%2Daaa8%2D4d71%2Dbc8f%2Da7f8842ae635 Standard Operating Procedures FDA Part 11 Checklist]<br />
* [https://www.fda.gov/regulatory-information/search-fda-guidance-documents/part-11-electronic-records-electronic-signatures-scope-and-application Part 11, Electronic Records; Electronic Signatures - Scope and Application]<br />
* [https://info.unmc.edu/blog/researchops/covid19-clinical-research-information/covid19-additional-irb-guidance/ IRB Guidance for Investigators and Research Coordinators/Research Nurses]<br />
* [https://info.unmc.edu/blog/researchops/category/researchdata/ Safeguarding Research Data]<br />
<br />
This page maintained by [Mailto:mhurlocker@unmc.edu mh].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Use_and_Disclosure_of_Protected_Health_Information&diff=14214Use and Disclosure of Protected Health Information2023-08-15T14:35:41Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Identification Card]] | [[Secure Area Card Access]] | [[Privacy/Confidentiality]] | [[Computer Use/Electronic Information]] | [[Retention and Destruction/Disposal of Private and Confidential Information]] | [[Use and Disclosure of Protected Health Information]] | [[Notice of Privacy Practices]] | [[Access to Designated Record Set]] | [[Accounting of PHI Disclosures]] | [[Patient/Consumer Complaints]] | [[Vendors]] | [[Fax Transmissions]] | [[Psychotherapy Notes]] | [[Facility Security]] | [[Conditions of Treatment Form]] | [[Informed Consent for UNMC Media]] | [[Transporting Protected Health Information]] | [[Honest Broker]] | [[Social Security Number]] | [[Third Party Registry]] | [[Information Security Awareness and Training]] | [[Patient Privacy Investigations and Levels of Violation]] | [[Use and Disclosure of PHI for Training Health Care Professionals]] | [[Disclosures of PHI as Permitted or Required by Law]] | [[Disclosure of PHI for Law Enforcement Purposes]]<br />
<br /><br /><br />
Policy No.: '''6057'''<br /><br />
Effective Date: '''03/17/03'''<br /><br />
Revised Date: '''draft 09/20/22'''<br /><br />
Reviewed Date: ''' '''<br /><br />
<br />
<big>'''Use and Disclosure of Protected Health Information Policy'''</big> <br />
== Basis for Policy == <br />
Nebraska Medicine/UNMC implements reasonable and appropriate access controls in alignment with National Institute of Standards and Technology (NIST) standards and guidance to maintain the minimum necessary access. [https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final NIST Special Publication 800-53] and the [https://www.cdc.gov/phlp/publications/topic/hipaa.html#security-rule HIPAA Security Rule] outline considerations for the access control family of security controls.<br />
== Policy == <br />
Nebraska Medicine/UNMC shall limit the use and disclosure of Protected Health Information (PHI) to the right people, for the right purposes, with the right authority, and always subject to reasonable safeguards -- all as defined by the [https://www.cdc.gov/phlp/publications/topic/hipaa.html Health Insurance Portability and Accountability Act of 1996 (HIPAA)] and Nebraska Medicine/UNMC policies. <br />
==Purpose==<br />
To establish guidelines for the use and disclosure of PHI. <br />
===General Policies Governing the Use and Disclosure of PHI===<br />
#Each use or disclosure of PHI must be an authorized use or disclosure (either by a written patient authorization or Nebraska Medicine/UNMC policy). Some of the authorized uses and disclosures are described in this policy and associated policies.<br />
#The use or disclosure of PHI must be in accordance with the [https://www.nebraskamed.com/patients/rights-responsibilities/notice-privacy-practices Nebraska Medicine/UNMC Notice of Privacy Practices].<br />
#The [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Workforce Workforce] member using or disclosing the PHI must do so only as necessary to perform assigned duties.<br />
#The person or entity to which PHI is disclosed must be authorized to receive it and their identity and authority must be verified prior to such disclosure. (See Verification and Authority policy and the Nebraska Medicine Consents and Permits policy, MS14, Authorized Consenting Persons section.) '''need Nebr Med policy #s'''<br />
#Use and disclosure of PHI must be limited to the minimum necessary to accomplish the intended purpose of such use or disclosure. (See Minimum Necessary section below.)<br />
#Uses and disclosures of PHI may be subject to requests for confidential communications. (See Confidential Address policy.) '''need Nebr Med policy #'''<br />
#If a disclosure of PHI is subject to an Individual’s right to an accounting, it must be documented per UNMC Policy No. 6061, [https://wiki.unmc.edu/index.php/Accounting_of_PHI_Disclosures Accounting of Protected Health Information Disclosures]. Also note the documentation requirements listed throughout this policy and associated policies. <br />
#Requests for uses and disclosures of PHI that are not clearly addressed in Nebraska Medicine/UNMC policies must be considered and resolved by a designated decision-maker. The [mailto:debrbishop@nebraskamed.com Privacy Officer] is the designated decision-maker unless someone else is designated by the [mailto:privacy@nebraskamed.com Privacy Office] (at 402-559-5136) for a particular policy or situation. (See Nebraska Medicine Consents and Permits policy, MS14.) <br />
#All uses and disclosures of PHI should be made in accordance with safeguards adopted by Nebraska Medicine/UNMC to further protect the privacy of PHI.<br />
#Improper uses and disclosures of PHI should be immediately brought to Privacy Office’s attention so it can consider and facilitate the implementation of any effective mitigation or remedial steps.<br />
#All members of the Workforce are required to be familiar with the policies and procedures which affect them in their role at Nebraska Medicine/UNMC and will be held accountable for their individual compliance with such policies and procedures. <br />
==Procedures==<br />
Protected Health Information (PHI) may be used and disclosed within the [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Affiliated_Covered_Entity_.28ACE.29 Affiliated Covered Entity (ACE)] for each member’s own treatment, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Payment_2 Payment] and [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Health_Care_Operations_2 Health Care Operations] if it has or is about to have a treatment relationship with the Individual supporting its need for such use or disclosure of such information, without having to obtain the Individual’s authorization. ACE entities also may share PHI with one another without Individual authorization as permitted by HIPAA and necessary for the delivery of health care treatment, payment and operations. <br /><br />
<br />
Members of the [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Workforce Workforce] may access Individual information for a current, work-related purpose, and shall access only those portions of the medical record as required for the current, work-related purpose. Members of the Workforce shall not access or alter their own medical record. (See UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information].)<br />
===Treatment===<br />
Nebraska Medicine/UNMC may disclose PHI to another health care provider for its treatment purposes if the requesting provider has or is about to have a treatment relationship with the Individual to be entitled to the information. <br />
#If the requesting provider is a member of Nebraska Medicine/UNMC’s medical staff, no further verification of the relationship is needed, and the information may be shared for the requesting provider’s treatment purposes. <br />
#If the request is from a health care provider who is not a member of Nebraska Medicine/UNMC’s medical staff, Nebraska Medicine/UNMC staff should request confirmation that there is a treatment relationship or determine, based on the medical record, that there is a treatment relationship. For example, if the record includes documentation that the Individual was brought by the local emergency squad, the treatment relationship between Nebraska Medicine/UNMC and the EMS provider is confirmed.<br />
#Release/disclosure of Individual's information should be documented by the department/Workforce member releasing the information. Releases of information outside of the Health Information Management department (HIM) should be documented in the medical record, such as by using Epic/One Chart’s Quick Disclosure.<br />
#The minimum necessary standard does not apply to disclosures of PHI made to another health care provider for treatment purposes involving the Individual who is the subject of such PHI.<br />
===Payment===<br />
Nebraska Medicine/UNMC may disclose PHI to another provider or covered entity for its [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Payment_2 Payment] purposes after confirming that the other provider or covered entity has a treatment relationship that supports the request for information.<br />
#Release/disclosure of patient information should be documented by the department/Workforce member releasing the information. Releases of information outside of HIM should be documented in the medical record, such as by using Epic/One Chart’s Quick Disclosure.<br />
#The minimum necessary standard does apply to disclosures to another provider or covered entity for its payment purposes.<br />
===Health Care Operations===<br />
Nebraska Medicine/UNMC may disclose PHI to another covered entity (including members of its medical staff) for certain health care operations of the requesting covered entity if the following steps are followed. Requests of this type are expected to be infrequent. <br />
#Nebraska Medicine/UNMC should confirm and document that the requesting covered entity: (i) is a covered entity; (ii) has a relationship with the Individual whose PHI is requested; and (iii) is requesting and will use PHI for a qualifying health care operations use.<br />
#Only the following health care operations of the requesting covered entity support a disclosure to the covered entity for its use of PHI in health care operations:<br />
##Quality assessment activities, utilization management activities and activities designed to measure or improve care or reduce costs.<br />
##Peer review activities.<br />
##Health care fraud and abuse detection or compliance efforts.<br />
#The minimum necessary standard does apply to a disclosure of PHI to another health care provider for its health care operations purposes. Therefore, limit the information accessed or disclosed to the minimum necessary for the operational purposes of the party receiving it.<br />
===Incidental Disclosures===<br />
Nebraska Medicine/UNMC may use and disclose PHI for permitted purposes, even though doing so may result in incidental disclosure to third parties. In such cases, the following standards should be met:<br />
#The unintended disclosure of PHI must be a consequence of a permitted use or disclosure.<br />
#The permitted disclosure of PHI must have met the minimum necessary standard, as applicable.<br />
#Workforce members must have employed reasonable safeguards to prevent the unintended disclosure of PHI:<br />
##Use common sense and judgment--look for ways to lessen the risk and any potential impact of an incidental disclosure (e.g., signage visible outside Individual's room should not contain PHI, except information necessary for safe clinical care, such as infection control and fall precaution notices; Individuals in public areas or being transported should be draped in a manner that respects the Individual’s modesty or dignity).<br />
##Speak in a lower voice;<br />
##Provide more privacy through partitions and room arrangements (e.g., protect the visual privacy of Individuals receiving treatment through the use of curtains or other visual barriers whenever possible);<br />
##Pull the dividers or partitions between the Individual and other patients or visitors; and<br />
##Ask if the Individual would prefer to talk in a more private location.<br />
===Disclosures to the Individual===<br />
Nebraska Medicine/UNMC may disclose PHI to the Individual or his/her Personal Representative.<br />
The Individual has a right to see and obtain copies of PHI maintained in the Individual’s designated record set. Information, including billing information, may be sent to a minor for treatment to which the minor appropriately consented. (See UNMC Policy No. 6059, [https://wiki.unmc.edu/index.php/Access_to_Designated_Record_Set Access and Amendment of Designated Record Set]).<br />
#For Other Disclosures to Individual<br />
##For disclosures in written or electronic form, staff should document the disclosure/release in one of the following ways:<br />
###Notation in the medical, billing or other record from which the material was obtained<br />
###Electronic notation such as Quick Disclosure (Epic) in the database from which the information was obtained<br />
##It is not necessary to document oral disclosures to Individuals, unless required by nursing, medical staff or other policies. This policy recognizes that there is constant exchange of information between health care providers and Individuals during episodes of care.<br />
##When disclosing to the Individual, appropriate safeguards should be taken to reduce the risk that people other than the Individual or people permitted by the Individual will hear the disclosure. Examples of such safeguards would include:<br />
###Asking the Individual if the Individual would prefer to talk in a more private location.<br />
###Confirming with the Individual that it is okay to proceed with the conversation while friends, relatives or others are present.<br />
###Speaking in a lower voice.<br />
###Pulling the dividers or partitions between the Individual and other patients or visitors.<br />
###Providing more privacy through partitions and room arrangements.<br />
#The minimum necessary standard does not apply to disclosures to the Individual.<br />
===Disclosures to Family, Friends and Others===<br />
====Facility Directory====<br />
Nebraska Medicine/UNMC may include limited information about an Individual in the facility directory or census and may disclose that information to people who ask about the Individual by name, or to members of the clergy, in accordance with applicable policies. (See Nebraska Medicine Private Designation policy, for additional details.) '''need Nebr Med policy #'''<br />
====Disclosures with Individual’s Permission====<br />
#You may disclose PHI to the Individual in the presence of others if the Individual is asked and consents or is given a chance to object and does not verbally object to such disclosure and you reasonably infer from the circumstances that the Individual does not object. Disclosures of sensitive information, such as mental health or sexually transmitted disease diagnoses, should only be disclosed with the permission of the Individual.<br />
#When relying on this authority, disclose only the minimum amount of information needed to achieve the purpose of the disclosure, unless you know that the individuals present are all involved in the Individual's care or [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Payment_2 Payment] for care.<br />
#Remember – people who are present when a disclosure of PHI is made may be mere friends, visitors or onlookers. They may have no role in the Individual’s care. They may simply be visiting the Individual. Therefore, try to give the Individual every opportunity to agree or object to a disclosure of his or her PHI when it will otherwise be made in their presence.<br />
#Do not rely on this authority if the Individual is incapacitated or otherwise unable to agree or object to such disclosure.<br />
====Disclosures Based on Role or Involvement in Patient Care====<br />
Follow this policy when disclosing PHI to a person other than a Personal Representative whom you believe plays a role in the Individuals’s health care (or [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Payment_2 Payment] for health care). For example, follow this policy when you:<br />
#Talk to the Individual’s child, other relative or friend who customarily drives the Iatient to appointments to confirm the date and time of the next appointment.<br />
#Give an involved family member the Individual’s prescription, so the family member can fill it for the Individual.<br />
#Talk to a family member at discharge, if they play a role in post-discharge care.<br />
#Talk to the Individual’s spouse to obtain information necessary to file a claim through the spouse’s group plan.<br />
#Talk to a family member or friend when the Individual indicates you can or should do so, e.g., if the person accompanies the Individual for an appointment or procedure, or is invited and present at admission or discharge.<br />
If the Individual is available prior to a disclosure and has the capacity to make health care decisions, explain the proposed disclosure and do one of the following:<br />
#Obtain the Individual’s consent to such disclosure;<br />
#Provide the Individual with an opportunity to object, and disclose only if the Individual does not object; or<br />
#Reasonably infer from the circumstances, based on the exercise of professional judgment, that the Individual does not object.<br />
If the Individual is not available prior to the disclosure, use and document professional judgment to determine whether the disclosure would be in the best interest of the Individual. If so, disclose only the PHI directly relevant to the recipient’s involvement in the Individual’s health care. A code or password should not be used as a substitute for use of professional judgement to determine an Individual’s involvement in the patient's care to disclose information relevant to the Individual’s involvement. <br /><br />
<br />
'''Note:''' Nebraska Medicine/UNMC may disclose a decedent’s PHI to family members and others who were involved in the care or payment for care of the decedent prior to death, unless doing so is inconsistent with any prior expressed preference of the Individual.<br /><br />
<br />
These procedures are not applicable to Personal Representatives because they generally have the same access to information as the Individual.<br />
====Disclosure for Notification Purposes====<br />
Nebraska Medicine/UNMC may disclose PHI about an Individual in order to notify family, friends or others of the Individual’s whereabouts, general condition or death. In these cases, Nebraska Medicine/UNMC may not know the details of the involvement of others in the patient’s care or payment for care. Therefore, in these cases, try to follow these steps:<br />
#Ask the Individual, if possible, whether they consent to such disclosure and rely on what the patient says.<br />
#If the Individual is not able or available, make an effort to determine from the record the identity of others who may be Personal Representatives or involved in the Individual’s care and make an effort to limit contact to them.<br />
#If following the above steps does not work, use your best judgment in making contact with family, friends or others for notification purposes. Try asking for the person by order of priority (See Nebraska Medicine Consents and Permits policy, MS14.) Try to limit disclosures to individuals in the highest priority you can locate. In the end, use your best professional judgment in deciding how much you can say and to whom.<br />
#When the Individual has been deemed not competent, and is not expected to regain competence, and no family or friend has been located to act on the Individual’s behalf, Care Transitions and/or Pastoral Services staff may reach out to resources, such as the Individual’s landlord or employer (if known), agencies contracted for such purposes with the assistance of Legal Services, or local enforcement. In all such cases, the disclosure of PHI shall be limited solely to the Individual’s name and date of birth unless permission has been obtained from the [mailto:privacy@nebraskamed.com Privacy Office] to disclosure additional information.<br />
====Uses/Disclosure of PHI for Electronic Health Information Exchanges====<br />
Nebraska Medicine/UNMC may access and disclose PHI through ACE-approved [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Health_Information_Exchange_.28HIE.29 Health Information Exchanges (HIEs)]. Members of the Workforce may not access their own medical records via the HIE. Use and disclosure of PHI is restricted to the permitted uses and disclosures of the particular HIE. The Enterprise Applications Executive Director authorizes individual access to the HIE. The ACE is a member of the following HIEs:<br />
=====CyncHealth (Previously NeHII)=====<br />
CyncHealth participants may access CyncHealth PHI pursuant to [https://cynchealth.org/privacy-security/ CyncHealth’s Privacy and Information Security Policies and Procedures]. If unsure as to whether a particular use or disclosure is permissible, contact the [mailto:privacy@nebraskamed.com Privacy Office]. <br />
=====Epic-integrated HIE Software=====<br />
Epic-integrated HIE Software, includes but is not limited to Care Everywhere. Use or disclosure of PHI available via Care Everywhere is generally restricted to treatment purposes only per Epic’s current Rules of the Road agreement. It generally may not be used for payment, health care operations or any other purposes, regardless if otherwise permitted under HIPAA. <br />
=====eHealth Exchange=====<br />
#Includes federal and non-federal organizations. Veterans Administration (VA) is a participant of this HIE. Members of the ACE access this HIE via Care Everywhere; as such, PHI obtained via the eHealth Exchange generally may only be used or disclosed for treatment purposes.<br />
#All users of the eHealth Exchange are required to cooperate with Nebraska Medicine/UNMC on related investigations or issues; request, use and disclose eHealth Exchange message content only for treatment purposes; comply with all applicable laws and report any suspected breach of PHI to the Privacy Office immediately. Users must not disclose passwords or any other security measures to anyone.<br />
===Business Associate Agreements/Addendums===<br />
Nebraska Medicine/UNMC shall enter into a Business Associate Agreement with each outside entity performing services on its behalf before disclosing PHI to such entity (see UNMC Policy No. 8009, [[Contracts]] or Nebraska Medicine Contract Management policy, FN18). <br />
===Use/Disclosure of PHI for Training Health Care Professionals ===<br />
See UNMC Policy No. 6303, [[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
===Use/Disclosure of PHI Permitted/Required by Law===<br />
See UNMC Policy No. 6304, [[Disclosures of PHI as Permitted or Required by Law]]. <br />
===Use/Disclosure of PHI for Law Enforcement Purposes===<br />
See UNMC Policy No. 6305, [[Disclosure of PHI for Law Enforcement Purposes]].<br />
===Use/Disclosure of PHI for Whistleblowing Purposes===<br />
A Workforce member may disclose PHI for whistleblowing purposes when:<br />
#The Workforce member believes in good faith that Nebraska Medicine/UNMC engaged in conduct that is unlawful or otherwise violates professional or clinical standards, or that the care, services or conditions provided by Nebraska Medicine/UNMC potentially endangers one or more patients, other Workforce members, or the public; and <br />
#The disclosure is to: <br />
##A health oversight agency or public health authority authorized by law to investigate or otherwise oversee the relevant conduct or conditions of Nebraska Medicine/UNMC or to an appropriate health care accreditation organization for the purpose of reporting the allegation of failure to meet professional standards or misconduct by Nebraska Medicine/UNMC; or <br />
##An attorney retained by or on behalf of the Workforce member or business associate for the purpose of determining the legal options of the Workforce member or business associate with regard to the conduct described in this section. <br />
===Use/Disclosure of PHI for Marketing ===<br />
Refer requests for disclosures of PHI for marketing or fundraising purposes to the [mailto:privacy@nebraskamed.com Privacy Office].<br />
===Use/Disclosure of PHI for Research===<br />
#All research requests using PHI must be submitted to the UNMC Institutional Review Board (IRB) for review and approval. See UNMC's [https://guides.unmc.edu/books/hrpp-policies-and-procedures Human Research Protection Program (HRPP) Policies and Procedures]]. The IRB-approved consent also contains the HIPAA-compliant authorization when required under HIPAA. The UNMC IRB operates as the ACE’s Privacy Board and approves all waivers of authorization as permitted under HIPAA. To learn more about such waivers, please see UNMC Human Research Protection Program Policies and Procedures. <br />
#For research requests involving use of a decedent's information, Nebraska Medicine/UNMC must obtain from the researcher (before making such disclosure): <br />
##A representation that the requested use or disclosure of PHI is solely for research on the PHI of decedents;<br />
##Documentation of the death of such Individuals; and <br />
##A representation that the requested PHI is necessary for the research purposes.<br />
#Review of PHI Preparatory to Research. Nebraska Medicine/UNMC staff and students who wish to review PHI to prepare a research proposal must submit a [https://unmcredcap.unmc.edu/redcap/surveys/?s=NMPNWMEA7W Electronic Health Data Request] Form to the [https://www.unmc.edu/cctr/resources/ehr/index.html Electronic Health Record Data Access Core] to obtain access to such PHI. <br />
#Access to PHI for reviews preparatory to research requires that the researcher provide the following representations in advance of such disclosure and use:<br />
##that the use or disclosure is sought solely to review PHI as necessary to prepare a research protocol or for similar purposes preparatory to research; <br />
##that no PHI is to be removed from the covered entity by the researcher in the course of the review; and <br />
##that the PHI for which disclosure and use is sought is necessary for the research purposes.<br />
===Sale of Protected Health Information===<br />
Selling PHI is generally prohibited unless the patient signs an authorization specifically permitting the sale. This includes any disclosure of PHI where Nebraska Medicine/UNMC directly or indirectly receives remuneration from or on behalf of the recipient of the PHI in exchange for the PHI. Sale of PHI does not include certain disclosures of PHI:<br />
#For public health purposes;<br />
#For research purposes where the only remuneration received by '''Organization''' is a reasonable cost-based fee to cover the cost to prepare and transmit the PHI for such purposes;<br />
#For treatment and payment purposes;<br />
#To a business associate for activities that the business associate undertakes on Nebraska Medicine/UNMC’s behalf (if such business associate executes a Business Associate Agreement with Nebraska Medicine/UNMC); <br />
#To an Individual who is requesting access to their own PHI;<br />
#As required by law; and<br />
#For any other HIPAA permitted purpose where the only remuneration received by Organization is a reasonable, cost-based fee to cover the cost to prepare and transmit the PHI for such purpose or a fee otherwise expressly permitted by other law. The reasonable cost-based fee includes both direct and indirect costs for generating, storing, retrieving and transmitting the PHI, including labor, material and supplies.<br />
De-identified data is not PHI and therefore is not subject to the remuneration prohibition. However, limited data sets are PHI and are subject to this provision (see the section on [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information#Limited_Data_Set Limited Data Set]).<br />
===Minimum Necessary===<br />
Subject to the exceptions listed in this or any other Nebraska Medicine/UNMC policy, when using or disclosing PHI or when requesting PHI, members of the Workforce must make reasonable efforts to limit PHI used, disclosed or requested to the minimum information necessary (both type of information and quantity) to accomplish the intended purpose of such use, disclosure or request.<br />
#The “minimum necessary” standard does not apply to the following requests, uses and disclosures of PHI:<br />
##Uses, disclosures or requests among health care providers for treatment purposes.<br />
##Uses or disclosures required by law, so long as the use or disclosure complies with and is limited to the relevant requirements of the law.<br />
##Disclosures made to the Individual or pursuant to an authorization signed by the Individual.<br />
##Disclosures made to the Secretary of Health and Human Services or their designee.<br />
##Uses or disclosures required for compliance with the '''''Privacy Rule'''''.<br />
#Workforce. The minimum necessary standard applies to access and use of PHI by members of the Workforce. Each member of the Workforce must avoid intentionally accessing, using or disclosing PHI except as authorized by Nebraska Medicine/UNMC’s policies. <br />
##When using, disclosing, or requesting PHI, staff shall make reasonable efforts to limit PHI to the minimum necessary to accomplish the intended purpose of the use, disclosure or request. Disclosure of the entire medical record is prohibited unless specifically justified and documented in the medical record as the minimum necessary for the request or otherwise required by law.<br />
##Role-based Access: access to PHI shall be based on the role performed as specified in computer security matrices maintained by electronic health record system security and other system administrators that lists staff roles, job codes/titles and associated levels of access to PHI. Reference Electronic Health Record Access Control policy.<br />
##Individuals who are performing treatment, payment and health care operations functions on behalf of Nebraska Medicine/UNMC, or who require access as otherwise specified by the individual's position description, may access the entire medical record only as necessary to perform assigned duties. <br />
#Departments who provide PHI in response to valid requests shall ensure that minimum necessary requirements are met. <br />
##Routine/recurring disclosures: managers of departments who routinely release PHI on a recurring basis (e.g., HIM, Decision Support depts., etc.) shall establish minimum necessary written protocols for standard releases of PHI internally and externally.<br />
##Non-routine disclosures: department managers shall review non-routine requests for PHI on an individual basis and verify that minimum necessary requirements are met. <br />
#Departments that are not responsible for release of information should release records only under the limited conditions identified in UNMC Policy No. 6061, [https://wiki.unmc.edu/index.php/Accounting_of_PHI_Disclosures Accounting of Protected Health Information Disclosures]. All other requests should be sent to HIM.<br />
===Limited Data Set===<br />
#A limited data set of PHI that excludes certain direct identifiers of the Individual or of relatives, employers, or household members of the Individual may be used and disclosed for the purposes of research, public health or health care operations: <br />
##Names;<br />
##Postal address information, other than town or city, state, or zip code;<br />
##Telephone numbers;<br />
##Fax numbers;<br />
##Electronic mail addresses;<br />
##Social security numbers;<br />
##Medical record numbers;<br />
##Health plan beneficiary numbers;<br />
##Account numbers;<br />
##Certificate/license numbers;<br />
##Vehicle identifiers and serial numbers, including license numbers;<br />
##Device identifiers and serial numbers;<br />
##Web Universal Resource Locators (URLs);<br />
##Internet Protocol (IP) address numbers;<br />
##Biometric identifiers, including finger and voice prints; and <br />
## Full-face photographic images and any comparable images.<br />
#The recipient of the limited data set must enter into a data use agreement. If a limited data set recipient breaches the data use agreement, Nebraska Medicine/UNMC shall take reasonable steps to cure the breach or end the violation and if such steps are unsuccessful, shall discontinue disclosure of PHI to the limited data set recipient.<br />
===De-identification/Re-identification of PHI===<br />
#PHI may be used to create information that is not individually identifiable health information (i.e., de-identified information). The HIPAA privacy rules do not apply to de-identified information that does not identify an Individual and cannot be used to identify an Individual. PHI is de-identified when one of the following methods is used: <br />
##The 18 identifiers of the Individual or of the Individual’s relatives, employers, or household members are removed and Nebraska Medicine/UNMC does not have actual knowledge that the information could be used alone or in combination with other information to identify the Individual who is the subject of the information. The identifiers are:<br />
###Names;<br />
###All geographic subdivisions smaller than a state (including street address, city, county, precinct and zip code);<br />
###All elements of dates except year, for dates related to Individual (e.g., birth date, admission date, discharge date, date of death); <br />
###Telephone numbers; <br />
###Fax numbers; <br />
###Electronic mail addresses; <br />
###Social Security Numbers; <br />
###Medical record numbers;<br />
###Health plan beneficiary numbers;<br />
###Account numbers;<br />
###Certificate/license numbers;<br />
###Vehicle identifiers and serial numbers, including license plate numbers;<br />
###Device identifiers and serial numbers;<br />
###Web Universal Resource Locators (URLs);<br />
###Internet Protocol (IP) address numbers;<br />
###Biometric identifiers, including finger and voice prints;<br />
###Full face photographic images and any comparable images; and<br />
###Any other unique identifying number, characteristic, or code.<br />
##A person with appropriate knowledge of and experience with generally accepted statistical and scientific principles and methods for rendering information not individually identifiable, applying such principles and methods, determines that the risk is very small that the information could be used, alone or in combination with other reasonably available information, by an anticipated recipient to identify an Individual who is a subject of the information; and documents the methods and results of the analysis that justify such determination. The Legal Services department '''UNMC or Nebr med? best contact info ??''' and/or [mailto:privacy@nebraskamed.com Privacy Office] must approve of the use of this de-identification method and the person who performs it.<br />
#Re-identification of PHI. A code or other means of record identification may be assigned to allow information de-identified above to be re-identified by Organization, provided that: <br />
##The code or other means of record identification is not derived from or related to information about the Individual and is not otherwise capable of being translated so as to identify the Individual; and <br />
##The code or other means of record identification is not used for other purposes and the mechanism for re-identification is not disclosed.<br />
===Disaster Relief Disclosures===<br />
Nebraska Medicine/UNMC may disclose PHI to public or private relief organizations authorized by law or the HIPAA Privacy Rule to assist in disaster relief efforts.<br /><br />
<br />
'''''Disaster relief agency''''' means a public or private agency or program which is authorized by law or its charter to assist in disaster relief efforts. Examples of private disaster relief agencies would be the American Red Cross or the Salvation Army.<br />
#Limit releases of information to the information needed by the agencies to perform their disaster relief efforts. Often, this includes such uses as:<br />
##Coordinating availability of care,<br />
##Notification of family and friends, or<br />
##Determining the identity of victims and survivors.<br />
#The same requirements that apply to disclosures to family, friends and others, apply to disclosures to disaster relief organizations, unless Nebraska Medicine/UNMC, in the exercise of professional judgment, determines that those requirements interfere with the ability to respond to the emergency circumstances. Professional judgment under this policy may be exercised and documented by the [mailto:debrbishop@nebraskamed.com Privacy Officer] or individuals designated in Nebraska Medicine/UNMC’s Disaster Plan. '''need link(s) to plan(s}'''<br />
#The minimum necessary standard does not apply to disclosures to disaster relief agencies.<br />
===Authorization Generally Required for All Other Uses/Disclosures===<br />
Unless otherwise permitted by this policy, any use or disclosure of PHI is prohibited unless the patient or the patient’s representative (see Nebraska Medicine Consents and Permits policy, MS14) signs an authorization specifically permitting the use/disclosure (e.g., Form CON-MR-0074, CON-MR-1900) '''need URL for forms'''. Restrictions on the use and disclosure of psychotherapy notes are explained in UNMC Policy Nos. 6059, [https://wiki.unmc.edu/index.php/Access_to_Designated_Record_Set Access and Amendment of Designated Record Set] and 6066, [[Psychotherapy Notes]].<br />
===Compound Authorizations===<br />
An authorization for use or disclosure of PHI generally may not be combined with any other document to create a compound authorization, except in the following cases: <br />
#An authorization for the use or disclosure of PHI for a research study may be combined with any other type of written permission for the same or another research study. This exception includes combining an authorization for the use or disclosure of PHI for a research study with another authorization for the same research study, with an authorization for the creation or maintenance of a research database or repository, or with a consent to participate in research. When the ACE has conditioned the provision of research-related treatment on the provision of one of the authorizations, any compound authorization must clearly differentiate between the conditioned and unconditioned components and provide the Individual with an opportunity to opt in to the research activities described in the unconditioned authorization. <br />
#An authorization for a use or disclosure of psychotherapy notes may only be combined with another authorization for use or disclosure of psychotherapy notes. <br />
== Definitions ==<br />
===Affiliated Covered Entity (ACE)===<br />
Legally separate covered entities that are affiliated and designate themselves as a single covered entity for the purpose of HIPAA Compliance. Current ACE members are: The Nebraska Medical Center, UNMC Physicians, UNMC, University Dental Associates, Bellevue Medical Center and Nebraska Pediatric Practice, Inc. d/b/a Children’s Specialty Physicians. ACE membership may change from time to time. The Notice of Privacy Practices lists current ACE members. Access and amendment rights apply to designated record sets throughout the ACE. <br />
===Designated Record Set (DRS)===<br />
Includes medical records and billing records about Individuals maintained by or for UNMC/ACE and any other record used by an ACE entity to make decisions about Individuals. Exact duplicates of records maintained by business associates are not considered part of the DRS. <br />
===Health Care Operations===<br />
The following activities related to the Organization's functions as a health care provider and sponsor of a self-insured health plan:<br />
#Quality assessment and improvement activities, including outcomes evaluation and development of clinical guidelines, provided that the obtaining of generalizable knowledge is not the primary purpose of any studies resulting from such activities, otherwise these activities may be classified as research if PHI is included;<br />
#Population-based activities relating to improving health or reducing health care costs;<br />
#Protocol development;<br />
#Contacting health care providers and patients with information about treatment alternatives;<br />
#Case management and care coordination;<br />
#Patient safety activities;<br />
#Risk assessment;<br />
#Reviewing the competence or qualifications and accrediting/licensing of health care providers;<br />
#Training health care professionals;<br />
#Conducting or arranging for medical review, legal services and auditing functions (including fraud and abuse detection and compliance programs);<br />
#Business planning and development;<br />
#Business management activities<br />
#General administrative and business functions;<br />
#Insurance activities relating to the renewal of a contract of health insurance;<br />
#Evaluating healthcare provider and plan performance;<br />
#Resolution of internal grievances; and<br />
#Fundraising (see [https://wiki.unmc.edu/index.php?title=Use_and_Disclosure_of_Protected_Health_Information&action=edit#Use.2FDisclosure_of_PHI_for_Marketing Use/Disclosure of PHI for Marketing]).<br />
===Health Information Exchange (HIE)===<br />
The electronic movement of health-related information among organizations according to nationally recognized standards. The goal of a HIE is to facilitate health care providers’ access to and retrieval of clinical data to provide safer, timelier, efficient, effective and equitable patient-centered care. Health Information exchange organizations (HIOs) provide the capability to electronically move information between disparate health care information systems. <br />
===Individual===<br />
The person who is the subject of the PHI. Personal representatives of the Individual have the same rights as the Individual under HIPAA (i.e., they “step into the shoes” of the Individual). Personal representatives include the legal guardian and anyone else authorized by law to act on behalf of the Individual. (See Nebraska Medicine Consents and Permits policy, MS14.)<br />
===Payment===<br />
Activities undertaken by a health care provider or health plan to obtain premiums, to determine or fulfill its responsibility for coverage and provision of benefits under the health plan or to obtain or provide reimbursement for the provision of health care. Some of these types of activities include determinations of eligibility or coverage (including coordination of benefits or the determination of cost sharing amounts), billing, collection activities, claims management, medical necessity determinations, utilization review activities including pre-certification and pre-authorization of services, disclosure to consumer reporting agencies related to collection of premiums or reimbursement and health care data processing related to the above-listed activities. <br />
===Personal Representative ===<br />
A person who, under HIPAA or State law, is empowered to act or exercise rights on behalf of an Individual. (See Nebraska Medicine Consents and Permits policy, MS14.) <br />
===Protected Health Information (PHI)===<br />
Individually identifiable health information including demographic information, collected from an Individual, whether oral or recorded in any medium, that:<br />
*is created or received by UNMC/ACE; and<br />
*relates to the past, present or future physical or mental health or condition of an Individual; the provision of health care to an Individual; or the past, present or future payment for the provision of health care to an Individual and identifies the Individual or with respect to which there is a reasonable basis to believe the information can be used to identify the Individual.<br />
PHI includes genetic information, which includes information about the following items (and excludes information about an Individual’s sex or age):<br />
*an Individual’s genetic tests; <br />
*the genetic tests of an Individual’s family members; or<br />
*the manifestation of a disease or disorder in such Individual’s family members (i.e., family medical history); or<br />
*any request for, or receipt of, genetic services (e.g., genetic test, genetic counseling, genetic education), or participation in clinical research which includes genetic services by the Individual or any family member of the Individual.<br />
PHI excludes:<br />
*individually identifiable health information of a person who has been deceased for more than fifty (50) years.<br />
*education records covered by the Family Educational Rights and Privacy Act (FERPA); and <br />
*employment records held by UNMC in its role as employer.<br />
===Psychotherapy Notes===<br />
Notes recorded (in any medium) by a mental health provider including psychiatrists, psychologists and other mental health professionals documenting or analyzing the contents of a conversation during a private counseling session or group, joint or family counseling session. Psychotherapy notes are kept separate from the rest of the individual’s medical record. Psychotherapy notes exclude medication prescription and monitoring, counseling session start and stop times, the modalities and frequencies of treatment furnished, results of clinical tests and any summary of the following items: diagnosis, functional status, the treatment plan, symptoms, prognosis and progress to date. Psychotherapy notes are not progress notes and are created at the discretion of the mental health care provider. (HIPAA: 45 CFR §164.501) <br />
===Research ===<br />
A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalized knowledge. Generalized knowledge is knowledge that can be applied to populations outside the population served by the ACE. <br />
===Sale of Protected Health Information ===<br />
Disclosure of Protected Health Information by a covered entity or business associate, if applicable, where the covered entity or business associate directly or indirectly receives remuneration from or on behalf of the recipient of the PHI in exchange for the PHI.<br />
===Treatment===<br />
The provision, coordination or management of health care and related services by one or more health care providers including the coordination or management of health care by a health care provider with a third party, consultation between health care providers relating to a patient, or the referral of a patient for health care from one health care provider to another.<br />
===Workforce===<br />
Employees, medical staff, volunteers, trainees and other persons whose conduct, in the performance of work for Nebraska Medicine/UNMC, is under the direct control of Nebraska Medicine/UNMC, whether or not they are paid by Nebraska Medicine/UNMC.<br />
==Additional Information==<br />
*Contact the [mailto:debrbishop@nebraskamed.com Privacy Officer] or the [mailto:privacy@nebraskamed.com Privacy Office] at 402-559-5136 '''is this phone # still correct?'''<br />
*Legal Services department '''UNMC or Nebr med? best contact info ??''' <br />
*Enterprise Applications Executive Director '''need email and/or phone, dept contact info'''<br />
*UNMC Policy No. 6058, [[Notice of Privacy Practices]]<br />
*UNMC Policy No. 6059, [https://wiki.unmc.edu/index.php/Access_to_Designated_Record_Set Access and Amendment of Designated Record Set]<br />
*UNMC Policy No. 6061, [https://wiki.unmc.edu/index.php/Accounting_of_PHI_Disclosures Accounting of Protected Health Information Disclosures]<br />
*UNMC Policy No. 6066, [[Psychotherapy Notes]] If being kept, this should be reviewed and review date noted on policy 6066, even if not changed.'''<br />
*UNMC Policy No. 6303, [[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
*UNMC Policy No. 6304, [[Disclosures of PHI as Permitted or Required by Law]]<br />
*UNMC Policy No. 6305, [[Disclosure of PHI for Law Enforcement Purposes]]<br />
*UNMC Policy No. 8009, [[Contracts]] <br />
*UNMC [https://guides.unmc.edu/books/hrpp-policies-and-procedures Human Research Protection Program (HRPP) Policies and Procedures]<br />
*[https://unmcredcap.unmc.edu/redcap/surveys/?s=94TLJCCAAT Request for Electronic Health Data] Form<br />
*[https://www.nebraskamed.com/patients/rights-responsibilities/notice-privacy-practices Nebraska Medicine/UNMC Notice of Privacy Practices]<br />
*Nebraska Medicine Verification and Authority policy, '''need Nebr Med policy #'''<br />
*Nebraska Medicine Consents and Permits policy, MS14.<br />
*Nebraska Medicine Confidential Address policy, '''need Nebr Med policy #'''<br />
*Nebraska Medicine Private Designation policy, for additional details.) '''need Nebr Med policy #'''<br />
*Nebraska Medicine Contract Management policy, FN18<br />
*Nebraska Medicine Form CON-MR-0074, '''need form name and URL '''<br />
*Nebraska Medicine Form CON-MR-1900, '''need form name and URL '''<br />
*[https://cynchealth.org/privacy-security/ CyncHealth’s Privacy and Information Security Policies and Procedures]<br />
*[http://www.hhs.gov/hipaa/for-professionals/privacy/guidance/disclosures-treatment-payment-health-care-operations/index.html Uses and Disclosures for Treatment, Payment and Health Care Operations]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/hipaa-compliance-policy.pdf University of Nebraska Executive Memorandum No. 27]<br />
*[http://nehii.org/index.php?option=com_docman&Itemid=59 NeHII Privacy and Information Security Policies and Procedures]<br />
*[https://www.cdc.gov/phlp/publications/topic/hipaa.html Health Insurance Portability and Accountability Act of 1996 (HIPAA)]<br />
*[https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final NIST Special Publication 800-53] <br />
*[https://www.cdc.gov/phlp/publications/topic/hipaa.html#security-rule HIPAA Security Rule] <br />
<br />
This page is maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=14081Policies and Procedures2023-07-31T18:18:29Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|06/22/23<br />
|06/22/23<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|04/28/23<br />
|04/28/23<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|07/10/23<br />
|07/10/23<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|07/11/23<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|07/21/23 <br />
|07/21/23<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/21/23<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|06/27/23<br />
|06/27/23<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|07/21/23<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|07/21/23<br />
|07/21/23<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|07/24/23<br />
|07/24/23<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|07/21/23<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|07/21/23<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Recurring/Additional_Payment&diff=14051Recurring/Additional Payment2023-07-26T14:37:58Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No.: '''1017'''<br /><br />
Effective Date: '''06/25/09'''<br /><br />
Revised Date: '''06/22/23'''<br /><br />
Reviewed Date: '''06/22/23'''<br /><br />
<br /><br />
<big>'''Recurring/Additional Payment Policy'''</big><br /><br />
'''Wage Code Types 4601, 0623, 1401 1404, 1420, 1419, 4605, 1410, 1412, 1413, 1010'''<br />
== Purpose == <br />
'''1.1''' To provide guidance regarding appropriate payments to employees outside of their base compensation and associated wage code usage.<br />
== Scope == <br />
'''2.1''' This policy is applicable to all UNMC staff and faculty. <br />
== Basis of the Policy == <br />
'''3.1''' [https://nebraska.edu/-/media/projects/unca/faculty-staff/resources/employee-policy-manual.pdf University of Nebraska Administration Human Resources Handbook for Policies], UNMC Policy No. 1007, [[Compensation Administration]], UNMC Policy No. 3039, [[Supplemental Compensation Plan]], UNMC Policy No. 6102, [[Institutional Base Salary]], Executive Memorandum No. 19, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-overload-assignments.pdf Overload Assignments], annually published UNMC Budget and Salary Increase Guidelines, administrative practices of the University of Nebraska, and the federal Fair Labor Standards Act (FLSA). <br />
== Authorities and Administration == <br />
'''4.1''' Business units are responsible for the funding and approval of payments in accordance with applicable University policy and procedures. Human Resources Compensation and Payroll, Financial Controls and Compliance, the Finance Controller and Academic Affairs are responsible for policy/procedure development and monitoring.<br /><br />
<br />
All payments for wage code types 4601, 0623, 1401 1404, 1420, 1419, 4605, 1410, 1412, 1413, 1010 will be submitted via the Recurring and Additional Payment Authorization Form in ADIS for review by either Human Resources Compensation or Payroll in accordance with the Payroll Schedule for Recurring and Additional Payments (located in [https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment] web page).<br /><br />
<br />
There are various reasons that employees may receive additional compensation above their base wage/salary, either as a one-time payment or on a recurring basis. It is the policy of UNMC to comply with all University of Nebraska guidelines and state/federal laws/regulations regarding the payment of additional compensation to employees that is outside of base wage/salary.<br />
== Policy == <br />
'''5.1''' The correct administration of these payments includes the appropriate SAP coding, documentation, and approval process for each type of payment that is outlined in UNMC Procedures No. 1017, [https://www.unmc.edu/human-resources/_documents/procedures/Procedures1017.pdf Recurring/Additional Payment]. Departments may review information available in [https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment] web page prior to completing a Recurring or Additional Payment Form in ADIS. <br /><br />
<br />
It is imperative that all payments comply with federal regulations regarding nonexempt biweekly paid employees in relation to the FLSA as well as the Cost Accounting Standards on contracts, grants and cooperative agreements involving federal funds found in OMB Circular A-21.<br />
<br />
'''Human Resources Payroll completes data entry in SAP for the following payments:'''<br />
#4601 Awards<br />
#O623 Moving Relocation Allowance<br />
'''Human Resources Records completes data entry in SAP for the following payments:'''<br />
#1401 Additional Compensation<br />
#1404 Overload. Overload assignments for Academic-Administrative should not exceed 20% of base salary without prior approval of the President (except summer teaching/research appointment).<br />
#1420 July 1 In Lieu Payment Stipend (NON-ACADEMIC ONLY)<br />
#1419 New Faculty/Retention Stipend (FACULTY ONLY)<br />
#4605 Honorarium<br />
'''Business Unit/Department completes data entry for the following payments:'''<br />
#1410 Supplemental Compensation Stipend. A fully signed Supplemental Compensation Plan Terms of Employment Agreement covering the payment period(s) must be on file and loaded in ADIS to pay supplemental compensation.<br />
#1412 Summer Instructional<br />
#1413 Summer Research<br />
#1010 Administrative Stipend<br />
<br />
It should be noted that additional payment options are not intended for work assignments that can be considered part of an employee’s regular job duties, or “other duties as assigned.” <br /><br />
<br />
If a position sustains ongoing significant changes in duties due to business necessity that appear to have increased the scope of the position, payments outside of base pay should not be used to compensate an affected employee for the change in duties. The position should be submitted to HR Compensation for review and evaluation.<br /><br />
<br />
For payment processing questions please contact [mailto:hrrecords@unmc.edu Human Resources Records] or [mailto:unmcpayroll@unmc.edu Payroll].<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
==Additional Information==<br />
*Contact [mailto:unmccompensation@unmc.edu HR Compensation]<br />
*[https://nebraska.edu/-/media/projects/unca/faculty-staff/resources/employee-policy-manual.pdf?la=en University of Nebraska Administration Human Resources Handbook for Policies]<br />
*Executive Memorandum No. 19, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-overload-assignments.pdf Overload Assignments]<br />
*UNMC Policy No. 1007, [[Compensation Administration]]<br />
*UNMC Policy No. 3039, [[Supplemental Compensation Plan]]<br />
:*[https://info.unmc.edu/management/finance/fincompliance/policies/SuppCompProcedureUpdate.pdf Supplemental Compensation Plan Procedures]<br />
*UNMC Policy No. 6102, [[Institutional Base Salary]]<br />
*UNMC Procedures No. 1017, [https://www.unmc.edu/human-resources/_documents/procedures/Procedures1017.pdf Recurring/Additional Payment] <br />
*Recurring or Additional Payment Authorization Form, in [https://edge.unmc.edu/adis/ ADIS] for UNMC employees<br />
*[https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/User-Guide-ADIS-Recurring-Additional-Payment-Authorization-Form.pdf User Guide (ADIS) - Recurring Additional Payment Authorization Form]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/WAGE-TYPES-AND-PAYMENT-TYPES.pdf Wage Types and Payment Types]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/payroll-schedules-for-recurring-additional-payments-form.pdf Payroll Schedule for Recurring and Additional Payments]<br />
<br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13960Policies and Procedures2023-06-27T16:35:21Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|04/28/23<br />
|04/28/23<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|06/27/23<br />
|06/27/23<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Conflict_of_Interest&diff=13959Conflict of Interest2023-06-27T16:33:23Z<p>Dpanowic: Updated</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
Policy No.: '''8010'''<br /><br />
Effective Date: '''09/04/07'''<br /><br />
Revised Date: '''06/27/23 '''<br /><br />
Reviewed Date: '''06/27/23'''<br />
<br /><br /><br />
<big>'''Conflict of Interest Policy'''</big> <br />
== Basis for Policy ==<br />
Statutes, regulations, University policies and accreditation standards related to conflict of interest identification and management are: <br />
#"Responsibility of Applicants for Promoting Objectivity in Research for which Public Health Service Funding is Sought and Responsible Prospective Contractors" regulations at 42 CFR Part 50 and 45 CFR Part 94 <br />
#"Financial Disclosure by Clinical Investigators" Food & Drug Administration regulations at 21 CFR Part 54 <br />
#Nebraska Conflict of Interest Statute at Neb. Rev. Stat. §49-1493 et. seq. <br />
#Bylaws of the Board of Regents of the University of Nebraska Sections 3.10, 3.4.5 and 3.8 <br />
#Board of Regents Conflict of Interest Policy, RP-3.2.8 <br />
#Board of Regents Patent & Technology Policy, RP-4.4.2 <br />
#UNMC Human Research Protections Policy #1.25, "[https://net.unmc.edu/rss/ Financial Conflicts of Interest]" <br />
#UNMC Policy No. 1049, [[Outside Employment]] <br />
#UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
#[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/disclosure-of-conflicts-of-interest-and-conflicts-of-commitment.pdf Executive Memorandum No. 36, Disclosure of Conflicts of Interest and Conflicts of Commitment]<br />
== Policy ==<br />
Potential conflicts of interest arise in a variety of circumstances in the academic health sciences center environment when an individual's private financial interests either conflict with or create the appearance of conflicting with UNMC's public interests. This policy applies to potential conflict of interest arising in any UNMC activity, including but not limited to research, teaching, patient care, outreach to underserved populations and the associated business activities in support of them. Covered Persons shall disclose all financial interests related to their University of Nebraska responsibilities so that an analysis of potential conflict of interest may be conducted. When a conflict of interest is identified, the conflict will either be managed or eliminated to reduce the appearance of bias and maintain responsible stewardship of public resources. This policy shall be publicly posted in the UNMC [[Policies and Procedures]] manual on the UNMC internet site. <br />
== Definitions ==<br />
'''Covered Person''' under Regents Policy 3.2.8 shall mean: <br />
#University administrative officers and employees, specifically including any University employees with delegated signature, purchasing or contracting authority on behalf of the university; <br />
#University employees and faculty engaged in outside employment or other activities specified in this policy (tech transfer/use of University facilities or equipment) that may create a Conflict of Interest; and <br />
#Sponsored research investigators who participate in sponsored research; and non-sponsored research investigators participating in human subjects or animal subjects research. <br />
'''Investigator''' under PHS regulations shall mean the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct or reporting of research which may include graduate students, post-docs, residents, collaborators or consultants. <br />
'''Conflict of Interest (COI)''' under Regents Policy 3.2.8 shall mean situations when a Covered Person's direct or indirect personal financial interest, (whether or not the value is readily ascertainable) may compromise, or have the appearance of compromising, the Covered Person's professional judgment or behavior in carrying out their obligations to the University of Nebraska. This includes indirect personal financial interests of a Covered Person that may be obtained through third parties such as a Covered Person's immediate family, business relationships, fiduciary relationships, or investments.<br /><br />
<br />
'''De minimus''' means any remuneration received as payment for services and/or equity interests of $499 or less is not required to be disclosed. Any remuneration received for services and/or equity interests of $500 or greater is required to be disclosed. <br /><br />
<br />
'''Equity''' includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value. <br /><br />
<br />
'''Financial Conflict of Interest (FCOI)''' under PHS regulations means a Significant Financial Interest that the COI Officer or COI committee reasonably determines could directly and significantly affect the design, conduct or reporting of research. <br /><br />
<br />
'''Immediate Family''' under Regents Policy 3.2.8 shall mean an individual who is a spouse, child, brother, sister, grandchild, or grandparent, by blood, marriage, or adoption of the Covered Person. <br /><br />
<br />
'''Institutional Conflict of Interest (ICOI)''' may occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a University research project, including potential conflicts with equity/ownership interests or royalty arrangements. <br /><br />
<br />
'''Institutional Responsibilities''' means professional responsibilities on behalf of the University of Nebraska which may include activities such as professional service including patient care, teaching, research & research consultation, outreach, administrative, institutional committee membership including service on panels such as the Institutional Review Board or Data and Safety Monitoring Boards, and other duties as specified in the Covered Person's job description and/or employment agreement. <br /><br />
<br />
'''Remuneration''' includes salary and any payment for services not otherwise identified as salary including but not limited to consulting fees, honoraria, and paid authorship. <br /><br />
<br />
'''Senior/Key Personnel''' means the Project Director (PD)/Principal Investigator (PI) and any other person identified as senior/key personnel in the UNMC grant application, progress report, or any other report submitted to the PHS by UNMC. <br /><br />
<br />
'''Significant Financial Interest''' means a financial interest of the Investigator or their Immediate Family Member that reasonably appears to be related to the Investigator's Institutional Responsibilities, and: <br />
#If with a publicly traded entity, the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of the disclosure, when aggregated, exceeds $5,000; <br />
#If with a non-publicly traded entity, the value of any remuneration received exceeds $5,000 or when a research Investigator or Immediate Family holds any equity interest; <br />
#Intellectual property rights and interests upon receipt of income related to such rights and interests, excluding income paid by the University of Nebraska;<br />
#For PHS-funded research investigators, includes reimbursed or sponsored travel, excluding travel that is reimbursed or sponsored by a Federal, state, or local government agency, an Institution of higher education, an academic teaching hospital, a medical center, or a research institute affiliated with an Institution of higher education. <br />
==Conflict of Interest Management Roles and Responsibilities ==<br />
===COI Officer===<br />
The UNMC Conflict of Interest Officer shall be responsible for implementing the UNMC COI management program. The COI management program shall also include review and approval of the "Application for Authorization to Engage in Outside Professional Activity" forms as delegated by the Chancellor with associated management of conflict of commitment under Regents Policy 3.8. and UNMC Policy 1049, [[Outside Employment]]. The COI Officer shall: <br />
#Ensure UNMC policy meets Board of Regents policy and state and federal regulatory requirements; <br />
#Implement annual disclosure requirements for Covered Persons and monitor to ensure compliance. The UNMC electronic Annual Disclosure of Financial Interest form is incorporated into this policy by reference. The Annual Disclosure of Interest and Application for Authorization to Engage in Outside Professional Activity forms are located at: https://unmc.coi-smart.com . <br />
#Coordinate identified conflict of interest matters with Sponsored Programs Administration, UNeMED, the Institutional Review Board (IRB), the Institutional Animal Care and Use (IACUC) committee, the Vice Chancellor for Business, Finance and Business Development (for business COI), and the Continuing Medical and Nursing Education offices as relevant. Whenever a potential COI involving activities with another University of Nebraska campus or university affiliated entity is disclosed or identified, notify the other campus or university affiliated entity COI contact and collaboratively review and manage the potential COI.<br />
#'''COI Education.''' Provide COI education to Covered Persons at time of hire, and every four (4) years thereafter, and immediate re-education when there are policy changes or when investigators fail to comply with the COI policy. For investigators conducting Public Health Service (PHS) sponsored research, education shall be completed prior to the expenditure of any PHS funds. <br />
#When Covered Persons have significant financial interests related to their institutional responsibilities, present information to the COI committee for potential COI management plan creation. <br />
#'''Report FCOI to PHS'''. When the COI committee has implemented a COI management plan for PHS-funded research, update the PHS e-Commons with the FCOI report provided by the COI committee. Provide initial, annual and revised FCOI reports, if applicable for both UNMC and its subrecipients. Revised FCOI reports shall be submitted within 60 days of identification for new Investigators added to a grant, or newly identified FCOIs for existing investigators. The FCOI report shall contain the following elements: <br />
##The role and principal duties of the conflicted Investigator in the research project; <br />
##Conditions of the management plan; <br />
##How the management plan is designed to safeguard objectivity in the research project; <br />
##Confirmation of the Investigator's agreement to the management plan; <br />
##How the management plan will be monitored to ensure Investigator compliance; and <br />
##Other information as needed. <br />
#'''Conduct retrospective review.''' If UNMC identifies a significant financial interest that was not disclosed by a research Investigator in a timely manner, or was not reviewed by UNMC, the COI officer shall, within sixty (60) days: review the significant financial interest and determine whether it is related to PHS-funded research. The COI committee shall determine whether a financial conflict of interest exists, and, if so, implement an interim COI management plan. Within 120 days, the COI committee shall complete a documented retrospective review of the research Investigator's activities and the PHS-funded research project to determine whether any PHS-funded research conducted during the period of non-compliance was biased in the design, conduct or reporting of such research. The documented review shall contain all of the elements required by the PHS regulations. <br />
#'''Reporting Bias & Mitigation Report.''' If bias is found with the design, conduct or reporting of PHS-funded research, the COI Officer shall notify the PHS awarding component promptly and submit a Mitigation Report containing the retrospective review information and a description of the impact of the bias on the research project and UNMC's plan of action taken to eliminate or mitigate the effect of the bias. <br />
#If the research is clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment, the COI committee shall require the Investigator to disclose the FCOI in each public presentation of the results of the research, and request an addendum to previously published presentations, in addition to any applicable disclosure listed below in Disclosure of Financial Interest. <br />
#'''Public Disclosure.''' Disclose Financial Conflicts of Interest (FCOI) of senior/key personnel involved in Public Health Service funded research only as determined by the COI Committee in response to public requests within five (5) business days of the request as required by PHS regulations. These requests shall be coordinated with the University of Nebraska Records Management Officer. <br />
#'''Board of Regents Annual Report.''' Submit the annual Conflict of Interest and Outside Activities report to the University of Nebraska Director of Internal Audit and Advisory Services for review by the Board of Regents Audit Committee. <br />
===Covered Persons===<br />
#'''Annual Disclosure of Financial Interest.''' Individuals covered under this COI policy shall complete a UNMC Annual Disclosure of Financial Interest Questionnaire through the UNMC electronic e-Disclosure system annually. Covered Persons shall receive an e-mail notification from the Compliance Department to complete the form. The UNMC Disclosure of Financial Interest form contains all elements required under Board of Regents policy and federal regulations (including PHS regulations) and is incorporated into this policy by reference. The electronic system may be accessed at: https://unmc.coi-smart.com. Individuals shall disclose all financial interests related to their University of Nebraska (institutional) responsibilities. <br />
#'''Research Investigators''' shall review and update their Annual Disclosure of Financial Interest when sponsored grants and contracts are submitted, including PHS-funded research. Investigators shall update their Annual Disclosure of Financial Interest form within thirty (30) days of discovering or acquiring a Significant Financial Interest and on an annual basis thereafter during the period of the award. <br />
#'''Education.''' Covered Persons shall complete education on Board of Regents COI policy, UNMC COI policy, and PHS COI regulations, and their disclosure responsibilities prior to initially completing the Annual UNMC Disclosure of Financial Interest, and every four (4) years thereafter. Covered Persons shall not spend any PHS research funds until education has been completed. <br />
#'''Disclosure of Financial Interest.''' Covered Persons who are research Investigators shall disclose the nature of all financial interests related to their research (e.g. consulting advisory board, intellectual property) in all publications and presentations and to all UNMC personnel involved in the research project, including students. In human subjects research, Investigators shall disclose their financial interests related to the research in the informed consent, as required by UNMC HRPP Policy 1.22. <br />
#'''Appeal Rights.''' Covered Persons may appeal adverse decisions made under this policy to the Senior Vice Chancellor for Academic Affairs. The appeal shall be in writing and contain a description of the adverse decision, justification for why the decision should be changed, and the change desired. The appeal request shall be submitted to the COI Officer. The VCAA shall respond in writing to the Covered Person with their decision within thirty (30) days of receipt. The VCAA's decision is final. <br />
===COI Committee===<br />
The UNMC COI Committee composition and operating procedures are contained in Appendix A. The COI Officer shall be a member of the COI committee and shall provide administrative support for the committee. The COI committee shall: <br />
#Provide oversight over the UNMC COI program, advise the COI officer, and provide guidance on UNMC COI policy matters. <br />
#Review Significant Financial Interests. Review Disclosures of Financial Interest in the amount of $5,000 and above for research Investigators and determine if these Significant Financial Interests are related to the research, and, if so related, whether the Significant Financial Interest constitutes a Financial Conflict of Interest. A Significant Financial Interest is a Financial Conflict of Interest if it could directly and significantly affect the design, conduct, or reporting of research, including PHS-funded research. <br />
#Create COI Management Plans for Financial Conflicts of Interest. <br />
#Conduct retrospective reviews of newly identified Significant Financial Interests as described in Conduct Retrospective Review above. <br />
#Review COI Policy violations and recommend sanctions, if appropriate, to the Senior Vice Chancellor for Academic Affairs and to the appropriate UNMC administrator responsible for supervision of the individual(s) violating the policy.<br />
===Sponsored Programs Administration===<br />
Sponsored Programs Administration shall: <br />
#Notify all research Investigators submitting sponsored grant/contract proposals to review their Annual Disclosure of Financial Interest form and update the information as needed. <br />
#Coordinate with the COI Officer when Investigators disclose significant financial interests related to the sponsored project to determine if a COI management plan is required. <br />
'''Subrecipients.''' Include provisions in PHS-funded subrecipient agreements that: <br />
#the subrecipient certifies that its FCOI policy complies with PHS regulations or that the subrecipient will follow the UNMC COI policy; and <br />
#the subrecipient shall report identified FCOIs for its Investigators in a timely manner so UNMC can report identified FCOIs to the PHS in the time frames in '''Report FCOI to PHS''' and '''Conduct retrospective review''' above.<br />
<br />
===Vice Chancellor for Business, Finance and Business Development===<br />
The Vice Chancellor for Business, Finance and Business Development shall manage business conflict of interest by reviewing all Annual Disclosure of Financial Interest questionnaires completed by Covered Persons with contract signature authority under Executive Memorandum 13 and 14; Covered Persons with purchasing authority; Covered Persons who identify family member(s) with a financial interest with the University of Nebraska; and any other potential business-related financial interest identified by the COI Officer through the annual COI disclosure process or by any other person at UNMC. Business COI management plans shall be created to minimize the appearance of bias in decision-making and ensure state and federal regulations and University of Nebraska business-related policies are followed. Business COI management plans shall be reported through the UNMC COI committee and reported on the Annual COI report to the Board of Regents Audit committee. <br /><br />
<br />
No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award or non-federal entity if they have a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of their immediate family, their partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract.<br />
===Institutional Review Board (IRB)===<br />
The IRB shall require all Covered Persons listed on the IRB application who have a financial interest to update their Annual Disclosure of Financial Interest form pursuant to UNMC HRPP Policy 1.22. The IRB shall review and approve proposed COI management plans as described in HRPP Policy 1.22. <br />
===UNeMED===<br />
The President of UNeMED or designee shall coordinate with the COI officer on UNeMED activities where it appears that a Covered Person's or UNMC's financial interest may be a potential individual or institutional conflict of interest, including intellectual property interests and equity interests involving technology transfer companies. <br />
===Continuing Education Offices===<br />
UNMC is accredited by the Accreditation Council for Continuing Medical Education (ACCME). The Continuing Medical Education (CME) office shall review disclosures of financial interest for UNMC employees who are serving as course directors, faculty or peer reviewers for UNMC CME courses, as required by the ACCME Standards for Commercial Support.<br />
<br />
==Institutional Conflict of Interest Management ==<br />
In order to avoid real or perceived favoritism in relationships with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person who has knowledge of potential Institutional COI shall report the information to the COI Officer. Potential Institutional COI may be identified through the Annual Disclosure of Financial Interest questionnaire for senior administrative personnel. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and propose a management plan for Chancellor approval if appropriate. It is important to note that PHS COI regulations do not cover institutional conflict of interest. <br />
==Records Retention==<br />
All Disclosure of Financial Interest information, COI management plans and all Public Health Service-funded Financial Conflict of Interest-related records shall be retained for the fiscal year in which the grant or contract is closed plus seven (7) years as required by Board of Regents Records Retention Schedule 170-8, "Sponsored Projects (Grants)". No destruction of records shall take place if there is a Preservation Hold in effect, or if any litigation, claim, negotiation, audit or other actions involving the records have been started before the expiration of the retention period. The records must be retained until completion of the action and resolution of all issues which arise from it, or the seven year retention period, whichever is later, as required under 45 CFR 74.53 and 92.42. <br />
==Public Accessibility of PHS-funded Senior/Key Personnel FCOI ==<br />
Upon request, the COI Officer shall make available to the public information concerning identified FCOIs held by Senior/Key personnel receiving PHS research funding as required by PHS regulations. Information shall be provided in writing within five (5) business days of the request. The COI officer shall coordinate these public requests with the University of Nebraska Records Management Officer. All other financial interest disclosure information and conflict of interest determinations shall remain confidential and may be withheld from the public as permitted under Neb. Rev. Stat. 84-712.05, "Records which may be withheld from the public; enumerated." <br />
==Sanctions ==<br />
Covered Persons who violate this policy may receive corrective action under UNMC Policy No. 1098, [[Corrective/Disciplinary Action|Corrective and Disciplinary Action Policy]]. The COI Committee may also recommend other corrective action such as additional training, or for serious violations, recommend that research funding be withheld or recommend other appropriate sanctions to maintain the integrity of the research. The Senior Vice Chancellor for Academic Affairs shall review and approve all proposed sanctions. The sanctions shall be coordinated with the respective Dean, Director or Vice Chancellor for enforcement. <br />
== Policy 8010 Appendix A ==<br />
===Conflict of Interest Committee (COIC) Governance===<br />
<br />
'''COI Committee Composition.''' The COI Committee shall have at least 16 members representing the following areas: <br /><br />
<br />
{| class="wikitable" border="1"<br />
|-<br />
| Associate VC, Academic Affairs <br />
| Compliance Officer<br />
|-<br />
| College of Allied Health Professions<br />
| Sponsored Programs Administration<br />
|-<br />
| College of Medicine<br />
| Associate General Counsel<br />
|-<br />
| College of Dentistry<br />
| Business and Finance<br />
|-<br />
| College of Pharmacy<br />
| Vice Chancellor for Research<br />
|-<br />
| College of Nursing<br />
| Research Compliance (Institutional Review Board)<br />
|-<br />
| College of Public Health<br />
| Continuing Education<br />
|-<br />
| Eppley Cancer Center<br />
| Community Member<br />
|-<br />
|}<br />
===Membership Term===<br />
COI Committee members shall serve for a term of three years, which may be automatically renewed upon mutual agreement of the member and the Chancellor or their designee. New members shall be nominated by the department/unit and approved by the Senior Vice Chancellor for Academic Affairs or their designee. The Chancellor or their designee shall appoint a faculty chair of the COI Committee. The Senior Vice Chancellor for Academic Affairs or their designee shall select the community member. The Chancellor or their designee can appoint additional voting and non-voting members.<br />
===Quorum=== <br />
A quorum is required for meetings to be conducted. More than half of the membership present will constitute a quorum.<br />
===Voting=== <br />
All committee members are eligible to vote. No regular motion shall pass unless a majority of the COI Committee members present vote in favor of the motion.<br />
===COIC Member Conflicts===<br />
If a COIC member has a conflict of interest with a specific matter being discussed, the member shall declare that they have a potential conflict and shall not vote on the matter. Such conflicts may arise when:<br />
#the member is participating in the research under review;<br />
#the member has a financial relationship with a research sponsor under review; or <br />
#the member has a personal relationship or conflict with the individual under review that could potentially cause the member to be perceived as less than objective in their review.<br />
'''Committee Review by Telephone/Electronically'''. While face-to-face and/or Zoom meetings will normally be held, committee review of potential conflicts may be conducted by telephone or electronically at the discretion of the COI Committee chair.<br />
===Meeting Minutes===<br />
The Associate Director Campus Compliance or their designee shall prepare meeting minutes and present them for approval at the next scheduled COI Committee meeting. <br />
== Additional Information ==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*Business [[Conflict_of_Interest_Procedures|Conflict of Interest Procedures]]<br />
*[[Research Conflict of Interest Procedures]]<br />
*UNMC Policy No. 1049, [[Outside Employment]] <br />
*UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activity]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*UNMC [https://www.unmc.edu/academicaffairs/_documents/compliance/Statement_of_Understanding.pdf Statement of Understanding] Training Information document <br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/disclosure-of-conflicts-of-interest-and-conflicts-of-commitment.pdf Executive Memorandum No. 36, Disclosure of Conflicts of Interest and Conflicts of Commitment]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Recurring/Additional_Payment&diff=13936Recurring/Additional Payment2023-06-22T14:09:51Z<p>Dpanowic: Remove reference to Outstanding Performance Stipend</p>
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<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
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</table><br />
<br><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No.: '''1017'''<br /><br />
Effective Date: '''06/25/09'''<br /><br />
Revised Date: '''06/22/23'''<br /><br />
Reviewed Date: '''06/22/231'''<br /><br />
<br /><br />
<big>'''Recurring/Additional Payment Policy'''</big><br /><br />
'''Wage Code Types 4601, 0623, 1401 1404, 1420, 1419, 4605, 1410, 1412, 1413, 1010'''<br />
== Purpose == <br />
'''1.1''' To provide guidance regarding appropriate payments to employees outside of their base compensation and associated wage code usage.<br />
== Scope == <br />
'''2.1''' This policy is applicable to all UNMC staff and faculty. <br />
== Basis of the Policy == <br />
'''3.1''' [https://nebraska.edu/-/media/projects/unca/faculty-staff/resources/employee-policy-manual.pdf University of Nebraska Administration Human Resources Handbook for Policies], UNMC Policy No. 1007, [[Compensation Administration]], UNMC Policy No. 3039, [[Supplemental Compensation Plan]], UNMC Policy No. 6102, [[Institutional Base Salary]], Executive Memorandum No. 19, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-overload-assignments.pdf Overload Assignments], annually published UNMC Budget and Salary Increase Guidelines, administrative practices of the University of Nebraska, and the federal Fair Labor Standards Act (FLSA). <br />
== Authorities and Administration == <br />
'''4.1''' Business units are responsible for the funding and approval of payments in accordance with applicable University policy and procedures. Human Resources Compensation and Payroll, Financial Controls and Compliance, the Finance Controller and Academic Affairs are responsible for policy/procedure development and monitoring.<br /><br />
<br />
All payments for wage code types 4601, 0623, 1401 1404, 1420, 1419, 4605, 1410, 1412, 1413, 1010 will be submitted via the Recurring and Additional Payment Authorization Form in ADIS for review by either Human Resources Compensation or Payroll in accordance with the Payroll Schedule for Recurring and Additional Payments (located in [https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment] web page).<br /><br />
<br />
There are various reasons that employees may receive additional compensation above their base wage/salary, either as a one-time payment or on a recurring basis. It is the policy of UNMC to comply with all University of Nebraska guidelines and state/federal laws/regulations regarding the payment of additional compensation to employees that is outside of base wage/salary.<br />
== Policy == <br />
'''5.1''' The correct administration of these payments includes the appropriate SAP coding, documentation, and approval process for each type of payment that is outlined in UNMC Procedures No. 1017, [https://www.unmc.edu/human-resources/_documents/procedures/Procedures1017.pdf Recurring/Additional Payment]. Departments may review information available in [https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment] web page prior to completing a Recurring or Additional Payment Form in ADIS. <br /><br />
<br />
It is imperative that all payments comply with federal regulations regarding nonexempt biweekly paid employees in relation to the FLSA as well as the Cost Accounting Standards on contracts, grants and cooperative agreements involving federal funds found in OMB Circular A-21.<br />
<br />
'''Human Resources Payroll completes data entry in SAP for the following payments:'''<br />
#4601 Awards<br />
#O623 Moving Relocation Allowance<br />
'''Human Resources Records completes data entry in SAP for the following payments:'''<br />
#1401 Additional Compensation<br />
#1404 Overload. Overload assignments for Academic-Administrative should not exceed 20% of base salary without prior approval of the President (except summer teaching/research appointment).<br />
#1420 July 1 In Lieu Payment Stipend (NON-ACADEMIC ONLY)<br />
#1419 New Faculty/Retention Stipend (FACULTY ONLY)<br />
#4605 Honorarium<br />
'''Business Unit/Department completes data entry for the following payments:'''<br />
#1410 Supplemental Compensation Stipend. A fully signed Supplemental Compensation Plan Terms of Employment Agreement covering the payment period(s) must be on file and loaded in ADIS to pay supplemental compensation.<br />
#1412 Summer Instructional<br />
#1413 Summer Research<br />
#1010 Administrative Stipend<br />
<br />
It should be noted that additional payment options are not intended for work assignments that can be considered part of an employee’s regular job duties, or “other duties as assigned.” <br /><br />
<br />
If a position sustains ongoing significant changes in duties due to business necessity that appear to have increased the scope of the position, payments outside of base pay should not be used to compensate an affected employee for the change in duties. The position should be submitted to HR Compensation for review and evaluation.<br /><br />
<br />
For payment processing questions please contact [mailto:hrrecords@unmc.edu Human Resources Records] or [mailto:unmcpayroll@unmc.edu Payroll].<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
==Additional Information==<br />
*Contact [mailto:unmccompensation@unmc.edu HR Compensation]<br />
*[https://nebraska.edu/-/media/projects/unca/faculty-staff/resources/employee-policy-manual.pdf?la=en University of Nebraska Administration Human Resources Handbook for Policies]<br />
*Executive Memorandum No. 19, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-overload-assignments.pdf Overload Assignments]<br />
*UNMC Policy No. 1007, [[Compensation Administration]]<br />
*UNMC Policy No. 3039, [[Supplemental Compensation Plan]]<br />
:*[https://info.unmc.edu/management/finance/fincompliance/policies/SuppCompProcedureUpdate.pdf Supplemental Compensation Plan Procedures]<br />
*UNMC Policy No. 6102, [[Institutional Base Salary]]<br />
*UNMC Procedures No. 1017, [https://www.unmc.edu/human-resources/_documents/procedures/Procedures1017.pdf Recurring/Additional Payment] <br />
*Recurring or Additional Payment Authorization Form, in [https://edge.unmc.edu/adis/ ADIS] for UNMC employees<br />
*[https://info.unmc.edu/wiki/index.php/NU_Values_-_Recurring-Additional_Payment NU Values - Recurring-Additional Payment]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/User-Guide-ADIS-Recurring-Additional-Payment-Authorization-Form.pdf User Guide (ADIS) - Recurring Additional Payment Authorization Form]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/WAGE-TYPES-AND-PAYMENT-TYPES.pdf Wage Types and Payment Types]<br />
*[https://www.unmc.edu/human-resources/_documents/nu-values/payroll-schedules-for-recurring-additional-payments-form.pdf Payroll Schedule for Recurring and Additional Payments]<br />
<br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Outside_Employment&diff=13840Outside Employment2023-05-25T14:35:48Z<p>Dpanowic: </p>
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<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf NU Alternate Work Site Policy] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity]<br /><br /> <br />
Policy No.: '''1049'''<br /><br />
Effective Date: '''11/01/06'''<br /><br />
Revised Date: '''07/26/21'''<br /><br />
Reviewed Date: '''03/10/23'''<br /><br />
<br /> <br />
<big>'''Outside Employment Policy'''</big><br />
== Basis for Policy == <br />
The [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf University of Nebraska Board of Regents Policies] (pages RP-95, 98-100) and the <br />
[https://nebraska.edu/docs/legal/GCGuidanceOutsideEmployment-3-4-5.pdf University of Nebraska Board of Regents Bylaws 3.4.5] require that:<br />
<br />
:Staff members employed on a part-time basis by the University, such as practicing lawyers or physicians, may engage in outside employment or activities unless it is expressly stipulated to the contrary in the conditions of employment. <br /><br />
<br />
:Staff members employed by the University, other than those covered in the preceding paragraph, shall be encouraged to engage in professional activities outside the University as a means of contributing to the economic growth and development of the state as well as broadening their experience and keeping them abreast of the latest developments in their specialized fields; provided such activities do not interfere with their regular duties at the University, or represent a conflict of interest. Staff members may accept temporary or occasional employment for such professional services when such employment is approved by the dean of the college or director of the institute involved and approved by the Chancellor. <br />
== Policy == <br />
#The University of Nebraska Medical Center (UNMC) declares and affirms a policy that encourages employees to engage in professional activities outside UNMC as a means of broadening their experience and keeping them abreast of the latest developments in their specialized fields. Employees may be employed by other external organizations or at other institutions provided such activities do not interfere with their regular duties at UNMC or create a conflict of interest (see UNMC Policy No. 8010, [[Conflict of Interest]]). <br />
#UNMC must be considered the employee’s primary employer. While the Outside Employment policy is not intended to restrict an employee’s personal rights, UNMC employment will take precedence in all matters involving work issues. Outside employment will not be considered a valid reason for absenteeism, tardiness, or poor job performance.<br />
#Full-time academic and administrative and managerial professional staff shall complete an Application for Authorization to Engage in Outside Professional Activity Form prior to engaging in outside professional employment. The Application for Authorization to Engage in Outside Professional Activity Form shall be submitted for no greater than a 12 month period. If an applicant is still actively participating in the submitted activity after the approved 12 month period, a new Application for Authorization to Engage in Outside Professional Activity Form shall be submitted via COI Smart. Part-time academic and administrative and managerial staff are not required to complete the form. Log on to COI-Smart at https://unmc.coi-smart.com/ utilizing your campus credentials to access the electronic Application for Authorization to Engage in Outside Professional Activity Form. Outside employment approval is not required for United States-based institutions of higher education, academic medical centers or governmental agencies.<br />
#The Application shall be reviewed by supervisory personnel. Vice Chancellors, deans, directors, and department chairs have primary responsibility for reviewing the specific nature of each proposed outside professional activity within their respective areas of responsibility. They may deny approval for any activity that would interfere with normal UNMC duties.<br />
#Applications shall be forwarded to the Chancellor for final campus review. Applications requiring Board of Regents approval will be forwarded to Central Administration. <br />
#Once final approval has been received, the Compliance Department shall retain the original form and provide copies to the department head and the applicant.<br />
==Additional Information==<br />
*Compliance Department, 402-559-3784<br />
*[mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activity] Form<br />
<br /> <br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].<br /></div>Dpanowichttps://wiki.unmc.edu/index.php?title=Fitness_for_Duty&diff=13838Fitness for Duty2023-05-18T16:52:50Z<p>Dpanowic: </p>
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<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
<br />
Policy No. '''1106'''<br /><br />
Effective Date: '''01/05/12''' <br /><br />
Revised Date: '''11/03/15'''<br /><br />
Reviewed Date: '''12/10/13''' <br /><br /><br />
<big>'''Fitness for Duty Policy'''</big><br />
<br />
== Purpose ==<br />
'''1.1''' To protect the employee and the campus community by requiring medical certification of fitness for duty when an employee is absent from work due to a medical condition.<br /><br /> <br />
'''1.2''' To provide managers and supervisors with guidance and practical steps for evaluating an employee's fitness for duty when an employee is: <br />
#Having observable difficulty performing work duties safely for him/herself, others, and/or properly as determined by the supervisor;<br />
#Posing an imminent and serious safety threat to self or others; or <br />
#Being hired into a safety/health-sensitive, security-sensitive or health care position. <br />
== Scope == <br />
'''2.1''' The fitness for duty policy applies to all University employees. <br />
== Basis of the Policy == <br />
'''3.1''' The University of Nebraska Medical Center is committed to providing a safe workplace and to protecting the health and safety of students, faculty and staff, visitors and University property. In order to provide a safe working environment, employees must be able to perform their job duties in a safe, secure, productive, and effective manner, and remain able to do so throughout the entire time they are working. Employees who are not fit for duty may present a safety hazard to themselves, to others, and to property. <br />
== Authorities and Administration == <br />
'''4.1''' The UNMC Human Resources' Division Director of Employee Relations is responsible for the administration, implementation, and maintenance of the fitness for duty policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance Executive Director of Human Resources and the Vice Chancellor for Business and Finance. <br />
== Policy == <br />
'''5.1''' Employees' Responsibilities:<br />
#Reporting to work fit for duty and remaining fit for duty the entire time working.<br />
#Notifying the manager/supervisor when they are not fit for duty.<br />
#Notifying the manager/supervisor when they observe a coworker who may be unfit for duty. If the supervisor's behavior is the focus of concern, an employee may inform the upper level manager or Human Resources - Employee Relations at 402-559-7394 or 402-559-8534. <br />
#Prospective employees being considered for a safety/health-sensitive, security-sensitive or health care position must be able to pass a pre-employment fitness for duty test/physical test. A prospective employee who tests positive for the presence of drugs in the initial screening or otherwise fails the fitness for duty test shall have the offer of employment rescinded.<br />
#Employees must be able to pass a for cause drug test. Failure to do so will result in corrective and disciplinary action. Refusal to take a for cause drug test may result in corrective and disciplinary action up to and including separation.<br />
#Any drug testing performed under this section will be performed in compliance with state and federal law.<br />
#Employees returning from a medical leave (sick leave of five days or more) are required to provide a medical provider's certification that they are fit to return to work. Human Resources - Employee Relations will notify employee that medical certification is required. If medical certification is not submitted employee's return to work may be delayed until certification is submitted. Other appropriate disciplinary action may be taken.<br />
'''5.2''' Managers/Supervisors' Responsibilities:<br />
#Observing and documenting the attendance, performance, and behavior of the employees they supervise. <br />
#Following policy and procedures when presented with circumstances or knowledge that indicates that an employee may be unfit for duty. <br />
#Utilizing these procedures in a fair and consistent manner, respecting the employee's privacy and the confidentiality of medical information as defined in Neb. Statute 48-1906.<br />
#Coordinating with Human Resources - Employee Relations when employee is returning from medical leave.<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
== Additional Information ==<br />
*Contact Human Resources - Employee Relations at 402-559-7394 or 402-559-8534. <br />
*UNMC Policy No. 1003, [[Drug Free Campus]]<br />
*UNMC Policy No. 1098, [[Corrective/Disciplinary_Action|Corrective and Disciplinary Action]]<br />
*UNMC Procedures No. 1003, [http://www.unmc.edu/hr/Proc/Procedures1003.pdf Drug Free Campus]<br />
*UNMC Procedures No. 1098, [http://www.unmc.edu/hr/Proc/Procedures1098.pdf Corrective and Disciplinary Action]<br />
*UNMC Procedures No. 1106, [http://www.unmc.edu/hr/Proc/Procedures1106.pdf Fitness for Duty]<br />
*[https://www.unmc.edu/human-resources/_documents/forms/emp-rel/corrective_and_disciplinary_action_form.doc Corrective and Disciplinary Action Form]<br />
*[https://wiki.unmc.edu/index.php/HR_-_Employee_Relations_Forms Fitness for Duty Certification Template]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Employee_Grievance_Process&diff=13837Employee Grievance Process2023-05-18T16:21:30Z<p>Dpanowic: </p>
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<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No: '''1020'''<br /><br />
Effective Date: '''11/22/06'''<br /><br />
Revised Date: '''10/01/18'''<br /><br />
Reviewed Date: '''10/01/18'''<br />
<br /><br /><br />
<big>'''Employee Grievance Process Policy'''</big><br />
==Purpose==<br />
'''1.1''' The University of Nebraska Medical Center (UNMC) is committed to preserving and improving cooperative and effective work relationships among all UNMC employees. It is the intent of the University of Nebraska Medical Center to resolve employee concerns, complaints, and grievances at the lowest level possible and in a manner that allows all perspectives to be heard. The UNMC grievance process provides an opportunity to review certain employment and civil rights matters.<br />
==Scope==<br />
'''2.1''' All regular office-service staff, all regular managerial-professional staff, and such academic-administrative staff and other academic staff for whom access to established academic grievance procedures is not available (any of whom are referred to herein as a "Employee"), are eligible to access the process described in this policy. Employees who have not successfully completed their six (6) month post-hire probationary period are not eligible to access the grievance process.<br />
==Basis of the Policy==<br />
'''3.1''' UNMC complies with Board of Regents policy (section 3.3.4) in establishing a grievance process for non-academic employees. <br />
==Authorities and Administration==<br />
'''4.1''' The Associate Director of Human Resources - Employee Relations is responsible for the administration, implementation, and maintenance of the Employee Grievance Process Policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance Executive Director of Human Resources and the Vice Chancellor for Business and Finance.<br />
==Policy==<br />
===Employment Actions Which May Be Grieved===<br />
A grievance must be based upon a difference arising between the Employee and UNMC about interpretation or application of written UNMC policies, rules or procedures relating to terms and conditions of the Employee's employment. The following employment actions may be grieved under the UNMC process:<br />
*Application of written UNMC policies, rules, or procedures relating to terms and conditions of employment;<br />
*Corrective/disciplinary action notice of work product deficiency or of inappropriate workplace behaviors; <br />
*Suspension without Pay; <br />
*Termination for Cause; <br />
*Equal Employment Opportunity Issues.<br />
''Please Note: Any employee who believes he or she is being discriminated against in full or in part because of his or her race, color, ethnicity, national origin, sex, pregnancy, sexual orientation, gender identity, religion, disability, age, genetic information, veteran status, marital status, and/or political affiliation is eligible to utilize the University of Nebraska Medical Center Equal Opportunity Grievance Process and should contact Human Resources - Employee Relations at 402-559-7394 during business hours.''<br />
===Exceptions===<br />
*The determination of position classification, salary or wage levels, performance evaluation, reduction-in-force decisions, and terminations of an "employment-at-will" are not subject to grievance under this policy; provided, however, that any termination of the "employment-at-will" of an Employee must first be reviewed by the Assistant Vice Chancellor - Executive Director of Human Resources. (Throughout this policy, any responsibility or authority assigned to the Assistant Vice Chancellor - Executive Director of Human Resources in this policy may be delegated to a member of the Human Resources staff or other appropriate designee). <br />
*An employee who submits his or her resignation (oral or in writing) and whose resignation has been received, regardless of whether or not the resignation was requested, cannot utilize the University of Nebraska Medical Center Employee Grievance Process. By this guideline, employees are on notice that submission and receipt of a written resignation waives the right to utilize the grievance procedure. <br />
*If in the opinion of Human Resources Employee Relations there is a substantial question regarding the circumstances surrounding the resignation, Human Resources may determine that the resignation be treated as a termination.<br />
Grievances are limited to matters of interpretation and application of UNMC employment policies, rules and procedures; the establishment or substantive content of such a policy, rule or procedure is not grievable. College or Departmental policies and rules may be grieved if the Employee can show that the College or Departmental policy or rule is contrary to a UNMC policy, rule or procedure. In such cases, UNMC policies, rules and procedures shall take precedence.<br /><br /><br />
The Assistant Vice Chancellor - Executive Director of Human Resources has the responsibility of interpreting this policy and will determine whether or not a matter is grievable. If a matter is found to be non-grievable, the Director will work with the appropriate parties to try to resolve the concern.<br />
===Procedures===<br />
The grievance process described in this policy is an internal, informal process, intended to facilitate open communication and exchange of relevant information and to allow for a meaningful, honest review of the grievance. To promote the informal and open exchange of information, attorneys shall not be permitted to participate in meetings or physically accompany either the UNMC representatives or the grieving Employee throughout this process. A non-lawyer advisor may accompany a grieving Employee throughout the process to provide advice and support to the Employee. The non-lawyer advisor may not actively participate in the process. For example, presenting evidence and directing questions to or otherwise communicating with supervisors, panel members or UNMC representatives are not permitted activities for the non-lawyer advisor. No activity or documentation arising as a result of this policy is deemed to be subject to Public Records laws or Open Meetings laws, unless University legal counsel advises otherwise. The Employee alleging a violation of policy is encouraged to informally discuss the matter with his/her immediate supervisor in an attempt to reach a resolution prior to initiating a formal grievance. No audio or video recordings shall be made in relation to the processes described in this policy.<br />
====Step 1: Appeal to the Immediate Supervisor====<br />
If the discussion surrounding the alleged incident or occurrence does not resolve the matter to the satisfaction of the Employee, the Employee may file a formal grievance with his/her immediate supervisor and the Assistant Vice Chancellor - Executive Director of Human Resources within twenty (20) workdays following the discussion.<br /><br /><br />
If the grievance is based in any part upon the immediate supervisor's acts, the Employee may present the written grievance solely to the Assistant Vice Chancellor - Executive Director of Human Resources who will determine whether the immediate supervisor or another individual associated with the Employee's work area is more appropriate to respond to the grievance.<br /><br /><br />
The written grievance shall specify:<br />
*the exact nature of the alleged grievance; <br />
*details regarding the policy, rule, or procedure allegedly violated;<br />
*the specific remedy requested; <br />
*a specific statement that the Employee wishes to initiate a grievance under this policy.<br />
While supporting information or clarification may be requested or presented in subsequent steps of the grievance process, the Employee is responsible for identifying all issues and allegations relevant to the grievance in this writing. No additional matters may be raised once the written grievance is filed with the Director of Human Resources. Additional allegations or requested remedies may be addressed only through a separate grievance process. At the discretion of the Assistant Vice Chancellor, Executive Director of Human Resources, multiple grievances filed by one or more Employees may be combined into a single grievance to promote a more meaningful review of the matter.<br /><br /><br />
Within ten (10) workdays of receiving the written grievance, the immediate supervisor (or other individual designated by the Assistant Vice Chancellor - Executive Director of Human Resources) will prepare and deliver to the grieving Employee a written response to the written grievance. The person writing the response may confer with a Human Resources representative, his/her supervisors or other parties relevant to the grievance, as needed.<br />
====Step 2: Appeal To The Next Level Supervisor====<br />
Should the Employee remain dissatisfied at the completion of Step 1, he/she may, within five (5) workdays of receiving the Step 1 written response, submit a written request to the Director of Human Resources to appeal to the "next-level supervisor". The request to appeal shall include a clear explanation of why the Employee disagrees with the Step 1 response. (Due to the complexity of UNMC's organizational structure, the Assistant Vice Chancellor - Executive Director of Human Resources shall have the authority and discretion to determine the person best suited within the Employee's work unit to serve as the "next-level supervisor".<br /><br /><br />
The Assistant Vice Chancellor - Executive Director of Human Resources shall deliver to the next-level supervisor the Step 1 written grievance and response, along with the Step 2 written request to appeal. The next-level supervisor shall review those documents and may gather such other information from such sources as he/she deems necessary and relevant to the appeal. After considering all of the relevant information, the next-level supervisor shall render a written decision. This decision must be submitted to the Assistant Vice Chancellor - Executive Director of Human Resources with fifteen (15) workdays following receipt of the Employee's request to appeal. The Assistant Vice Chancellor - Executive Director of Human Resources shall promptly deliver the decision to the Employee.<br />
====Step 3: Appeal To The Chancellor Through A Grievance Panel====<br />
Should the Employee remain dissatisfied, he/she may, within five (5) workdays of receiving the Step 2 decision from the next-level supervisor, submit a written request to the Assistant Vice Chancellor – Executive Director of Human Resources to appeal through a Grievance Panel to the Chancellor. The request to appeal shall include a clear explanation of why the Employee disagrees with the Step 2 decision.<br /><br /><br />
A Grievance Panel will be appointed by the Chancellor and shall be composed of three (3) full-time employees, at least one of whom shall be of the same employment category (Academic-Administrative, Office-Service or Managerial-Professional) as the grieving Employee. No one with a personal or professional interest in the outcome of the grievance is qualified to serve on the Panel. The Panel members shall select a chair from among themselves. The grieving Employee and his/her supervisor(s) shall be promptly notified of the composition of the Panel.<br /><br /><br />
Within five (5) workdays of receiving notice of the appointments to the Panel, the grieving Employee or his/her supervisor(s) may notify the Assistant Vice Chancellor – Executive Director of Human Resources in writing of any reason why any member of the Panel is not qualified to serve. The Assistant Vice Chancellor – Executive Director of Human Resources shall consult with the Chancellor about the Panel composition. In the Chancellor's discretion, another appointee may be substituted, if it is determined the grievance process would be better served by another person. : The Panel will meet with the Employee, the immediate supervisor, and any other person deemed by the Panel to have relevant information about the subject of the grievance. The Panel may gather information from such sources as are available and meaningful to the appeal. The activities and deliberations of the Panel are not open to the public. The panel's work will be confidential, except to the extent the Panel's work must be revealed to those with a legitimate need to know (e.g. Employee's supervisors, persons with information relevant to the grievance, Human Resources staff).<br /><br /><br />
The Panel will be guided by UNMC policy in reaching its decision. Irrelevant or exceedingly redundant information may be excluded from its consideration. The Panel shall not supplement, subtract, or otherwise alter the content of the allegations contained in the grievance. The Panel is not authorized to impose or recant sanctions. The Panel acts only in an advisory capacity to the Chancellor.<br /><br /><br />
The chairperson of the Panel will, within twenty (20) workdays after the Assistant Vice Chancellor – Executive Director of Human Resources receives the Employee's written request to appeal under Step 3, submit the written recommendations of the Panel to the Chancellor.<br /><br /><br />
Within twenty (20) workdays after receiving the Panel's recommendations, the Chancellor or a designee on his/her behalf will notify the grieving Employee in writing of the final disposition of the grievance. Such decision will be final and binding on all parties. There will be no further appeal within the University of Nebraska.<br />
===Timelines===<br />
The amount of time for filing and decision making under this policy is intended to provide for a prompt, yet thorough, review and resolution of grievances. Parties must adhere to this timeline in order to ensure the benefits of participating in this process. However, should the Assistant Vice Chancellor - Executive Director of Human Resources determine that special circumstances or the nature of the grievance are such that additional time will allow for a more meaningful, well-supported resolution of the matter, then the Assistant Vice Chancellor – Executive Director may grant an extension of a specific amount of time. The Assistant Vice Chancellor – Executive Director shall deliver written notice of the extension of time to all parties with a need to know.<br /><br /><br />
If the grieving Employee does not submit a written request to move the grievance forward within the specified time period and is not granted an extension prior to the passing of that deadline, it will be assumed the Employee is satisfied and the grievance will be discontinued.<br /><br /><br />
If the immediate supervisor, the next-level supervisor or the Panel fails to deliver a written response or decision within the specified time period and is not granted an extension of time prior to the passing of that deadline, the grievance will automatically advance to the next level of review.<br /><br /><br />
The Director of Human Resources shall record and maintain the timeline associated with each grievance.<br />
===Withdrawing A Grievance===<br />
The Employee may terminate his/her grievance under this policy at any time by delivering to the Director of Human Resources a written notification requesting such withdrawal.<br />
===Retaliation; Pending Employment Actions===<br />
Retaliation of any type shall not befall any person for participating in a grievance procedure. University employees engaged in such retaliation will be subject to disciplinary action, including the potential for dismissal. A grievance based upon retaliation may be treated as separate offense and is grievable under this policy. While such retaliation is prohibited, the mere filing of a grievance will not forestall any employment action, unless the Assistant Vice Chancellor – Executive Director of Human Resources determines otherwise.<br /><br /><br />
The filing of a grievance by an employee who has received a written notice, has been suspended without pay, or has been terminated for cause will not suspend the written notice, suspension without pay, or termination for cause while the grievance is being processed. For details consult UNMC Policy No. 1098, [http://wiki.unmc.edu/index.php?title=Corrective/Disciplinary_Action Corrective/Disciplinary Action Policy], and its procedures.<br />
===Pay Status When Participating In The Grievance Procedure===<br />
For an employee in-pay status, whose participation is required at a meeting, interview, or other activity as part of a grievance under this policy, time devoted to such participation will be considered as regular hours worked.<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
==Additional Information==<br />
*Human Resources, Employee Relations at 402-559-7394, 402-559-8534 or 402-559-4371.<br />
*UNMC Procedures No. 1020, [http://www.unmc.edu/hr/proc/Procedures1020.pdf Grievance Process]<br />
*[https://wiki.unmc.edu/index.php/HR_-_Employee_Relations_Forms Grievance Filing Form]<br />
*UNMC Policy No. 1097, [http://wiki.unmc.edu/index.php?title=Performance_Evaluation Performance Evaluation]<br />
*UNMC Procedures No. 1097, [http://www.unmc.edu/hr/proc/Procedures1097.pdf Performance Evaluation]<br />
*UNMC Policy No. 1098, [http://wiki.unmc.edu/index.php?title=Corrective/Disciplinary_Action Corrective/Disciplinary Action]<br />
*UNMC Procedures No. 1098, [http://www.unmc.edu/hr/proc/Procedures1098.pdf Corrective and Disciplinary Action]<br />
*[https://www.unmc.edu/human-resources/_documents/forms/emp-rel/corrective_and_disciplinary_action_form.doc Corrective and Disciplinary Action Form]<br />
*[http://www.unmc.edu/hr/Proc/Req%20for%20Reasonable%20Accommodation%20-%20ADA.pdf Requests for Reasonable Accommodation under the American with Disabilities Act]<br />
*[https://wiki.unmc.edu/images/7/76/ADA-Sec504GrievanceProcedures.pdf ADA - Americans with Disabilities Act and Section 504 Grievance Procedures]<br />
*[http://www.unmc.edu/hr/proc/Req%20for%20Reasonable%20Accommodation%20-%20ADA.pdf ADA - Americans with Disabilities Act - Requests for Reasonable Accommodation]<br /><br /><br />
This page maintained by [mailto:dpanowic@unmc.edu/ dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Corrective/Disciplinary_Action&diff=13836Corrective/Disciplinary Action2023-05-18T16:12:49Z<p>Dpanowic: </p>
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width="20">[[Faculty]]</td><br />
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<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No.: '''1098'''<br /><br />
Effective Date: '''03/18/08'''<br /><br />
Revised Date: '''11/06/17'''<br /><br />
Reviewed Date: '''11/01/17'''<br /><br />
<br /><br />
<big>'''Corrective and Disciplinary Action Policy'''</big><br />
==Purpose ==<br />
'''1.1''' UNMC employees are required to meet certain standards of work performance and workplace conduct. When employees do not meet specified standards, Corrective and Disciplinary actions including termination for cause may be warranted.<br />
==Scope==<br />
'''2.1''' The UNMC Corrective and Disciplinary Action Policy is applicable to all UNMC employees to include Office/Service, Managerial/Professional, Faculty, and Other Academic positions. In the case of employees with Faculty appointments, terminations and grievance procedures are also governed by the [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en Bylaws of the Board of Regents] of the University of Nebraska (Chapter IV), [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policy], and policy and procedures adopted by the individual colleges and the UNMC Faculty Senate.<br />
==Basis of the Policy==<br />
'''3.1''' The [http://www.unmc.edu/ University of Nebraska Medical Center] (UNMC) follows the performance management policies set forth in the [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/employee-policy-manual.pdf?la=en University of Nebraska Administration Human Resources Handbook for Policies] including: Original Probationary Period; Employee Discipline; and Termination of Employment for Cause. For employees with Faculty appointments, terminations and grievance procedures are also governed by the [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en Bylaws of the Board of Regents] of the University of Nebraska (Chapter IV), [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policy], and policy and procedures adopted by the individual colleges and the UNMC Faculty Senate.<br />
==Authorities and Administration==<br />
'''4.1''' The UNMC Human Resources’ Division Director of Employee Relations is responsible for the administration, implementation, and maintenance of the Corrective and Disciplinary Action Policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance, Executive Director of Human Resources, and the Vice Chancellor for Business and Finance.<br />
==Policy==<br />
===Original Probationary Period===<br />
(Managerial/Professional and Office/Service employees only)<br /><br />
<br />
'''5.1''' It is the policy of the University of Nebraska Medical Center that all newly hired regular managerial/professional and office/service employees serve one six-month Original Probationary Period. This Original Probationary Period is an extension of the selection process and is used to determine an employee's suitability for employment at UNMC. The successful completion of the probationary period is not to be construed as granting a property interest in continuing employment.<br /><br />
<br /><br />
'''5.2''' Departments in collaboration with Human Resources, Employee Relations may consider dismissing a managerial/professional or office/service employee during the Original Probationary Period with a Corrective and Disciplinary Action termination notice.<br /><br />
<br /><br />
'''5.3''' Unless there is a break in UNMC employment, managerial/professional and office/service employees serve only one Original Probationary Period.<br /><br />
==Original Probationary Period Rights==<br />
'''6.1''' Original probationary employees have no grievance rights but have a right to a Corrective and Disciplinary Action Termination Notice. However, employees on original probation who believe that their legal rights with respect to employment have been violated by a termination action may consult with UNMC Human Resources-Employee Relations. Employees raising issues of discrimination and/or sexual harassment, during their original probationary period, may also seek assistance through Employee Relations/Affirmative Action Officer.<br />
==Corrective and Disciplinary Actions==<br />
'''7.1''' An action taken to address workplace performance and/or conduct deficiencies that are negatively affecting an employee’s contribution to the organization.<br /><br />
<br /><br />
'''7.2''' Corrective and Disciplinary Actions cannot be administered according to an absolute set of rules; decisions must be made based on the facts of each situation. Corrective and Disciplinary Actions may be taken in progressive order up to and including termination for cause or may be administered as the situation warrants. Management is encouraged to consult with Human Resources – Employee Relations on Corrective and Disciplinary Actions.<br /><br />
<br /><br />
'''7.3''' Examples of conduct or actions that may justify Corrective and Disciplinary Actions, up to termination for cause, are listed in the [http://www.unmc.edu/hr/proc/Procedures1098.pdf Corrective and Disciplinary Action Procedures] on the Human Resources website at [http://www.unmc.edu/hr www.unmc.edu/hr]. Types of Corrective and Disciplinary Actions may include: <br /><br />
*Verbal Warning for inappropriate workplace conduct and/or for work performance deficiencies<br />
*Written Warning for inappropriate workplace conduct and/or for work performance deficiencies<br />
*Suspension with Pay<br />
*Suspension without Pay<br />
*Termination/discharge for Cause<br /><br />
'''7.4''' Departments and managers issuing any type of Corrective and Disciplinary Actions may complete the [https://www.unmc.edu/human-resources/_documents/forms/emp-rel/corrective_and_disciplinary_action_form.doc Corrective and Disciplinary Action Form] in consultation with Human Resources-Employee Relations (see procedures for contact information), to ensure that UNMC procedures are followed.<br />
<br />
==Verbal Warning==<br />
'''8.1''' A Verbal Warning may be given to alert an employee to specific deficiencies (failure to meet work product standards or workplace/conduct standards). A Verbal Warning consists of a discussion in which the supervisor verbally advises an employee of his/her performance or conduct deficiencies and recommended corrective actions. Notes regarding the meeting may be kept in departmental files.<br />
==Written Warning Notice==<br />
'''9.1''' A Written Warning Notice may be given to an employee when other efforts to correct performance or conduct deficiencies have failed or as a first Corrective and Disciplinary Action when the performance or conduct deficiency is serious enough to warrant a written reprimand. A Corrective and Disciplinary Action Written Warning Notice consists of a written document, which may be in the form of a letter or on the Corrective and Disciplinary Action Form. The Corrective and Disciplinary Action written warning notice will describe the deficiency; include a plan for corrective action, and a time frame if applicable. The employee should sign and date the written notice and may provide a written response presenting information on their own behalf.<br />
==Suspension with Pay==<br />
'''10.1''' In the event that an employee's presence on campus during an employment situation investigation or actual employment may endanger others, present a risk to UNMC, or if it is required that an employee not return to the workplace until an employment situation investigation is complete and an employment decision has been made, the employee may be suspended with pay, until the employment situation investigation is completed and/or the employment decision is made.<br /><br />
<br /><br />
'''10.2''' Management must consult with Human Resources-Employee Relations (see procedures for contact information) before suspending an employee.<br />
==Suspension without Pay==<br />
'''Note: Suspending an employee without pay requires the prior approval of the UNMC Assistant Vice Chancellor - Executive Director of Human Resources.'''<br /><br />
<br /><br />
'''11.1''' Suspension without Pay is appropriate when other efforts to correct unsatisfactory work performance or conduct have failed. It is also appropriate as a first Corrective and Disciplinary Action when the immediate supervisor considers the unsatisfactory work performance or conduct to be serious enough to warrant a severe penalty.<br /><br />
<br /><br />
'''11.2''' After considering the circumstances the supervisor, with the assistance of the UNMC Assistant Vice Chancellor - Executive Director of Human Resources or designee, decides whether to implement the suspension. The period of suspension is without pay and should normally not exceed five workdays. Suspension without Pay is implemented by a Corrective and Disciplinary Action to the employee informing the employee of the suspension and the reasons for the action. If an employee is to be placed on “Corrective Probation” upon return to work, that fact should be included in the Corrective and Disciplinary Action Form.<br /><br />
<br /><br />
'''11.3''' Employees on suspension without pay will not be granted vacation, sick, floating/banked holiday, or regular holiday leave, nor may they use compensatory time previously earned to avoid being without pay.<br /><br />
<br /><br />
'''11.4''' If a Corrective Probationary Period follows a suspension without pay, it must be done with the consultation of Human Resources-Employee Relations to ensure that it is reasonable and related to the suspension without pay.<br />
==Termination for Cause==<br />
'''12.1''' Management, in consultation with Human Resources-Employee Relations, may terminate employees for cause when employees fail to meet department, unit, or UNMC work performance or workplace conduct standards. Note: Either the employee or UNMC may also end the employment relationship under UNMC Policy No. 1006, [[Employee Separation]], sections 5.2, 5.3, and 5.4.<br /><br />
<br /><br />
'''12.2''' Any employee (except probationary employee) considered for "Termination for Cause" will be given a pre-termination hearing. At the pre-termination hearing employees will be given the opportunity to be informed about why termination is being considered and to present information on their own behalf. If, after the hearing, "Termination for Cause" is recommended, the employee will be given a Corrective and Disciplinary Action Termination Notice and will have access to the UNMC grievance process in UNMC Policy No. 1020, [[Employee Grievance Process]]. Section 6.1 applies to original probationary period managerial/professional and office/service employees terminated for cause.<br />
==Grievable Corrective and Disciplinary Actions==<br />
'''13.1''' For any of the following corrective and disciplinary actions, employees (except probationary employees) may file a grievance under UNMC Policy No. 1020, [[Employee Grievance Process]] or the applicable faculty procedure.<br />
*Written Warning of Corrective and Disciplinary Actions for inappropriate workplace conduct and/or work-performance deficiencies<br />
*Suspension without Pay<br />
*Termination for Cause<br />
==Rehire Eligibility == <br />
'''14.1''' Persons dismissed for cause from UNMC or from any University of Nebraska campus are not eligible for rehire without prior approval of Human Resources. Persons leaving UNMC while under Corrective and Disciplinary Action or those whose performance is documented as below satisfactory may not be eligible for rehire. Persons dismissed for gross misconduct from UNMC or from any University of Nebraska campus are not eligible for rehire at UNMC. Questions relative to an applicant's eligibility for re-hire should be directed to Human Resources.<br />
==Notice of Non-Discrimination== <br />
Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
==Additional Information==<br />
*Contact [https://www.unmc.edu/human-resources/about/contact-hr.html Human Resources, Employee Relations], 402/559-7394, 402/559-8534 or 402/559-4371<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en Bylaws of the Board of Regents] of the University of Nebraska (Chapter IV)<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policy]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/employee-policy-manual.pdf?la=en University of Nebraska Administration Human Resources Handbook for Policies] <br />
*UNMC Policy No. 1006, [[Employee Separation]]<br />
*UNMC Policy No. 1020, [[Employee Grievance Process]]<br />
*UNMC Procedures No. 1098, [http://www.unmc.edu/hr/proc/Procedures1098.pdf Corrective and Disciplinary Action] <br />
*[https://www.unmc.edu/human-resources/_documents/forms/emp-rel/corrective_and_disciplinary_action_form.doc Corrective and Disciplinary Action Form]<br />
*[https://wiki.unmc.edu/images/7/76/ADA-Sec504GrievanceProcedures.pdf ADA - Americans with Disabilities Act and Section 504 Grievance Procedures]<br />
*[http://www.unmc.edu/hr/proc/Req%20for%20Reasonable%20Accommodation%20-%20ADA.pdf ADA - Americans with Disabilities Act - Requests for Reasonable Accommodation]<br /><br />
<br /><br />
This policy maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Reduction_in_Force&diff=13804Reduction in Force2023-05-08T13:09:42Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction in Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]]<br /><br /><br />
Policy No.: '''1028''' <br /><br />
Effective Date: '''10/25/02''' <br /><br />
Revised Date: '''08/07/17''' <br /><br />
Reviewed Date: '''07/27/17''' <br /><br />
<br /><br />
<big>'''Reduction In Force Policy'''</big><br />
==Purpose==<br />
'''1.1.0''' UNMC complies with Board of Regents policy (section 4.4.1) in establishing a Reduction In Force process for all employees.<br />
==Scope ==<br />
'''2.1.0''' The Reduction In Force Policy is applicable to regular Office/Service and Managerial/Professional positions at UNMC. This Reduction in Force policy shall not apply to those employees in probationary periods or those employees in temporary or on-call positions. <br />
==Basis of the Policy==<br />
'''3.1.0''' Section 4.4.1 of the Bylaws of the Board of Regents and the University of Nebraska President Memorandum dated July 27, 2017 are the basis of the Reduction in Force Policy of the University of Nebraska Medical Center.<br />
==Authorities and Administration==<br />
'''4.1.0''' The UNMC Human Resources’ Division Director of Strategic Staffing, Compensation, Records and HRIT is responsible for the administration, implementation, and maintenance of the Reduction in Force Policy at the campus level in consultation with the Assistant Vice Chancellor for Business and Finance Executive Director of Human Resources and the Vice Chancellor for Business and Finance.<br />
==Policy ==<br />
'''5.1.0''' A reduction in force is the elimination of staff position(s) and/or the reduction of FTE(s) at the University of Nebraska. A reduction in force may occur because of changing priorities, budgetary constraints, or other operational needs. <br />
<br />
'''5.1.0.1''' Termination of employment solely due to poor job performance, misconduct, violation of University policy, or other similar reason(s) is not considered a reduction in force.<br />
<br />
'''5.1.1''' Affected employees may be separated from employment because of general reduction in force or reduction in force in any one area.<br />
<br />
'''5.1.2''' Unless otherwise specified in writing to the employee at the time of employment employees being separated from employment as part of a reduction in force shall be notified in writing at least thirty (30) days prior to the date of separation if classified within the Office and Service classification and at least ninety (90) days prior to the date of separation if classified within the Managerial Professional classification.<br />
<br />
'''5.1.3''' This Reduction in Force policy shall not apply to those employees in probationary periods or those employees in temporary or on-call positions. Accordingly, such employees are not required to receive any notification under this policy.<br />
<br />
'''5.2.0''' The criteria for determining the order for employees affected by a reduction in force should normally be based on the type of appointment held, quality and length of service, funding source, and other considerations determined by the appointing authority in order to provide for the most efficient and effective operation of the area affected.<br />
<br />
'''5.3.0''' Employees shall be eligible for reinstatement and/or reemployment as set forth below. <br />
<br />
'''5.3.0.1''' “Reinstatement” means that the employee will be placed into the position previously held by the employee prior to the reduction in force.<br />
<br />
'''5.3.0.2''' “Reemployment” means that the employee will be placed into a comparable or lower position within the same area as the position previously held prior to the reduction in force.<br />
<br />
'''5.3.1''' An employee shall be reinstated to the position previously held should such position become available within six (6) months from the date of separation due to reduction in force.<br />
<br />
'''5.3.2''' If an employee’s previous position is not available, qualified employees shall be reemployed in a comparable or lower position in the same area, or successor area, should such position(s) become available within six (6) months from the date of separation due to reduction in force.<br />
<br />
'''5.3.2.1''' “Comparable position” generally means a position that is similar to the employee’s previous position in the following ways: requires similar knowledge, skills and abilities; has similar job content (tasks and responsibilities); and has a similar pay range. Human Resources reserves the right to determine whether a positions is comparable under this policy.<br />
<br />
'''5.3.3''' Employees declining reinstatement to their previous position or reemployment in a comparable position shall not be eligible for any future position under this policy. Employees declining reemployment in a lower position shall continue to be eligible for future positions under this policy.<br />
<br />
'''5.3.4''' Employees who do not respond to an offer of employment within five (5) working days will forfeit their rights under this policy.<br />
<br />
'''5.3.5''' Sections 5.3.0 to 5.3.4 of this policy shall not apply to those employees whose job performance is not at least satisfactorily, as determined by Human Resources. In addition, Sections 5.3.0 to 5.3.4 of this policy shall not apply to employees on grant funded positions or other positions funded through temporary funds.<br />
<br />
'''5.4.0''' Reduction in Force employees will be considered separated from the University for pay purposes.<br />
<br />
'''5.4.0.1''' Upon reinstatement, reinstated employees will be paid at the same rate of pay as when they left University employment and will not be required to serve a new original probationary period.<br />
<br />
'''5.4.2''' Upon reemployment, reemployment employees will be treated as new employees for pay purposes and will be required to serve a new original probationary period.<br />
<br />
'''5.5.0''' Reduction in force are not grievable.<br />
==Notice of Non-Discrimination== <br />
'''6.1.0''' Please see UNMC's [http://www.unmc.edu/titleix/notice-nondiscrimination.html Notice of Non-Discrimination] regarding the University of Nebraska Medical Center's commitment to creating a diverse and inclusive working and learning environment free from discrimination and harassment.<br />
== Additional Information ==<br />
*Contact Human Resources, 402-559-2710<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en Bylaws] of the Board of Regents of the University of Nebraska<br />
*See [http://www.unmc.edu/hr/Proc/Procedures1028.pdf Reduction In Force Procedures]<br /><br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Cost_Transfer&diff=13777Cost Transfer2023-04-28T13:57:34Z<p>Dpanowic: Updated persons authorized to review and approve transfers or charges more than one year old due to title change and one of the positions being vacated.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Sponsored Programs]] | [[Sponsored Programs Costing]] | [[Institutional Base Salary]] | [[Sponsored Project Cost Share]] | [[Effort Certification]] | [[Cost Transfer]] | [[Service Center]] | [[Subrecipient Policy]] | [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
<br /><br /><br />
Policy No.: '''6106'''<br /><br />
Effective Date: '''10/27/02''' <br /><br />
Revised Date: '''04/28/23''' <br /><br />
Reviewed Date: '''04/28/23''' <br /><br />
<br /><br />
<big>'''Cost Transfer Policy'''</big><br />
== Basis of the Policy == <br />
Acceptance of federal awards obligates the University of Nebraska Medical Center (UNMC) to comply with the federal government’s rules, regulations and guidelines applicable to sponsored programs. Federal cost principles per the [https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1 Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards or Uniform Guidance 2 CFR, Part 200] require costs to be properly allocated to the program that received the benefits of the costs incurred. <br />
== Purpose of the Policy == <br />
This policy establishes requirements for processing transfers of direct costs to sponsored accounts. Federal regulations, generally accepted accounting principles, and good management practices require that all costs incurred be appropriate to and for the direct benefit of the project charged, and that accounting records be maintained on a timely and accurate basis. The federal government considers an excess number of cost transfers to be a sign of ineffective financial controls. <br />
== Policy == <br />
Although it is preferable to charge costs to the correct account when they are incurred, cost transfers may occasionally be necessary. These transfers must be properly documented and processed within a reasonable time (normally within 90 days of the original entry). <br />
== Requirements ==<br />
*The costs being transferred to a federally sponsored award must be allowable to that award per UNMC Policy No. 6100, [[Sponsored Programs Costing]]. <br />
*For this policy and the cost transfer procedure, “federal award” includes both federal awards to UNMC and federal pass-throughs where UNMC received federal funding indirectly through another external entity.<br />
*The transfer must be supported by the [https://info.unmc.edu/management/finance/spaccounting/cost_transfer_explanation_and_justification.doc Cost Transfer Explanation and Justification] form to clearly explain why the transfer is being made. The explanation must be sufficient for a reviewer to understand the transfer and conclude that it is appropriate. A statement that merely says "to correct error" or "to transfer to correct account" is not sufficient.<br />
*Whenever possible the department creating the transfer must also maintain documentation for the original charge that is being moved, such as a copy of the original vendor invoice and SAP document.<br />
*The transfer should be submitted as soon as possible after the error is discovered, and must normally be processed within 90 days of the original entry. Transfers or charges more than one year old will not be allowed without further review and approval by Business & Finance leadership ([mailto:skraftmann@unmc.edu Associate Vice Chancellor for Business and Finance]).<br />
*In addition to the Cost Transfer Explanation and Justification questions, Sponsored Programs Accounting may require additional documentation for any cost transfer where the aggregate cost being moved to a federal award is greater than $500. If the documentation is not sufficient to support the transfer Sponsored Programs Accounting will reverse the entry.<br />
*Under no circumstances may expenditures be placed on a sponsored account for reasons of convenience or funding availability with the intention that they will be moved at a later date. Costs may not be transferred to a project that is near completion in order to use up funds.<br />
*If a cost transfer affects two departments, both departments must approve the cost transfer.<br />
*Costs transfers that have been justified, documented and accepted as appropriate will not be allowed to be moved again.<br />
*Retroactive payroll transfers can affect a previously certified effort report. Therefore, UNMC requires recertification of effort under specific circumstances as explained in UNMC Policy No. 6105, [[Effort Certification]] and the related procedure.<br />
==Additional Information==<br />
*[mailto:mhrncirik@unmc.edu Senior Manager, Financial Compliance and Cost Analysis]<br />
*[mailto:skraftmann@unmc.edu Associate Vice Chancellor for Business and Finance]<br />
*[https://info.unmc.edu/management/finance/fincompliance/index.html Financial Compliance and Cost Analysis]<br />
*UNMC Policy No. 6100, [[Sponsored Programs Costing]]<br />
*UNMC Policy No. 6105, [[Effort Certification]]<br />
*[https://info.unmc.edu/management/finance/spaccounting/Cost_Transfer_Procedure.pdf UNMC Cost Transfer Procedure] <br />
*[https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1 Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards or Uniform Guidance 2 CFR, Part 200]<br />
*[https://info.unmc.edu/management/finance/spaccounting/cost_transfer_explanation_and_justification.doc Cost Transfer Explanation and Justification] form<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13776Policies and Procedures2023-04-28T13:32:50Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|04/28/23<br />
|04/28/23<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|DRAFT<br />
|<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Facilities_Management/Planning&diff=13775Facilities Management/Planning2023-04-21T18:32:42Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[General Accounting]] | [[SBIR/STTR Program Participation]] | [[Supplemental Compensation Plan]] | [[Facilities Management/Planning]] | [[Purchasing]] | [[Strategic Communications]] | [[Facility Identification]] | [[Serving Alcoholic Beverages]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] | [[Travel Restrictions]] for Nebraska Medicine and UNMC | [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies] | [[Reproducing Copyrighted Materials]] | [[Bank Card Processing]] | [[Student Training Agreement]] | [[Volunteer]] | [[Cash Handling]] | [[Fraud]] | [[Assigning Research Lab Space]] | [[Space Scheduling and Fundraising]] | [[Academic Personnel Records]] | [[Cell Phone]] | [[Off-campus Graphic Design and Related Printing]] | [https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography] | [[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]] | [[Secondary Logos]] | [[Social Media]] | [[Sensitive Equipment Tracking]] | [[International Visitors]] | [[Accounts Receivable Management]] | [[Regulations on the Use of University Facilities and Grounds]] | [[Tuition Remissions]] | [[Collections Management]] | [[Web Governance]] | [[Student Fee Administration]]<br />
<br /><br /><br />
Policy No.: '''4000'''<br /><br />
Effective Date: '''07/01/98'''<br /><br />
Revised Date: '''DRAFT'''<br /><br />
Reviewed Date: <br />
<br /><br /><br />
<big>'''Facilities Management & Planning Policy'''</big><br />
<br /><br /> <br />
== Basis for Facilities Management & Planning Policy ==<br />
To maintain compliance with federal, state and local and [http://www.nebraska.edu/ University of Nebraska] requirements involving construction, utilities, hazard exposure, energy conservation, etc., [http://info.unmc.edu/safety/facilities/ Facilities Management & Planning] (FM&P) is responsible for the planning, construction and maintenance of [http://www.unmc.edu/ University of Nebraska Medical Center] (UNMC) buildings and grounds, and utilities infrastructure. FM&P is the code authority for the University of Nebraska on our campus.<br />
== Building Repair and Maintenance ==<br />
Facilities Management & Planning shall maintain buildings and campus utility distribution systems. By definition, building repair and maintenance, in the broadest sense, encompass those items which are part of the original construction and are physically part of, and attached to, the permanent structure. It is not the intention of FM&P to secure, install or maintain any item or area which is owned or solely used in conjunction with a department function that is funded through a special agency or funding source. <br><br />
<br />
Utility interruptions or problems should be promptly reported to FM&P, so the cause of the interruption or problem can be determined and corrected. <br />
== Capital Improvement Projects, Construction Contracts and Bids ==<br />
Capital improvement projects are defined as any remodeling, renovation, maintenance or construction work in which the project budget costs are over $5,000. The handling and processing of construction contracts and bids is the responsibility of Facilities Management & Planning. <br><br />
<br />
All items removed during demolition or remodeling which have a dollar value shall be disposed of in accordance with University procedures. By definition, valued goods, in the broadest sense, encompass those items which may or may not be inventoried, have a dollar value if sold on the local market and are to be disposed of and removed from the remodeling area. Examples include drapes, blinds and rods, cabinets, carpet, doors and frames, light fixtures, or ceiling tile and grids.<br />
== Work Conducted Within Building Systems == <br />
All maintenance, construction, repair, installation or other similar work conducted above a ceiling, within a wall, under a floor covering, etc., shall be conducted by or coordinated through FM&P. This ensures that all such work is conducted in compliance with applicable building codes, building standard practices, dust containment, procedures pertaining to asbestos and other hazardous materials, etc. It is recognized that other organizations may have a routine need to conduct such work. In this case, FM&P may authorize the organization to perform such work, provided the organization demonstrates the capacity to comply with the intent of this policy. <br />
== Energy Management ==<br />
Facilities Management & Planning will manage the use of energy resources in a manner consistent with national energy conservation policies while providing full services necessary to accomplish the goals of UNMC. <br />
== Space Planning and Furniture Requests ==<br />
In order to maintain a consistent appearance and quality on the campus, and to ensure the University complies with all regulations (including the [http://usdoj.gov/crt/ada/adahom1.htm Americans with Disabilities Act] and applicable building codes), requests for the following must be reviewed and approved by Facilities Management & Planning:<br />
* Renovation and construction services<br />
* Furniture, either new or re-use<br />
* Space planning and space assignment requests<br />
* Signage, both external and internal<br />
*Change in use of any room type<br />
Furniture and equipment must be procured through an FM&P-approved vendor to assure compliance with regulatory, warranty, and durability standards.<br><br />
<br />
FM&P uses Archibus work request system to manage requests related to above needs. Users may submit a Service Request to be assigned a resource to assist with above requests.<br><br />
<br />
Furniture, planning, and project costs are incurred by the college, institute, department or division assigned to the area.<br />
==Workplace Guidelines==<br />
Workplace Guidelines, as established by a representative Space Committee, are in place to ensure that, as an institution, we utilize physical resources effectively and equitably. These guidelines consider ergonomics, adaptability and flexibility, when appropriate, and sensitivity and privacy needs.<br><br />
<br />
New and renovated workplaces shall provide multiple, flexible work settings including adjustable-height work surfaces, collaboration and break-out spaces, and storage. <br />
===Principles of Workplace Guidelines===<br />
*Increase the use of open work areas and shared offices <br />
*Limit dedicated private office spaces <br />
*Incorporate collaboration spaces supported by robust technology and storage solutions <br />
*Support in-person, hybrid, and remote work models <br />
*Apply consistently across all UNMC/Nebraska Medicine locations <br />
*Comply with accreditation requirements (i.e., GME, LCME) <br />
==Additional information==<br />
*Contact [mailto:lindsay.neemann@unmc.edu Facilities Management & Planning], 402-559-5300<br />
*See the [https://www.unmc.edu/facilities/ FM&P website]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13774Policies and Procedures2023-04-21T18:20:02Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|DRAFT<br />
|<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|Draft 4-21-23<br />
|<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Face_Covering&diff=13754Face Covering2023-04-06T18:58:07Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Safety/Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Safety]] | [[Deadly Weapon]] | [[Shipping Hazardous Materials]] | [[Latex Sensitivity]] | [[Bloodborne Pathogens Exposure]] | [[Waste Handling]] | [[Portable Space Heaters]] | [[Children in the Workplace]] | [[Pets in the Workplace]] | [[Tuberculosis Exposure]] | [[Food, Drinks and Cosmetic Use in Laboratory Areas]] | [[Medical Surveillance]] | [[Enterprise Threat Assessment Response Team]] | [[Management of Violent or Aggressive Patients/Visitors]] | [[Youth Safety]] | [[Tours]] | [[Small Appliance]] | [[Unmanned Aircraft]] | [[ Electric Scooter ]] | [[Face Covering]]<br />
<br /><br /><br />
Policy No: '''2019'''<br /><br />
Effective Date: '''08/17/20'''<br /><br />
Revised Date: <br /><br />
Reviewed Date: ''' ''' <br /><br />
<br />
<big>'''Interim Face Covering Policy</big><br /><br />
<br />
==Scope==<br />
This policy applies to all University of Nebraska Medical Center (UNMC) faculty, staff, fellows, residents, students and visitors (including contractors, service providers and others) while on property owned or controlled by UNMC.<br />
==Policy Statement==<br />
Beginning August 17, 2020, all UNMC faculty, staff, students and visitors (including contractors, service providers and others) will be required to use a face covering at all times when indoors (including elevators) on a UNMC campus, with the following exceptions:<br />
*When eating (social distancing practices must be observed),<br />
*When alone in a room with a closed door.<br />
*When in a motor vehicle alone or only with members of your household,<br />
*When an alternative is necessary as indicated by a medical professional during patient care,*<br />
*When in one’s assigned place of residence or UNMC housing unit,<br />
*When the task requires the use of a NIOSH-approved respirator, or<br />
*When pertaining to children under the age of two (2) years.<br />
In all other indoor settings on campus (including private spaces and cubicles without closed doors), face coverings must be used, even in situations where others remain more than 6 feet away.<br /><br />
<br />
*See section on [https://wiki.unmc.edu/index.php/Face_Covering#Requesting_Alternatives Requesting Alternatives] below<br />
<br />
Unless subject to specific exemption, face coverings are also required in outdoor settings on the UNMC campus, including situations wherein individuals are simply transiting open spaces. While brief outdoor ‘mask breaks’ are permitted, such breaks are prohibited in heavily trafficked areas such as in crosswalks and near the entrances and exits of buildings. This policy shall remain in effect until further guidance is provided from the Office of the Chancellor.<br />
==Reason for Policy==<br />
The Centers for Disease Control and Prevention (CDC) has acknowledged that use of face coverings can help to slow the spread of COVID-19 in our communities. Cloth face coverings may help prevent people who have COVID-19 from spreading the virus to others. Wearing a cloth face covering will help protect people around you. Face coverings are most likely to reduce the spread of COVID-19 when they are widely used. The spread of COVID-19 can be reduced when cloth face coverings are used along with other [https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html preventive measures], including social distancing, frequent handwashing, and cleaning and disinfecting frequently touched surfaces. A face covering can reduce the trajectory of expelled respiratory droplets, which pose risk to those around you. When you wear a face covering, you demonstrate care about the health and safety of those in our campus community.<br />
===What Constitutes a Face Covering===<br />
There are no universal design standards for face coverings. However, the covering must extend from the bridge of the nose to below the chin.<br />
*Reusable cloth face coverings are acceptable, as are disposable paper masks.<br />
*A face shield is an acceptable alternative for those lecturing at the head of a classroom or auditorium, so long as they never come within 6 feet of others. Face shields are not acceptable in other situations except as an accommodation granted to those unable to wear cloth face coverings by either the Department of Human Resources or the Office of Services for Students with Disabilities.<br />
*Neck ‘gaiters’ and bandanas are not acceptable substitutes for cloth masks and should not be used.<br />
*Masks and respirators with exhalations valve are not to be used.<br />
===*Requesting Alternatives===<br />
Individuals whose unique and individual circumstances require an alternative face covering, as indicated by a medical professional during patient care, may request one. To request an alternative, students should contact the [https://www.unmc.edu/student-success/support-services/accessibility/index.html Office of Services for Students with Disabilities]. Staff and faculty should contact UNMC Department of [https://www.unmc.edu/human-resources Human Resources].<br />
<br />
===Wearing and Caring for One's Face Covering===<br />
Each individual is responsible for the care of their own face covering. Disposable face coverings are to be discarded as ordinary refuse when they become soiled or damaged. Reusable cloth face coverings should be washed regularly. Reusable face shields should be cleaned thoroughly with sanitizing wipes after each day’s use. Cloth face coverings or face shields that are in poor condition should not be used; these may also be discarded as ordinary refuse.<br />
===Additional Protective Measures===<br />
This policy on face coverings complements other important community and self-protection measures which are to be consistently practiced by all faculty, staff, students, and visitors. These measures include:<br />
*Stay home if you are sick.<br />
*Before coming to the UNMC campus, self-monitor for any potential COVID-19 symptoms using evidence-based screening, such as the [https://www.unmc.edu/news.cfm?match=25636 1-Check COVID mobile app] (on [https://play.google.com/store/apps/details?id=edu.unmc.covid19screener Android] and [https://apps.apple.com/us/app/1-check/id1514252153 iOS devices]), or the [https://1check.app/welcome web-based tool]. Those without web access may connect to the screening app via kiosks located in Wittson Hall and the Sorrell Center.<br />
*Wash hands frequently throughout the day and should specifically do so after contacting high-risk surfaces such as sinks, toilet handles, doorknob and the like.<br />
*Refraining from touching the face, eyes, nose, and mouth.<br />
*Practicing social distancing, by maintaining 6 feet of distance from others.<br />
*Assisting in environmental cleaning by promptly washing surfaces that might have been contaminated by bodily fluids (e.g., one should disinfect their desk if they happen to sneeze on it). If the ability of the individual to accomplish such cleaning is limited, contact environmental services personnel.<br />
===Compliance===<br />
Compliance with this policy is for the protection of those with whom you will be in contact when on campus. Any employee, student or visitor who fails to abide by these guidelines may be asked or directed to leave the campus space. Employees and students who are directed to leave a campus space for failure to comply with these guidelines may be taken off duty and/or subject to disciplinary action. For non-emergency COVID-19 concerns, including compliance with this face covering policy, please report your concerns to your supervisor or to the [mailto:unmchealthsecurity@unmc.edu UNMC Office of Health Security]. <br />
==Additional Information==<br />
*[mailto:ted.cieslak@unmc.edu UNMC Office of Health Security]<br />
*[http://www.unmc.edu/ehs/ Environmental Health & Safety Department], 402-559-6356<br />
:*[https://info.unmc.edu/safety/safety-office/policies-resources/index.html UNMC Safety Resources]<br />
*[mailto:unmcsecurityoffice@unmc.edu UNMC Campus Security], 402-559-5111<br />
*[https://www.unmc.edu/student-success/support-services/accessibility/index.html Office of Services for Students with Disabilities], 402-559-7276<br />
:*[https://www.unmc.edu/student-success/support-services/accessibility/student-resources.html Verification of Disability Form]<br />
*[https://www.unmc.edu/human-resources UNMC Human Resources]<br />
*[mailto:employeerelations@unmc.edu Human Resources Employee Relations]<br />
:*[http://www.unmc.edu/hr/Proc/ADA-Sec504%20Grievance%20Procedures.pdf Americans with Disability Act and Section 504 Grievance Procedures – University of Nebraska]<br />
:*[https://www.unmc.edu/hr/Proc/Req%20for%20Reasonable%20Accommodation%20-%20ADA.pdf Requests for Reasonable Accommodation under the Americans with Disabilities Act]<br />
*UNMC Policy No. 1098, [https://wiki.unmc.edu/index.php/Corrective/Disciplinary_Action Corrective and Disciplinary Action]<br />
*[https://www.unmc.edu/news.cfm?match=25636 1-Check COVID mobile app] <br />
:*[https://play.google.com/store/apps/details?id=edu.unmc.covid19screener Android]<br />
:*[https://apps.apple.com/us/app/1-check/id1514252153 iOS devices]<br />
:*[https://1check.app/welcome web-based tool]<br />
*[https://www.cdc.gov/ Centers for Disease Control and Prevention]<br />
:*[https://www.cdc.gov/coronavirus/2019-ncov/index.html Coronavirus Information and Tools]<br />
:*[https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html Coronavirus Preventive Measures]<br />
<br />
==History and Moving Forward==<br />
This interim policy is effective for the duration of the coronavirus pandemic. UNMC will periodically evaluate this interim policy, consult stakeholders and constituents as appropriate, and modify this policy as necessary.<br />
<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Tours&diff=13672Tours2023-03-27T22:22:19Z<p>Dpanowic: Change School of Allied Health Professions to College of Allied Health Professions</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Safety]] | [[Deadly Weapon]] | [[Shipping Hazardous Materials]] | [[Latex Sensitivity]] | [[Bloodborne Pathogens Exposure]] | [[Waste Handling]] | [[Portable Space Heaters]] | [[Children in the Workplace]] | [[Pets in the Workplace]] | [[Tuberculosis Exposure]] | [[Food, Drinks and Cosmetic Use in Laboratory Areas]] | [[Medical Surveillance]] | [[Enterprise Threat Assessment Response Team]] | [[Management of Violent or Aggressive Patients/Visitors]] | [[Youth Safety]] | [[Tours]] | [[Small Appliance]] | [[Unmanned Aircraft]] | [[Electric Scooter]]<br />
<br /><br />
<br /><br />
Policy No.: '''2015''' <br /><br />
Effective Date: '''12/19/14''' <br /><br />
Revised Date:<br /><br />
Reviewed Date: ''' '''<br /><br />
<br /><big>'''Tours</big><br />
==Basis of Policy==<br />
The University of Nebraska Medical Center is committed to providing a closer look at UNMC to those who may be considering a health profession or who just want to gain a greater understanding of UNMC’s role in improving the health of our citizenry. UNMC believes in an environment that is conducive to work, and in which health and safety concerns of employees, students, staff and the public are respected and in which disruptions are minimized. UNMC facilities and grounds can present a variety of potential hazards to individuals. This policy is intended to provide a process for tours with the least amount of disruption while minimizing the risk of injury and promoting a safe work environment.<br /><br />
<br /><br />
Our tour program has three primary audiences – potential students, the general public and VIP’s. The various tour opportunities for these audiences are described below. <br />
==Potential Students==<br />
UNMC hosts periodic on-campus health career days and recruitment events for high school and undergraduate health focused prospective students. The health care career days and recruitment events provide prospective students with the opportunity to learn about the health professions education programs offered at UNMC. <br /><br />
<br /><br />
Prospective students interested in a specific profession or those in the active phase of their applications at UNMC may contact the program or college directly for information or a potential tour.<br />
*College of Dentistry: Call (402)472-1479 or email [mailto:mvogt@unmc.edu Merlyn Vogt]. Click [http://www.unmc.edu/dentistry/ here] for additional information.<br />
*College of Medicine: Call (402)559-2259 or email [mailto:comadmissions@unmc.edu College of Medicine Admissions]. Click [http://www.unmc.edu/com/ here] for additional information. <br />
*College of Nursing: Call (402)559-4110 or email [mailto:unmcnursing@unmc.edu College of Nursing Student Services]. Click [https://www.unmc.edu/nursing/educational-programs/admissions/tours.html here] for additional information.<br />
*College of Pharmacy: Call (402)559-4333 or email [mailto:copadmin@unmc.edu College of Pharmacy Administration]. Click [http://www.unmc.edu/pharmacy/ here] for additional information.<br />
*College of Public Health: email [mailto:coph@unmc.edu College of Public Health]. Click [http://www.unmc.edu/publichealth/ here] for additional information, including about the college's annual open house.<br />
*College of Allied Health Professions: email [mailto:cahpadmissions@unmc.edu College of Allied Health Admissions]. Click [http://www.unmc.edu/alliedhealth/ here] for additional information.<br />
*Graduate Studies: Call (402)559-4476 or email [mailto:unmcgraduatestudies@unmc.edu UNMC Graduate Studies]. Click [http://www.unmc.edu/gradstudies/ here] for additional information.<br />
*Munroe Meyer Institute: Call (402)559-6430 or email [mailto:munroemeyer@unmc.edu Munroe Meyer Institute]. Click [http://www.unmc.edu/mmi/ here] for additional information.<br />
<br />
==General Public ==<br />
The general public is welcome to attend a tour of campus at a designated time that will occur twice a year. This program will be directed by Public Relations, and include about an hour on campus: 15 to 20 minutes of introduction to the campus (video/PowerPoint), followed by a 30-minute walking tour of campus.<br />
==VIPs==<br />
Public Relations will accommodate requests that come from the Chancellor’s office. Each college/division will take care of tours for their own guests.<br /><br />
==Additional Information==<br />
*Contact [mailto:jhauser@unmc.edu UNMC Safety].<br /><br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Sponsored_Project_Cost_Share&diff=13629Sponsored Project Cost Share2023-03-21T15:58:19Z<p>Dpanowic: /* Criteria for Determining Unallowable Cost Share Expenses */</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Sponsored Programs]] | [[Sponsored Programs Costing]] | [[Institutional Base Salary]] | [[Sponsored Project Cost Share]] | [[Effort Certification]] | [[Cost Transfer]] | [[Service Center]] | [[Subrecipient Policy]] | [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
<br /><br /><br />
<br />
Policy No.: '''6104'''<br /><br />
Effective Date: '''06/27/02'''<br /> <br />
Revised Date: '''08/11/22'''<br /><br />
Reviewed Date: '''08/11/22'''<br /><br />
<br /><br />
<big>'''Sponsored Project Cost Share Policy'''</big><br />
== Purpose == <br />
To establish policy for the funding, accounting and reporting of cost share requirements on sponsored projects.<br />
== Policy ==<br />
The University of Nebraska Medical Center (UNMC) policy does not allow for voluntary committed cost sharing without prior approval of the Vice Chancellor of Research or designee.<br /><br />
<br /> <br />
Cost share committed on sponsored projects is to be limited to the minimum amount necessary to meet sponsors' requirements for the following reasons: <br />
*Exceeding the sponsor’s mandated level for cost sharing rarely improves the likelihood of an award.<br />
*Identifying, tracking and reporting of cost sharing increases administrative duties.<br />
*Cost sharing salary reduces the amount of salary eligible to be recovered from external sponsors.<br />
*Per the Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards or [https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 Uniform Guidance 2 CFR Part 200.306] voluntary committed cost sharing is not expected and it cannot be used as a factor during the merit review of applications or proposals. It may be considered if it is both in accordance with the Federal awarding agency regulations and specified in a notice of funding opportunity.<br />
*Cost share commitments negatively impact negotiation of UNMC’s F&A rate. <br />
The principal investigator is responsible for maintaining records of all project-related costs, including cost share through the use of a cost share companion account.<br /><br />
<br /> <br />
Per federal regulations [https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 2 CFR § 200.306], cost sharing must be accounted for through university financial records. To identify, track and report cost share commitment on sponsored projects, UNMC uses three mechanisms: <br />
*UNMC Internal Budget: UNMC policy requires that the amount, category (e.g., salary, equipment) and type of cost share (i.e., mandatory or voluntary committed) and its funding source (i.e., cost center) be documented on UNMC’s internal budget.<br />
*Cost Share Companion Account: UNMC policy requires that [https://info.unmc.edu/management/finance/spaccounting/proc_for_cost_sharing__companion_accounts_ver4-1.pdf UNMC Procedures for Cost Sharing and Companion Accounts] be established to document that: <br />
:*cost share commitments to the sponsored project were met<br />
:*funds used to meet matching requirements were used only once<br />
<br />
== Criteria for Determining Allowable Cost Share Expenses ==<br />
In general, cost-shared expenses must meet the same standards as expenses made using the sponsor's funds. In addition, cost-shared expenses must be: <br />
*Determined allowable by sponsor policy and program guidelines<br />
*Allowable under UNMC policy, per UNMC Policy No. 6100, [[Sponsored Programs Costing]]<br />
*Verifiable in the UNMC’s accounting record<br />
* Necessary and reasonable to efficiently achieve the objectives of the program<br />
*Incurred during the effective period of the award<br />
See also UNMC Policy No. 6100, [[Sponsored Programs Costing]].<br />
==Criteria for Determining Unallowable Cost Share Expenses==<br />
The following are examples of expenses which are not allowable as cost sharing:<br />
*Costs associated with use of UNMC facilities <br />
*Cost of using any item of equipment purchased with federal funds<br />
*Expenses that are not directly connected with performance of the project<br />
*Expenses that can not be verified in the project accounting records<br />
*Resources committed as cost share for other projects<br />
*Expenses recovered through the Facilities and Administrative Costs (F&A) paid by the sponsor<br />
*UNMC IBS Salary in excess of NIH salary limitation level (NIH Salary Cap) on NIH projects<br />
See also UNMC Policy No. 6102, [[Institutional Base Salary]].<br />
<br />
*Federal funds unless approved by sponsor<br />
<br />
Other unallowable expenses are detailed in UNMC Policy No. 6100, [[Sponsored Programs Costing]].<br />
<br />
== Definitions ==<br />
'''''Cost Sharing''''' (also called matching) refers to the specific portion of the project or program costs not funded by the sponsor. Cost sharing occurs when a cost specifically benefits a sponsored project but is not charged to the sponsor. Typically, cost sharing is a direct cost such as salary or equipment. If a sponsor limits F&A (indirect costs) eligible to be charged to a project, unrecovered F&A may be allowed as cost share if sponsor has approved. There are 3 types of cost sharing: <br />
*'''''Mandatory''''': Costs required by the terms of the award or by federal statute that the University must contribute toward the project as a component of the award. The two major categories include: <br />
:*'''''Cash''''': Actual expenditure of funds (e.g. salaries, equipment, travel)<br />
:*'''''Non-Cash (In-kind)''''': Contributions to the project other than cash (e.g. effort of non-employee volunteers) <br />
*'''''Voluntary Committed''''': Cost associated with a project, identified in the proposal, yet not requested from the sponsor. Common examples include: <br />
:*'''''Effort''''': A percentage effort (e.g., for faculty or senior researchers) included in a proposal budget or stated in the text of the proposal for which compensation is not requested; and<br />
;*'''''Equipment''''': The purchase of equipment for the project that was identified in the proposal; however, funds were not requested of the sponsor.<br />
*'''''Voluntary Uncommitted''''': Cost associated with a project, not funded by the sponsor, and not identified in the proposal, or in any other communication to the sponsor as a commitment of the University. Includes: <br />
:*Effort of faculty or senior researchers that is beyond the effort committed and budgeted for in a sponsored agreement. <br />
'''''Effort''''': See also [[Effort Certification|UNMC Policy 6105, Effort Reporting]]. To comply with UNMC policy and federal policies, principal investigators must commit some effort on each individual sponsored program whether federal or non-federal, whether paid or not paid by the sponsor. Exceptions to this requirement include training grants, dissertation support, limited purpose awards (e.g., travel grants, conference support), or salary support provided by another funding source, such as career awards.<br />
==Additional Information==<br />
*[mailto:mhrncirik@unmc.edu Senior Manager, Financial Compliance and Cost Analysis]<br />
*[http://info.unmc.edu/management/finance/fincompliance/index.html Financial Compliance and Cost Analysis]<br />
*[https://info.unmc.edu/management/finance/spaccounting/proc_for_cost_sharing__companion_accounts_ver4-1.pdf UNMC Procedures for Cost Sharing and Companion Accounts]<br />
*[http://info.unmc.edu/media/spaccounting/inkind_contribution_form.pdf In-Kind (Third Party) Contribution Record Form] <br /><br />
*Office of Management and Budget’s (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards or [https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306 Uniform Guidance 2 CFR Part 200.306]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Health_Care_Vendor_Interactions&diff=13621Health Care Vendor Interactions2023-03-13T18:24:16Z<p>Dpanowic: Update reviewed date.</p>
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<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
Policy No.: '''8015'''<br /><br />
Effective Date: '''08/31/15'''<br /><br />
Revised Date: ''' 09/01/20'''<br /><br />
Reviewed Date: '''03/10/23'''<br /><br /><br />
<big>'''Health Care Vendor Interactions Policy'''</big><br />
== Policy ==<br />
Health care vendors provide UNMC with information, products, services, and funding to further UNMC’s mission. Health care vendors’ promotional practices may influence health care providers’ treatment choices and the future practice of health care trainees. UNMC faculty, staff, students and trainees (“UNMC Personnel”) shall abide by this policy to minimize potential conflicts of interest that may result from interactions with health care vendors that could compromise patient safety, academic and research integrity, and the reputation of UNMC. This policy is intended to be consistent within Nebraska Medicine policies, including MS40, [http://now.nebraskamed.com/?utm_source=default&utm_medium=ie&utm_campaign=now Pharmaceutical, Biotechnology, Nutritional Company, Pharmacy and Healthcare Service Vendors]. <br />
==Scope==<br />
This policy applies to interactions between UNMC Personnel and health care vendors, both on-campus and off-campus, and includes interactions in support of clinical care, education, training and research. <br />
<br />
A health care vendor means an agent or other representative of a pharmaceutical, nutritional, biotechnology or other health care product or services provider, manufacturer or company. A representative includes, but is not limited to, (i) a person in sales, marketing, education, research or management or (ii) a scientific liaison professional. <br />
==Procedures==<br />
===Vendor Access to UNMC Personnel On Campus===<br />
====On Campus Visits====<br />
Health care vendors are not permitted to visit UNMC Personnel on campus without proper identification and prior approval from a faculty member or non-faculty manager. Health care vendors visiting Clinical Enterprise departments shall register in Reptrax and follow MS40. Health care vendors attending UNMC vendor fairs are required to register with the UNMC Procurement Department. <br />
====Trainees====<br />
Health care vendors shall not contact UNMC Personnel who are residents, students or trainees, except where such contact is incidental to (i) invited attendance at either (a) departmental educational events or (b) in-service training scheduled by UNMC faculty or managers, (ii) attendance at UNMC-sponsored vendor fairs, or (iii) attendance related to clinical care if and only if the health care vendor is part of the health care team related to that clinical care (e.g. implant vendors).<br />
===Vendor Gifts and Donations===<br />
====Food====<br />
UNMC Personnel and students are prohibited from accepting food or monetary donations to purchase food from health care vendors at activities held on-campus, including but not limited to meetings, grand rounds, educational events and vendor exhibits. <br />
====Vendor Marketing Items====<br />
UNMC Personnel shall not accept either (i) gifts (e.g., gift baskets or event tickets) or (ii) marketing or other promotional materials (e.g., pens or paper pads) of any description from health care vendors. UNMC Personnel shall not permit health care vendors to leave any marketing items in any UNMC facility and shall promptly remove any such items. <br />
====Unrestricted Educational Grants====<br />
Unrestricted educational grants may be used to support UNMC-sponsored accredited continuing education. Such support for UNMC accredited continuing education must be initiated through the appropriate UNMC accredited provider who will then submit the application for support. Once a grant is approved by a vendor, the letter of agreement must be signed or electronically accepted by Business & Finance authorized personnel. Any health care vendor funding for UNMC accredited continuing education programs shall be transferred directly to the UNMC accredited provider which then has the responsibility for disbursement and reconciliation of the funds. All vendor support for accredited continuing activities shall be recognized in materials distributed to participants.<br />
====Paid Attendance at Conferences====<br />
UNMC Personnel may not accept payment or reimbursement of expenses or other funding from health care vendors in compensation for attending vendor-specified conferences or meetings if such attendance is solely in a passive capacity (e.g., not engaging in permitted presentations or otherwise providing conference services). UNMC Personnel are reminded that the Federal Anti-Kickback statute prohibits acceptance of in-cash or in-kind remuneration from a health care vendor that may intend to induce the purchase or prescribing of the vendor’s products<br />
====Equipment Loans and Donations for Education Training and Research====<br />
Departments may not accept equipment and other training materials for educational and research purposes, whether donated or loaned, from health care vendors, unless such acceptance is in compliance with this paragraph and consistent with this policy. Any such donations or loans shall be made to the department and not to individual UNMC Personnel. Receipt or acceptance of the same shall only be upon execution of appropriate agreement which shall include any agreements for any certified/accredited continuing education provider. Agreements shall be signed by the appropriate signatory in accordance with [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/delegation-of-administrative-authority-to-approve-certain-types-of-university-contracts.pdf Executive Memoranda 14]. <br />
====Drug and Nutritional Samples====<br />
UNMC Personnel shall follow the Nebraska Medicine [http://now.nebraskamed.com/?utm_source=default&utm_medium=ie&utm_campaign=now Drug and Nutritional Samples] Policy (MS02).<br />
====UNMC/Nebraska Medicine Sponsorship of Community Activities====<br />
UNMC/Nebraska Medicine may sponsor community fundraising events and offer free tickets to the community event to their employees (e.g. luncheons, dinners, galas). These community events may be hosted by organizations that provide services to UNMC/Nebraska Medicine. UNMC Personnel may accept tickets for and attend such events. <br />
===Performing Services for Health Care Vendors===<br />
====UNMC Employment====<br />
UNMC personnel may perform services for health care vendors as a part of their UNMC employment if the services are within the scope of the UNMC mission to lead the world in transforming lives to create a healthy future for all individuals and communities through premier educational programs, innovative research and extraordinary patient care. UNMC Personnel may consult with the Vice Chancellor for Research, Vice Chancellor for Business and Finance, or the Conflict of Interest Officer for assistance in determining if an activity is within UNMC’s mission. UNMC Chancellor approval is required for any activity that may appear to be a UNMC endorsement of a commercial product or service under Board of Regents policy 3.3.9, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf Endorsements of Commercial Goods and Services by the University and University Staff]. <br />
====Outside Professional Activity====<br />
UNMC Personnel may perform services for health care vendors as outside professional activity, as permitted by UNMC Policy No. 1049, [[Outside Employment]]. However, effective July 1, 2015, UNMC Personnel are prohibited from entering into or renewing agreements for direct marketing activities on behalf of health care vendors (including speaker’s bureaus), except as provided in this paragraph. UNMC Personnel may market products licensed by UNMC, UNeMED or another University of Nebraska technology transfer entity after full disclosure of financial interest in accordance with UNMC Policy No. 8010, [[Conflict of Interest]]. UNMC Personnel also may provide unbranded disease awareness presentations sponsored by health care vendors with disclosure to and approval by Department chairs. <br />
*Speaker’s Bureau: UNMC personnel are prohibited from participating in speaker’s bureaus. Personnel shall not present content developed by a vendor for a vendor. Personnel are permitted to present original content as it pertains to unbranded disease awareness, but not content developed by a vendor for a vendor.<br />
*Unbranded Disease Awareness: UNMC Personnel are permitted to provide unbranded disease awareness that has been developed by the individual for the purposes of educating on a specific disease, but contains no reference to specific vendors or marketing objectives.<br />
====Disclosing Outside Financial Interests====<br />
UNMC Personnel must disclose outside financial or intellectual property interests (includes immediate family members) that relate to University responsibility and/or board membership with health care vendors on the Annual Disclosure of Financial Interest form, as required by UNMC Policy No. 8010, [[Conflict of Interest]]. UNMC Personnel shall disclose all related outside financial interests with health care vendors in publications, presentations and to students during teaching activities (e.g., vendor-paid authorship of course materials). UNMC Personnel who have a direct role in selecting health care vendor products or services for UNMC or its affiliated hospitals and clinics must disclose any potential conflict of interest to the purchasing unit or decision making committee and not participate in any related committee votes. <br />
====Ghostwriting====<br />
UNMC Personnel are prohibited from publishing under their own name articles that are written in whole or in part by health care vendor representatives, unless their contribution is in compliance with International Committee of Medical Journal Editors (ICMJE) Guidelines for authorship.<br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*University of Nebraska [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/delegation-of-administrative-authority-to-approve-certain-types-of-university-contracts.pdf Executive Memoranda 14] <br />
*University of Nebraska [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policies]<br />
*University of Nebraska Regents Policy [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf 3.3.9, Endorsement of Commercial Goods and Services by the University and University Staff]<br />
*Nebraska Medicine [http://now.nebraskamed.com/?utm_source=default&utm_medium=ie&utm_campaign=now Drug and Nutritional Samples] Policy (MS02)<br />
*Nebraska Medicine [http://now.nebraskamed.com/?utm_source=default&utm_medium=ie&utm_campaign=now Pharmaceutical, Biotechnology, Nutritional Company, Pharmacy and Healthcare Service Vendors] Policy (MS40) <br />
<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Outside_Employment&diff=13620Outside Employment2023-03-13T18:22:06Z<p>Dpanowic: Update reviewed date.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20"><br />
[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Employee Leave]] | [[Drug Free Campus]] | [[Employment]] | [[Work Schedules]] | [[Employee Separation]] | [[Compensation Administration]] | [[Dress Code]] | [[Background Check]] | [[Recurring/Additional Payment]] | [[Employee Grievance Process]] | [[Reduction-in-Force]] | [[Outside Employment]] | [[Political Activities]] | [[Employee/Dependent Scholarship]] | [[Employee Recognition and Reward]] | [[Performance Evaluation]] | [[Corrective/Disciplinary Action]] | [[Non-Discrimination and Harassment]] | [[Tobacco-Free Campus]] | [[Nepotism]] | [[Influenza]] | [[Consensual Relationships]] | [[AIDS, HIV, and Other Bloodborne Pathogens]] | [[Personnel Action Documentation]] | [[Fitness for Duty]] | [[Sexual Misconduct]] | [[Personnel Files]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf NU Alternate Work Site Policy] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity]<br /><br /> <br />
Policy No.: '''1049'''<br /><br />
Effective Date: '''11/01/06'''<br /><br />
Revised Date: '''07/26/21'''<br /><br />
Reviewed Date: '''03/10/23'''<br /><br />
<br /> <br />
<big>'''Outside Employment Policy'''</big><br />
== Basis for Policy == <br />
The [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf University of Nebraska Board of Regents Policies] (pages RP-95, 98-100) and the <br />
[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf University of Nebraska Board of Regents Bylaws 3.4.5] require that:<br />
<br />
:Staff members employed on a part-time basis by the University, such as practicing lawyers or physicians, may engage in outside employment or activities unless it is expressly stipulated to the contrary in the conditions of employment. <br /><br />
<br />
:Staff members employed by the University, other than those covered in the preceding paragraph, shall be encouraged to engage in professional activities outside the University as a means of contributing to the economic growth and development of the state as well as broadening their experience and keeping them abreast of the latest developments in their specialized fields; provided such activities do not interfere with their regular duties at the University, or represent a conflict of interest. Staff members may accept temporary or occasional employment for such professional services when such employment is approved by the dean of the college or director of the institute involved and approved by the Chancellor. <br />
== Policy == <br />
#The University of Nebraska Medical Center (UNMC) declares and affirms a policy that encourages employees to engage in professional activities outside UNMC as a means of broadening their experience and keeping them abreast of the latest developments in their specialized fields. Employees may be employed by other external organizations or at other institutions provided such activities do not interfere with their regular duties at UNMC or create a conflict of interest (see UNMC Policy No. 8010, [[Conflict of Interest]]). <br />
#UNMC must be considered the employee’s primary employer. While the Outside Employment policy is not intended to restrict an employee’s personal rights, UNMC employment will take precedence in all matters involving work issues. Outside employment will not be considered a valid reason for absenteeism, tardiness, or poor job performance.<br />
#Full-time academic and administrative and managerial professional staff shall complete an Application for Authorization to Engage in Outside Professional Activity Form prior to engaging in outside professional employment. The Application for Authorization to Engage in Outside Professional Activity Form shall be submitted for no greater than a 12 month period. If an applicant is still actively participating in the submitted activity after the approved 12 month period, a new Application for Authorization to Engage in Outside Professional Activity Form shall be submitted via COI Smart. Part-time academic and administrative and managerial staff are not required to complete the form. Log on to COI-Smart at https://unmc.coi-smart.com/ utilizing your campus credentials to access the electronic Application for Authorization to Engage in Outside Professional Activity Form. Outside employment approval is not required for United States-based institutions of higher education, academic medical centers or governmental agencies.<br />
#The Application shall be reviewed by supervisory personnel. Vice Chancellors, deans, directors, and department chairs have primary responsibility for reviewing the specific nature of each proposed outside professional activity within their respective areas of responsibility. They may deny approval for any activity that would interfere with normal UNMC duties.<br />
#Applications shall be forwarded to the Chancellor for final campus review. Applications requiring Board of Regents approval will be forwarded to Central Administration. <br />
#Once final approval has been received, the Compliance Department shall retain the original form and provide copies to the department head and the applicant.<br />
==Additional Information==<br />
*Compliance Department, 402-559-3784<br />
*[mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activity] Form<br />
<br /> <br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].<br /></div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13619Policies and Procedures2023-03-13T18:20:29Z<p>Dpanowic: Update reviewed dates for policies 1049 and 8015.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|03/10/23<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|DRAFT<br />
|<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|03/10/23<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|08/25/22<br />
|08/25/22<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Conflict_of_Interest_Procedures&diff=13618Conflict of Interest Procedures2023-03-13T18:02:17Z<p>Dpanowic: </p>
<hr />
<div>[[Human Resources]] | [[Safety/Security]] | [[Research Compliance]] | '''[[Compliance]]''' | [[Privacy/Information Security]] | [[Business Operations]] | [[Intellectual Property]]<br />
<br /><br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br />
<br /><br /><br />
'''<big>Business Conflict of Interest Procedures </big>'''<br />
<br /><br /> <br />
==Definitions == <br />
'''Conflict of Interest''' refers to situations when the employee’s personal financial interests or fiduciary duties owed to third parties, such as immediate family, may compromise, or have the appearance of compromising, the employee’s professional judgment or behavior in carrying out their obligations to the University of Nebraska Medical Center.<br /><br />
'''Immediate family''' shall mean wife, husband, children, grandchildren, parents, grandparents, brother, sister, daughter-in-law, son-in-law, guardian, ward, stepfather, stepmother, stepchildren, or persons bearing the same relationship to the spouse of the employee.<br /><br />
'''Covered Person''' refers to faculty, staff, volunteers, trainees, students, independent contractors and other persons whose conduct, in the performance of work for UNMC, is under the direct control of UNMC, whether or not they are paid by UNMC.<br />
== Examples of Conflicts of Interest ==<br />
===Seeking/Accepting Gifts===<br />
No Covered Person will seek or accept anything of value given which could influence them in the discharge of official duties. For example, acceptance of a valuable gift or service from an organization with which the university is, has or will be negotiating an agreement or conducting business, would be a conflict of interest. Gift does include a breakfast, luncheon, dinner, or other refreshments consisting of food and beverage provided for immediate consumption. <br />
<br />
UNMC does not permit Covered Persons to solicit UNMC vendors, other UNMC employees or UNMC departments for contribution or purchase of prizes, favors, awards, drawings, or anything of value. The annual United Way fund drive is exempted from this policy. Prior written approval of any other exemption to this policy may be granted in exceptional circumstances by the Vice Chancellor for Business, Finance and Business Development or their designee. <br />
===Improper Use of Office or Position===<br />
No Covered Person will knowingly use an official position to obtain special privileges or advantages from individuals or businesses except as specifically provided by the Board of Regents policy. '''Examples''' include but are not limited to the following: <br />
<br />
* Attempting to influence, directly or indirectly, the relationship between the University and an organization in which the individual has interest.<br />
* Disclosure of confidential information concerning university-owned technology to an organization for personal profit and advantage (possibly in violation of confidentiality obligations to research sponsors or licensees).<br />
===Commercial Transactions===<br />
No Covered Person may sell, or cause to be sold, either as an individual or through any business enterprise in which that individual holds a substantial financial interest, any goods or services unless approved by the Vice Chancellor for Business and Finance or appointed designee. <br />
<br />
For example, a Covered Person may not purchase services or equipment from an organization in which the Covered Person has a financial interest, has a consulting or other arrangement providing income to the Covered Person and/or on whose board the Covered Person serves.<br />
===Purchasing of Goods or Services from Immediate Family Members===<br />
No Covered Person may purchase, or cause to be purchased, on behalf of the UNMC any good or services directly or indirectly from an immediate family member under Board of Regents policy 6.2.1 Sec.11. Any such purchase would be considered a conflict of interest.<br /><br />
<br />
Immediate family members of a Covered Person are not barred from such sales of goods or services; such conflicts can be managed when the authorized decision maker to purchase such goods or services is an employee with no conflict of interest in the purchase and not subordinate to the employee with the conflict of interest.<br />
===Service on External Non-profit, Governmental or For-profit Governance Boards===<br />
A Covered Person may serve on external non-profit, governmental or for-profit governance boards, however if such service in any way could create an actual or perceived conflict of interest, the services must be declared and managed by the employee’s supervisor. <br />
===Outside Employment or Compensation===<br />
No Covered Person may receive or solicit outside employment, including paid service on a governance board, or compensation that would impair the independence of judgment of the individual in performing duties as an employee of UNMC. Refer to UNMC Policy No. 1049, [[Outside Employment]].<br />
== Reporting Potential Conflict of Interest == <br />
A Covered Person who proposes to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire].<br />
== Management of Potential or Actual Conflict of Interest == <br />
The following is a list of possible management strategies to manage the potential or actual conflict of interest: <br />
<br />
# No action beyond disclosure of the COI.<br />
# Sever the relationship between the Covered Person and the organization that causes the conflict.<br />
# The supervisor can be the decision maker or delegate the decision for the purchase of goods or services, instead of the Covered Person, in order to eliminate any conflict.<br />
<br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]] <br />
*UNMC Policy No. 1049, [[Outside Employment]] <br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*[[Research Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activities]<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: March 13, 2023</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Research_Conflict_of_Interest_Procedures&diff=13617Research Conflict of Interest Procedures2023-03-13T18:00:30Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
<big>Research Conflict of Interest Procedures </big><br />
==Introduction == <br />
Potential research conflicts of interest arise in a variety of circumstances in the academic medical center setting. '''Examples''' include but are not limited to the following: <br />
#Receipt of significant consulting fees, honoraria, speakers’ bureaus fees and other payment or remuneration from commercial sponsors of research;<br />
#Payments related to recruiting or enrolling research subjects;<br />
#Financial interests in commercial sponsors of research;<br />
# Royalty interests resulting from publications, products or technology;<br />
#Philanthropic support from commercial sponsors of research;<br />
# Serving as a director of a company that sponsors research;<br />
#Employing research subcontractors in which a Covered Person or an immediate member of their family has a substantial financial interest.<br />
== Definitions==<br />
===Covered Persons ===<br />
All individuals engaged in research for or on behalf of UNMC. Any financial interest accruing to the immediate family, including parent(s), or spouse of a parent, spouse, dependent child of a Covered Person, or anyone that a Covered Person may claim as a dependent under the Internal Revenue Code; or any financial interest accruing to a business or other entity in which the Covered Person or their immediate family member owns a controlling interest, will be treated as a financial interest of the Covered Person.<br />
===Responsible Person===<br />
The principal investigator and any other person who, in the principal investigator’s professional judgment, is responsible for the design, conduct or reporting of the research, whether or not salary is requested. The term “Responsible Person” may include research coordinators and technicians. <br />
===Conflict of Interest (COI)===<br />
Situations when the Covered Person’s personal financial interests or fiduciary duties owed to third parties may compromise, or have the appearance of compromising, a Covered Person’s professional judgment or behavior in carrying out their research obligations. <br />
===Significant Financial Interest===<br />
Anything of monetary value that exceeds $5,000 received in the past twelve months or anticipated to be received in the next twelve months, from sources that might reasonably appear to be affected by the Covered Person’s research activities. For equity holdings the limit is $500. Significant financial interest examples include but are not limited to: <br />
#Salary, royalties, or a commitment for future royalties or other remuneration received outside of the University of Nebraska system, Nebraska Medicine or University Dental Associates (UDA);<br />
#Other income or payments for services (e.g. consulting fees, permitted speaking engagements or honoraria) except for<br />
## income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; and<br />
##income from service on advisory committees or review panels for public or nonprofit entities;<br />
#Intellectual property rights (e.g. patents, copyrights and royalties from such rights);<br />
# Equity interests (e.g. stocks, stock options or other ownership interests, both direct and indirect, i.e. trusts, etc.) that when aggregated for the Covered Person and the Covered Person’s spouse, parent, spouse of parent, and dependent children, exceeds $500 in value as determined through reference to public prices or other reasonable measures of fair market value, or represents more than five percent (5%) ownership interest in a single entity. Financial interests in mutual funds or retirement accounts where investment decisions are not under your direct control are excluded.<br />
===Foreign Entities===<br />
Foreign entities include, by way of example: foreign governments and agents thereof; foreign colleges, universities, and research institutions; business associations organized under or otherwise subject to the laws of foreign jurisdictions; and foreign journals and professional organizations.<br />
===Foreign Support ===<br />
Financial or non-financial support for any aspect of any activity received by a Covered Person from a foreign entity. Examples of non-financial foreign support include but are not limited to:<br />
#Exchanges of data or other research materials;<br />
#Donations of equipment, software, or other materials;<br />
#Payment of travel-related expenses, including meals and lodging; and<br />
# Conferral of professional or honorary titles; academic, research, or clinical appointments; or other positions at a foreign entity, whether compensated or uncompensated.<br />
=== Activities Supported by Foreign Entities===<br />
Any activity for which a foreign entity provides financial or non-financial foreign support. Examples of activities supported by foreign entities include but are not limited to:<br />
#Serving as an employee or agent of a foreign entity;<br />
#Collaborating in research with a foreign entity, including designing experiments, collecting and analyzing data, preparing manuscripts for presentation or other publication, and presenting or otherwise publishing the results of research;<br />
#Providing consulting services to a foreign entity, whether or not such services are compensated; and<br />
#Developing partnerships or other business relationships with a foreign entity;<br />
#Accepting gifts, including donations of funding, accommodations, travel-related expenses, equipment, software, or any materials to be used in support of research, from a foreign entity.<br />
===Institutional Conflict of Interest” (“Institutional COI”)===<br />
May occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a university research project, including potential conflicts with equity/ownership interests or royalty arrangements. An '''example''' of a potential Institutional COI is a proposed research project funded in whole or in part by an entity in which UNMC, an affiliated corporation, or other entity created to promote and facilitate technology transfer at UNMC (i.e., UNeMed), owns an equity interest or a future right to own an equity interest, the fair market value of which is greater than $500 or represents more than five percent (5%) ownership interest. <br><br />
<br />
The following '''example''' would not normally be considered an Institutional COI: an equity, royalty or other interest held in a University of Nebraska endowment or similar account, which is segregated from the decision making processes of research activities. For example, a stock interest held in an account managed by a University of Nebraska Office of Business and Finance would not trigger a reporting requirement. <br />
==Conflict of Interest Officer==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Officer (“COI Officer”) who shall be responsible for and is authorized to oversee and monitor implementation and compliance with these Procedures. The COI Officer shall also be responsible to provide guidance and interpretation to Covered Persons seeking to comply with these Procedures, and to carry out the duties associated with reporting conflicts of interest. <br />
==Conflict of Interest Committee==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Committee (“COI Committee”) comprised of faculty, research staff, academic administrators, business operations personnel, at least one member of the Institutional Review Board (“IRB”) and at least one community member to fulfill the duties outlined in these Procedures. The COI Committee shall be a standing committee that operates in accordance with the guidelines set forth in UNMC Policy No. 8010, [[Conflict of Interest]], and shall be chaired by a senior faculty member appointed by the Chancellor. <br />
==Reporting Potential Conflicts==<br />
===Conflicts of Interest===<br />
#'''Initial disclosure.''' All faculty members, directors, administrators and department heads (or equivalents) shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within 30 days of initial appointment/hire. The unit Personnel Action Form (PAF) Coordinators are responsible for ensuring forms are completed in a timely manner.<br />
#'''New potential conflicts.''' Covered Persons who propose to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] and submit it to the COI Officer.<br />
#'''Grant Applications and Sponsored Programs Agreements.''' Covered Persons who are principal investigators on grant applications or who submit a sponsored program agreement shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration as a part of the application process. All other Responsible Persons (individuals who are responsible for the conduct, design, or reporting of the research, whether or not salaries are requested) shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration at the time the grant is awarded. Sponsored Programs Administration shall report the existence of a COI and the management plan to federal grant administering agencies when required by federal regulation or the terms of the research grant.<br />
#'''IRB Applications.''' Covered Persons listed in Section I of the IRB application shall submit a conflict of interest disclosure form as a part of the application process to the Office of Regulatory Affairs pursuant to UNMC Human Research Protection Program Policy 1.22.<br />
#'''Changes in or Reporting New Existing COI.''' Any increase that would make the total remuneration greater than $5,000 would elevate the financial interest to a significant financial interest and requires disclosure within 30 days of increase. Covered Persons shall update their [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within thirty (30) days of discovering or acquiring a significant financial interest. Covered Persons are responsible for updating and maintaining their Annual Disclosure of Financial Interest Questionnaire throughout the reporting calendar year, to include removing, modifying or adding new conflicts of interest.<br />
#'''Foreign support and activities supported by foreign entities.''' Pursuant to UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]], Covered Persons who participate in activities supported by foreign entities or who otherwise receive foreign support must disclose the nature of the activities and/or support on an Annual Disclosure of Financial Interest Questionnaire and submit it to the COI Officer.<br />
<br />
===Institutional Conflict of Interest===<br />
In order to avoid real and perceived favoritism in long-term or repeated dealings with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person that has knowledge of potential Institutional COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] for review. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and implement a management plan if appropriate. Sponsored Programs Administration shall report the significant Institutional COI to federal grant administering agencies when required by federal regulation or the terms of the research grant. <br />
==COI Officer Action==<br />
The COI Officer shall review all conflict of interest disclosure forms and determine in their professional judgment whether any action should be taken in response to potential conflicts. If the COI Officer determines that a non-significant financial conflict of interest is of issue, the COI Officer shall coordinate with the Covered Person to create a proposed management plan. For significant financial interests, the COI Officer shall submit the COI disclosure and the proposed management plan to the COI Committee for review, approval or modification. <br />
==COI Committee Action==<br />
The COI Committee shall consider the nature of the activity, the magnitude of the COI and its relation to the Covered Person’s research, the potential impact the COI might have on the integrity of the Covered Person’s decisions, and such other considerations as the COI Committee shall deem relevant in order to make a decision. The COI Committee shall then determine whether the proposed management plan will adequately reduce the impact of the COI and state its determination on the Conflict of Interest Committee Action Form. In rare instances, the COI Committee may determine that no management plan could adequately manage the COI, and therefore prohibit the Covered Person from participating in the activity. The COI Officer shall forward a copy of the approved management plan to the Covered Person, the Covered Person’s supervisor, Sponsored Programs Administration, and also to the IRB for review and further modification if human subjects research is involved. <br />
==Management of COI==<br />
The following is a non-exhaustive list of '''example''' Management Plan strategies provided to serve as guidance to the COI Officer and the COI Committee. <br />
#Take no action beyond disclosure of the COI to UNMC and/or the research sponsor.<br />
#Disclose the COI to the academic and professional communities in presentations and publications; the research sponsor through written notification; and research participants through informed consent documents when human subjects are involved.<br />
#Require independent monitoring of the research or other academic project.<br />
#Require modification of the research protocol to manage potential bias through means such as blinding; modifying the scope of the project; and setting timetables for delivery of the product.<br />
#Designate a peer or supervising co-investigator with no COI in the project to assume the lead investigative role.<br />
#Require divestiture or appropriate reduction of the financial interest giving rise to the COI with restrictions on re-investment for an appropriate period to provide for publication and critique of the completed project.<br />
#Require severance of relationships existing between the Covered Person and the company or other entity that is the source of the COI.<br />
#Require removal of contract terms which create the COI. For example, under no circumstances shall UNMC engage in projects where payment is defined by the outcome of the research.<br />
#After careful consideration of less prohibitive alternatives, the Covered Person may be disqualified from participation in all or a portion of the research or other project when a COI exists (e.g. may not enroll human research subjects, obtain informed consent, or analyze data).<br />
==Institutional Review Board (IRB) Management Plan Review.==<br />
When the COI Committee develops management plans for COI involving human subjects research, the IRB shall review the management plan or advise the IRB of Record or Office of Regulatory Affairs for the study. The IRB may require more stringent management of the COI within the scope of authority given to the IRB by federal regulations for the protection of human subjects. However, the IRB may not adopt less stringent management than the COI Committee plan. The IRB shall notify the COI Officer of its decision. The IRB shall incorporate and require implementation of the approved management plan strategies applicable to the research into the approved protocol. <br /><br />
<br />
See UNMC Human Research Protection Program Policy 1.22 for further information. <br />
==Corrective Action== <br />
Covered Persons who do not disclose potential conflicts of interest they have pursuant to these Procedures, or who choose not to comply with COI Officer or COI Committee determination and recommendations, may be reassigned to an activity in which they have no COI. Further, such failure or refusal to comply shall be cause for disciplinary consideration and grounds for employment or academic action.<br />
<br />
The COI Officer shall notify the sponsor via their defined method when the COI Committee has determined that the failure of the Covered Person to comply with this policy has biased the design, conduct, or reporting of the PHS-funded research in accordance with 42 CFR Part 50 Subpart F. <br />
==Recordkeeping== <br />
The COI Officer shall retain the forms, records and COI Committee minutes processed pursuant to this policy for purposes of documenting the existence and/or identification of conflicts of interest and commitment and their resolution. Records shall be retained for no less than seven (7) years following the cessation of the outside activity to which they relate. <br />
==Audits==<br />
Management of the research conflict of interest program may be audited as a part of the UNMC compliance program. <br />
==Open Meetings and Public Records Concerns==<br />
No proceedings under this Policy, including those of the COI Committee, are subject to the public meetings laws of the State of Nebraska, Neb. Rev. Stat. §84-1408 et. seq. as amended. The records generated pursuant to this policy are confidential except to the extent they are required to be disclosed pursuant to the Public Records laws found at Neb. Rev. Stat. §84-712 et. seq. as amended, or other law requiring disclosure. <br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*Business [[Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activities]<br />
<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: March 13, 2023</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Research_Conflict_of_Interest_Procedures&diff=13616Research Conflict of Interest Procedures2023-03-13T17:59:31Z<p>Dpanowic: </p>
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[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
<big>Research Conflict of Interest Procedures </big><br />
==Introduction == <br />
Potential research conflicts of interest arise in a variety of circumstances in the academic medical center setting. '''Examples''' include but are not limited to the following: <br />
#Receipt of significant consulting fees, honoraria, speakers’ bureaus fees and other payment or remuneration from commercial sponsors of research;<br />
#Payments related to recruiting or enrolling research subjects;<br />
#Financial interests in commercial sponsors of research;<br />
# Royalty interests resulting from publications, products or technology;<br />
#Philanthropic support from commercial sponsors of research;<br />
# Serving as a director of a company that sponsors research;<br />
#Employing research subcontractors in which a Covered Person or an immediate member of their family has a substantial financial interest.<br />
== Definitions==<br />
===Covered Persons ===<br />
All individuals engaged in research for or on behalf of UNMC. Any financial interest accruing to the immediate family, including parent(s), or spouse of a parent, spouse, dependent child of a Covered Person, or anyone that a Covered Person may claim as a dependent under the Internal Revenue Code; or any financial interest accruing to a business or other entity in which the Covered Person or their immediate family member owns a controlling interest, will be treated as a financial interest of the Covered Person.<br />
===Responsible Person===<br />
The principal investigator and any other person who, in the principal investigator’s professional judgment, is responsible for the design, conduct or reporting of the research, whether or not salary is requested. The term “Responsible Person” may include research coordinators and technicians. <br />
===Conflict of Interest (COI)===<br />
Situations when the Covered Person’s personal financial interests or fiduciary duties owed to third parties may compromise, or have the appearance of compromising, a Covered Person’s professional judgment or behavior in carrying out their research obligations. <br />
===Significant Financial Interest===<br />
Anything of monetary value that exceeds $5,000 received in the past twelve months or anticipated to be received in the next twelve months, from sources that might reasonably appear to be affected by the Covered Person’s research activities. For equity holdings the limit is $500. Significant financial interest examples include but are not limited to: <br />
#Salary, royalties, or a commitment for future royalties or other remuneration received outside of the University of Nebraska system, Nebraska Medicine or University Dental Associates (UDA);<br />
#Other income or payments for services (e.g. consulting fees, permitted speaking engagements or honoraria) except for<br />
## income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; and<br />
##income from service on advisory committees or review panels for public or nonprofit entities;<br />
#Intellectual property rights (e.g. patents, copyrights and royalties from such rights);<br />
# Equity interests (e.g. stocks, stock options or other ownership interests, both direct and indirect, i.e. trusts, etc.) that when aggregated for the Covered Person and the Covered Person’s spouse, parent, spouse of parent, and dependent children, exceeds $500 in value as determined through reference to public prices or other reasonable measures of fair market value, or represents more than five percent (5%) ownership interest in a single entity. Financial interests in mutual funds or retirement accounts where investment decisions are not under your direct control are excluded.<br />
===Foreign Entities===<br />
Foreign entities include, by way of example: foreign governments and agents thereof; foreign colleges, universities, and research institutions; business associations organized under or otherwise subject to the laws of foreign jurisdictions; and foreign journals and professional organizations.<br />
===Foreign Support ===<br />
Financial or non-financial support for any aspect of any activity received by a Covered Person from a foreign entity. Examples of non-financial foreign support include but are not limited to:<br />
#Exchanges of data or other research materials;<br />
#Donations of equipment, software, or other materials;<br />
#Payment of travel-related expenses, including meals and lodging; and<br />
# Conferral of professional or honorary titles; academic, research, or clinical appointments; or other positions at a foreign entity, whether compensated or uncompensated.<br />
=== Activities Supported by Foreign Entities===<br />
Any activity for which a foreign entity provides financial or non-financial foreign support. Examples of activities supported by foreign entities include but are not limited to:<br />
#Serving as an employee or agent of a foreign entity;<br />
#Collaborating in research with a foreign entity, including designing experiments, collecting and analyzing data, preparing manuscripts for presentation or other publication, and presenting or otherwise publishing the results of research;<br />
#Providing consulting services to a foreign entity, whether or not such services are compensated; and<br />
#Developing partnerships or other business relationships with a foreign entity;<br />
#Accepting gifts, including donations of funding, accommodations, travel-related expenses, equipment, software, or any materials to be used in support of research, from a foreign entity.<br />
===Institutional Conflict of Interest” (“Institutional COI”)===<br />
May occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a university research project, including potential conflicts with equity/ownership interests or royalty arrangements. An '''example''' of a potential Institutional COI is a proposed research project funded in whole or in part by an entity in which UNMC, an affiliated corporation, or other entity created to promote and facilitate technology transfer at UNMC (i.e., UNeMed), owns an equity interest or a future right to own an equity interest, the fair market value of which is greater than $500 or represents more than five percent (5%) ownership interest. <br><br />
<br />
The following '''example''' would not normally be considered an Institutional COI: an equity, royalty or other interest held in a University of Nebraska endowment or similar account, which is segregated from the decision making processes of research activities. For example, a stock interest held in an account managed by a University of Nebraska Office of Business and Finance would not trigger a reporting requirement. <br />
==Conflict of Interest Officer==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Officer (“COI Officer”) who shall be responsible for and is authorized to oversee and monitor implementation and compliance with these Procedures. The COI Officer shall also be responsible to provide guidance and interpretation to Covered Persons seeking to comply with these Procedures, and to carry out the duties associated with reporting conflicts of interest. <br />
==Conflict of Interest Committee==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Committee (“COI Committee”) comprised of faculty, research staff, academic administrators, business operations personnel, at least one member of the Institutional Review Board (“IRB”) and at least one community member to fulfill the duties outlined in these Procedures. The COI Committee shall be a standing committee that operates in accordance with the guidelines set forth in UNMC Policy No. 8010, [[Conflict of Interest]], and shall be chaired by a senior faculty member appointed by the Chancellor. <br />
==Reporting Potential Conflicts==<br />
===Conflicts of Interest===<br />
#'''Initial disclosure.''' All faculty members, directors, administrators and department heads (or equivalents) shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within 30 days of initial appointment/hire. The unit Personnel Action Form (PAF) Coordinators are responsible for ensuring forms are completed in a timely manner.<br />
#'''New potential conflicts.''' Covered Persons who propose to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] and submit it to the COI Officer.<br />
#'''Grant Applications and Sponsored Programs Agreements.''' Covered Persons who are principal investigators on grant applications or who submit a sponsored program agreement shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration as a part of the application process. All other Responsible Persons (individuals who are responsible for the conduct, design, or reporting of the research, whether or not salaries are requested) shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration at the time the grant is awarded. Sponsored Programs Administration shall report the existence of a COI and the management plan to federal grant administering agencies when required by federal regulation or the terms of the research grant.<br />
#'''IRB Applications.''' Covered Persons listed in Section I of the IRB application shall submit a conflict of interest disclosure form as a part of the application process to the Office of Regulatory Affairs pursuant to UNMC Human Research Protection Program Policy 1.22.<br />
#'''Changes in or Reporting New Existing COI.''' Any increase that would make the total remuneration greater than $5,000 would elevate the financial interest to a significant financial interest and requires disclosure within 30 days of increase. Covered Persons shall update their [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within thirty (30) days of discovering or acquiring a significant financial interest. Covered Persons are responsible for updating and maintaining their Annual Disclosure of Financial Interest Questionnaire throughout the reporting calendar year, to include removing, modifying or adding new conflicts of interest.<br />
#'''Foreign support and activities supported by foreign entities.''' Pursuant to UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]], Covered Persons who participate in activities supported by foreign entities or who otherwise receive foreign support must disclose the nature of the activities and/or support on an Annual Disclosure of Financial Interest Questionnaire and submit it to the COI Officer.<br />
<br />
===Institutional Conflict of Interest===<br />
In order to avoid real and perceived favoritism in long-term or repeated dealings with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person that has knowledge of potential Institutional COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] for review. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and implement a management plan if appropriate. Sponsored Programs Administration shall report the significant Institutional COI to federal grant administering agencies when required by federal regulation or the terms of the research grant. <br />
==COI Officer Action==<br />
The COI Officer shall review all conflict of interest disclosure forms and determine in their professional judgment whether any action should be taken in response to potential conflicts. If the COI Officer determines that a non-significant financial conflict of interest is of issue, the COI Officer shall coordinate with the Covered Person to create a proposed management plan. For significant financial interests, the COI Officer shall submit the COI disclosure and the proposed management plan to the COI Committee for review, approval or modification. <br />
==COI Committee Action==<br />
The COI Committee shall consider the nature of the activity, the magnitude of the COI and its relation to the Covered Person’s research, the potential impact the COI might have on the integrity of the Covered Person’s decisions, and such other considerations as the COI Committee shall deem relevant in order to make a decision. The COI Committee shall then determine whether the proposed management plan will adequately reduce the impact of the COI and state its determination on the Conflict of Interest Committee Action Form. In rare instances, the COI Committee may determine that no management plan could adequately manage the COI, and therefore prohibit the Covered Person from participating in the activity. The COI Officer shall forward a copy of the approved management plan to the Covered Person, the Covered Person’s supervisor, Sponsored Programs Administration, and also to the IRB for review and further modification if human subjects research is involved. <br />
==Management of COI==<br />
The following is a non-exhaustive list of '''example''' Management Plan strategies provided to serve as guidance to the COI Officer and the COI Committee. <br />
#Take no action beyond disclosure of the COI to UNMC and/or the research sponsor.<br />
#Disclose the COI to the academic and professional communities in presentations and publications; the research sponsor through written notification; and research participants through informed consent documents when human subjects are involved.<br />
#Require independent monitoring of the research or other academic project.<br />
#Require modification of the research protocol to manage potential bias through means such as blinding; modifying the scope of the project; and setting timetables for delivery of the product.<br />
#Designate a peer or supervising co-investigator with no COI in the project to assume the lead investigative role.<br />
#Require divestiture or appropriate reduction of the financial interest giving rise to the COI with restrictions on re-investment for an appropriate period to provide for publication and critique of the completed project.<br />
#Require severance of relationships existing between the Covered Person and the company or other entity that is the source of the COI.<br />
#Require removal of contract terms which create the COI. For example, under no circumstances shall UNMC engage in projects where payment is defined by the outcome of the research.<br />
#After careful consideration of less prohibitive alternatives, the Covered Person may be disqualified from participation in all or a portion of the research or other project when a COI exists (e.g. may not enroll human research subjects, obtain informed consent, or analyze data).<br />
==Institutional Review Board (IRB) Management Plan Review.==<br />
When the COI Committee develops management plans for COI involving human subjects research, the IRB shall review the management plan or advise the IRB of Record or Office of Regulatory Affairs for the study. The IRB may require more stringent management of the COI within the scope of authority given to the IRB by federal regulations for the protection of human subjects. However, the IRB may not adopt less stringent management than the COI Committee plan. The IRB shall notify the COI Officer of its decision. The IRB shall incorporate and require implementation of the approved management plan strategies applicable to the research into the approved protocol. <br /><br />
<br />
See UNMC Human Research Protection Program Policy 1.22 for further information. <br />
==Corrective Action== <br />
Covered Persons who do not disclose potential conflicts of interest they have pursuant to these Procedures, or who choose not to comply with COI Officer or COI Committee determination and recommendations, may be reassigned to an activity in which they have no COI. Further, such failure or refusal to comply shall be cause for disciplinary consideration and grounds for employment or academic action.<br />
<br />
The COI Officer shall notify the sponsor via their defined method when the COI Committee has determined that the failure of the Covered Person to comply with this policy has biased the design, conduct, or reporting of the PHS-funded research in accordance with 42 CFR Part 50 Subpart F. <br />
==Recordkeeping== <br />
The COI Officer shall retain the forms, records and COI Committee minutes processed pursuant to this policy for purposes of documenting the existence and/or identification of conflicts of interest and commitment and their resolution. Records shall be retained for no less than seven (7) years following the cessation of the outside activity to which they relate. <br />
==Audits==<br />
Management of the research conflict of interest program may be audited as a part of the UNMC compliance program. <br />
==Open Meetings and Public Records Concerns==<br />
No proceedings under this Policy, including those of the COI Committee, are subject to the public meetings laws of the State of Nebraska, Neb. Rev. Stat. §84-1408 et. seq. as amended. The records generated pursuant to this policy are confidential except to the extent they are required to be disclosed pursuant to the Public Records laws found at Neb. Rev. Stat. §84-712 et. seq. as amended, or other law requiring disclosure. <br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*Business [[Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com • Application for Authorization to Engage in Outside Professional Activities]<br />
<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: March 13, 2023</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Research_Conflict_of_Interest_Procedures&diff=13615Research Conflict of Interest Procedures2023-03-13T17:57:38Z<p>Dpanowic: </p>
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[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
<big>Research Conflict of Interest Procedures </big><br />
==Introduction == <br />
Potential research conflicts of interest arise in a variety of circumstances in the academic medical center setting. '''Examples''' include but are not limited to the following: <br />
#Receipt of significant consulting fees, honoraria, speakers’ bureaus fees and other payment or remuneration from commercial sponsors of research;<br />
#Payments related to recruiting or enrolling research subjects;<br />
#Financial interests in commercial sponsors of research;<br />
# Royalty interests resulting from publications, products or technology;<br />
#Philanthropic support from commercial sponsors of research;<br />
# Serving as a director of a company that sponsors research;<br />
#Employing research subcontractors in which a Covered Person or an immediate member of their family has a substantial financial interest.<br />
== Definitions==<br />
===Covered Persons ===<br />
All individuals engaged in research for or on behalf of UNMC. Any financial interest accruing to the immediate family, including parent(s), or spouse of a parent, spouse, dependent child of a Covered Person, or anyone that a Covered Person may claim as a dependent under the Internal Revenue Code; or any financial interest accruing to a business or other entity in which the Covered Person or their immediate family member owns a controlling interest, will be treated as a financial interest of the Covered Person.<br />
===Responsible Person===<br />
The principal investigator and any other person who, in the principal investigator’s professional judgment, is responsible for the design, conduct or reporting of the research, whether or not salary is requested. The term “Responsible Person” may include research coordinators and technicians. <br />
===Conflict of Interest (COI)===<br />
Situations when the Covered Person’s personal financial interests or fiduciary duties owed to third parties may compromise, or have the appearance of compromising, a Covered Person’s professional judgment or behavior in carrying out their research obligations. <br />
===Significant Financial Interest===<br />
Anything of monetary value that exceeds $5,000 received in the past twelve months or anticipated to be received in the next twelve months, from sources that might reasonably appear to be affected by the Covered Person’s research activities. For equity holdings the limit is $500. Significant financial interest examples include but are not limited to: <br />
#Salary, royalties, or a commitment for future royalties or other remuneration received outside of the University of Nebraska system, Nebraska Medicine or University Dental Associates (UDA);<br />
#Other income or payments for services (e.g. consulting fees, permitted speaking engagements or honoraria) except for<br />
## income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; and<br />
##income from service on advisory committees or review panels for public or nonprofit entities;<br />
#Intellectual property rights (e.g. patents, copyrights and royalties from such rights);<br />
# Equity interests (e.g. stocks, stock options or other ownership interests, both direct and indirect, i.e. trusts, etc.) that when aggregated for the Covered Person and the Covered Person’s spouse, parent, spouse of parent, and dependent children, exceeds $500 in value as determined through reference to public prices or other reasonable measures of fair market value, or represents more than five percent (5%) ownership interest in a single entity. Financial interests in mutual funds or retirement accounts where investment decisions are not under your direct control are excluded.<br />
===Foreign Entities===<br />
Foreign entities include, by way of example: foreign governments and agents thereof; foreign colleges, universities, and research institutions; business associations organized under or otherwise subject to the laws of foreign jurisdictions; and foreign journals and professional organizations.<br />
===Foreign Support ===<br />
Financial or non-financial support for any aspect of any activity received by a Covered Person from a foreign entity. Examples of non-financial foreign support include but are not limited to:<br />
#Exchanges of data or other research materials;<br />
#Donations of equipment, software, or other materials;<br />
#Payment of travel-related expenses, including meals and lodging; and<br />
# Conferral of professional or honorary titles; academic, research, or clinical appointments; or other positions at a foreign entity, whether compensated or uncompensated.<br />
=== Activities Supported by Foreign Entities===<br />
Any activity for which a foreign entity provides financial or non-financial foreign support. Examples of activities supported by foreign entities include but are not limited to:<br />
#Serving as an employee or agent of a foreign entity;<br />
#Collaborating in research with a foreign entity, including designing experiments, collecting and analyzing data, preparing manuscripts for presentation or other publication, and presenting or otherwise publishing the results of research;<br />
#Providing consulting services to a foreign entity, whether or not such services are compensated; and<br />
#Developing partnerships or other business relationships with a foreign entity;<br />
#Accepting gifts, including donations of funding, accommodations, travel-related expenses, equipment, software, or any materials to be used in support of research, from a foreign entity.<br />
===Institutional Conflict of Interest” (“Institutional COI”)===<br />
May occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a university research project, including potential conflicts with equity/ownership interests or royalty arrangements. An '''example''' of a potential Institutional COI is a proposed research project funded in whole or in part by an entity in which UNMC, an affiliated corporation, or other entity created to promote and facilitate technology transfer at UNMC (i.e., UNeMed), owns an equity interest or a future right to own an equity interest, the fair market value of which is greater than $500 or represents more than five percent (5%) ownership interest. <br><br />
<br />
The following '''example''' would not normally be considered an Institutional COI: an equity, royalty or other interest held in a University of Nebraska endowment or similar account, which is segregated from the decision making processes of research activities. For example, a stock interest held in an account managed by a University of Nebraska Office of Business and Finance would not trigger a reporting requirement. <br />
==Conflict of Interest Officer==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Officer (“COI Officer”) who shall be responsible for and is authorized to oversee and monitor implementation and compliance with these Procedures. The COI Officer shall also be responsible to provide guidance and interpretation to Covered Persons seeking to comply with these Procedures, and to carry out the duties associated with reporting conflicts of interest. <br />
==Conflict of Interest Committee==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Committee (“COI Committee”) comprised of faculty, research staff, academic administrators, business operations personnel, at least one member of the Institutional Review Board (“IRB”) and at least one community member to fulfill the duties outlined in these Procedures. The COI Committee shall be a standing committee that operates in accordance with the guidelines set forth in UNMC Policy No. 8010, [[Conflict of Interest]], and shall be chaired by a senior faculty member appointed by the Chancellor. <br />
==Reporting Potential Conflicts==<br />
===Conflicts of Interest===<br />
#'''Initial disclosure.''' All faculty members, directors, administrators and department heads (or equivalents) shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within 30 days of initial appointment/hire. The unit Personnel Action Form (PAF) Coordinators are responsible for ensuring forms are completed in a timely manner.<br />
#'''New potential conflicts.''' Covered Persons who propose to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] and submit it to the COI Officer.<br />
#'''Grant Applications and Sponsored Programs Agreements.''' Covered Persons who are principal investigators on grant applications or who submit a sponsored program agreement shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration as a part of the application process. All other Responsible Persons (individuals who are responsible for the conduct, design, or reporting of the research, whether or not salaries are requested) shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration at the time the grant is awarded. Sponsored Programs Administration shall report the existence of a COI and the management plan to federal grant administering agencies when required by federal regulation or the terms of the research grant.<br />
#'''IRB Applications.''' Covered Persons listed in Section I of the IRB application shall submit a conflict of interest disclosure form as a part of the application process to the Office of Regulatory Affairs pursuant to UNMC Human Research Protection Program Policy 1.22.<br />
#'''Changes in or Reporting New Existing COI.''' Any increase that would make the total remuneration greater than $5,000 would elevate the financial interest to a significant financial interest and requires disclosure within 30 days of increase. Covered Persons shall update their [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within thirty (30) days of discovering or acquiring a significant financial interest. Covered Persons are responsible for updating and maintaining their Annual Disclosure of Financial Interest Questionnaire throughout the reporting calendar year, to include removing, modifying or adding new conflicts of interest.<br />
#'''Foreign support and activities supported by foreign entities.''' Pursuant to UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]], Covered Persons who participate in activities supported by foreign entities or who otherwise receive foreign support must disclose the nature of the activities and/or support on an Annual Disclosure of Financial Interest Questionnaire and submit it to the COI Officer.<br />
<br />
===Institutional Conflict of Interest===<br />
In order to avoid real and perceived favoritism in long-term or repeated dealings with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person that has knowledge of potential Institutional COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] for review. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and implement a management plan if appropriate. Sponsored Programs Administration shall report the significant Institutional COI to federal grant administering agencies when required by federal regulation or the terms of the research grant. <br />
==COI Officer Action==<br />
The COI Officer shall review all conflict of interest disclosure forms and determine in their professional judgment whether any action should be taken in response to potential conflicts. If the COI Officer determines that a non-significant financial conflict of interest is of issue, the COI Officer shall coordinate with the Covered Person to create a proposed management plan. For significant financial interests, the COI Officer shall submit the COI disclosure and the proposed management plan to the COI Committee for review, approval or modification. <br />
==COI Committee Action==<br />
The COI Committee shall consider the nature of the activity, the magnitude of the COI and its relation to the Covered Person’s research, the potential impact the COI might have on the integrity of the Covered Person’s decisions, and such other considerations as the COI Committee shall deem relevant in order to make a decision. The COI Committee shall then determine whether the proposed management plan will adequately reduce the impact of the COI and state its determination on the Conflict of Interest Committee Action Form. In rare instances, the COI Committee may determine that no management plan could adequately manage the COI, and therefore prohibit the Covered Person from participating in the activity. The COI Officer shall forward a copy of the approved management plan to the Covered Person, the Covered Person’s supervisor, Sponsored Programs Administration, and also to the IRB for review and further modification if human subjects research is involved. <br />
==Management of COI==<br />
The following is a non-exhaustive list of '''example''' Management Plan strategies provided to serve as guidance to the COI Officer and the COI Committee. <br />
#Take no action beyond disclosure of the COI to UNMC and/or the research sponsor.<br />
#Disclose the COI to the academic and professional communities in presentations and publications; the research sponsor through written notification; and research participants through informed consent documents when human subjects are involved.<br />
#Require independent monitoring of the research or other academic project.<br />
#Require modification of the research protocol to manage potential bias through means such as blinding; modifying the scope of the project; and setting timetables for delivery of the product.<br />
#Designate a peer or supervising co-investigator with no COI in the project to assume the lead investigative role.<br />
#Require divestiture or appropriate reduction of the financial interest giving rise to the COI with restrictions on re-investment for an appropriate period to provide for publication and critique of the completed project.<br />
#Require severance of relationships existing between the Covered Person and the company or other entity that is the source of the COI.<br />
#Require removal of contract terms which create the COI. For example, under no circumstances shall UNMC engage in projects where payment is defined by the outcome of the research.<br />
#After careful consideration of less prohibitive alternatives, the Covered Person may be disqualified from participation in all or a portion of the research or other project when a COI exists (e.g. may not enroll human research subjects, obtain informed consent, or analyze data).<br />
==Institutional Review Board (IRB) Management Plan Review.==<br />
When the COI Committee develops management plans for COI involving human subjects research, the IRB shall review the management plan or advise the IRB of Record or Office of Regulatory Affairs for the study. The IRB may require more stringent management of the COI within the scope of authority given to the IRB by federal regulations for the protection of human subjects. However, the IRB may not adopt less stringent management than the COI Committee plan. The IRB shall notify the COI Officer of its decision. The IRB shall incorporate and require implementation of the approved management plan strategies applicable to the research into the approved protocol. <br /><br />
<br />
See UNMC Human Research Protection Program Policy 1.22 for further information. <br />
==Corrective Action== <br />
Covered Persons who do not disclose potential conflicts of interest they have pursuant to these Procedures, or who choose not to comply with COI Officer or COI Committee determination and recommendations, may be reassigned to an activity in which they have no COI. Further, such failure or refusal to comply shall be cause for disciplinary consideration and grounds for employment or academic action.<br />
<br />
The COI Officer shall notify the sponsor via their defined method when the COI Committee has determined that the failure of the Covered Person to comply with this policy has biased the design, conduct, or reporting of the PHS-funded research in accordance with 42 CFR Part 50 Subpart F. <br />
==Recordkeeping== <br />
The COI Officer shall retain the forms, records and COI Committee minutes processed pursuant to this policy for purposes of documenting the existence and/or identification of conflicts of interest and commitment and their resolution. Records shall be retained for no less than seven (7) years following the cessation of the outside activity to which they relate. <br />
==Audits==<br />
Management of the research conflict of interest program may be audited as a part of the UNMC compliance program. <br />
==Open Meetings and Public Records Concerns==<br />
No proceedings under this Policy, including those of the COI Committee, are subject to the public meetings laws of the State of Nebraska, Neb. Rev. Stat. §84-1408 et. seq. as amended. The records generated pursuant to this policy are confidential except to the extent they are required to be disclosed pursuant to the Public Records laws found at Neb. Rev. Stat. §84-712 et. seq. as amended, or other law requiring disclosure. <br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*Business [[Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Professional Activity]<br />
<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: March 13, 2023</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Research_Conflict_of_Interest_Procedures&diff=13614Research Conflict of Interest Procedures2023-03-13T17:55:51Z<p>Dpanowic: /* Additional Information */</p>
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<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
<big>Research Conflict of Interest Procedures </big><br />
==Introduction == <br />
Potential research conflicts of interest arise in a variety of circumstances in the academic medical center setting. '''Examples''' include but are not limited to the following: <br />
#Receipt of significant consulting fees, honoraria, speakers’ bureaus fees and other payment or remuneration from commercial sponsors of research;<br />
#Payments related to recruiting or enrolling research subjects;<br />
#Financial interests in commercial sponsors of research;<br />
# Royalty interests resulting from publications, products or technology;<br />
#Philanthropic support from commercial sponsors of research;<br />
# Serving as a director of a company that sponsors research;<br />
#Employing research subcontractors in which a Covered Person or an immediate member of their family has a substantial financial interest.<br />
== Definitions==<br />
===Covered Persons ===<br />
All individuals engaged in research for or on behalf of UNMC. Any financial interest accruing to the immediate family, including parent(s), or spouse of a parent, spouse, dependent child of a Covered Person, or anyone that a Covered Person may claim as a dependent under the Internal Revenue Code; or any financial interest accruing to a business or other entity in which the Covered Person or their immediate family member owns a controlling interest, will be treated as a financial interest of the Covered Person.<br />
===Responsible Person===<br />
The principal investigator and any other person who, in the principal investigator’s professional judgment, is responsible for the design, conduct or reporting of the research, whether or not salary is requested. The term “Responsible Person” may include research coordinators and technicians. <br />
===Conflict of Interest (COI)===<br />
Situations when the Covered Person’s personal financial interests or fiduciary duties owed to third parties may compromise, or have the appearance of compromising, a Covered Person’s professional judgment or behavior in carrying out their research obligations. <br />
===Significant Financial Interest===<br />
Anything of monetary value that exceeds $5,000 received in the past twelve months or anticipated to be received in the next twelve months, from sources that might reasonably appear to be affected by the Covered Person’s research activities. For equity holdings the limit is $500. Significant financial interest examples include but are not limited to: <br />
#Salary, royalties, or a commitment for future royalties or other remuneration received outside of the University of Nebraska system, Nebraska Medicine or University Dental Associates (UDA);<br />
#Other income or payments for services (e.g. consulting fees, permitted speaking engagements or honoraria) except for<br />
## income from seminars, lectures or teaching engagements sponsored by public or nonprofit entities; and<br />
##income from service on advisory committees or review panels for public or nonprofit entities;<br />
#Intellectual property rights (e.g. patents, copyrights and royalties from such rights);<br />
# Equity interests (e.g. stocks, stock options or other ownership interests, both direct and indirect, i.e. trusts, etc.) that when aggregated for the Covered Person and the Covered Person’s spouse, parent, spouse of parent, and dependent children, exceeds $500 in value as determined through reference to public prices or other reasonable measures of fair market value, or represents more than five percent (5%) ownership interest in a single entity. Financial interests in mutual funds or retirement accounts where investment decisions are not under your direct control are excluded.<br />
===Foreign Entities===<br />
Foreign entities include, by way of example: foreign governments and agents thereof; foreign colleges, universities, and research institutions; business associations organized under or otherwise subject to the laws of foreign jurisdictions; and foreign journals and professional organizations.<br />
===Foreign Support ===<br />
Financial or non-financial support for any aspect of any activity received by a Covered Person from a foreign entity. Examples of non-financial foreign support include but are not limited to:<br />
#Exchanges of data or other research materials;<br />
#Donations of equipment, software, or other materials;<br />
#Payment of travel-related expenses, including meals and lodging; and<br />
# Conferral of professional or honorary titles; academic, research, or clinical appointments; or other positions at a foreign entity, whether compensated or uncompensated.<br />
=== Activities Supported by Foreign Entities===<br />
Any activity for which a foreign entity provides financial or non-financial foreign support. Examples of activities supported by foreign entities include but are not limited to:<br />
#Serving as an employee or agent of a foreign entity;<br />
#Collaborating in research with a foreign entity, including designing experiments, collecting and analyzing data, preparing manuscripts for presentation or other publication, and presenting or otherwise publishing the results of research;<br />
#Providing consulting services to a foreign entity, whether or not such services are compensated; and<br />
#Developing partnerships or other business relationships with a foreign entity;<br />
#Accepting gifts, including donations of funding, accommodations, travel-related expenses, equipment, software, or any materials to be used in support of research, from a foreign entity.<br />
===Institutional Conflict of Interest” (“Institutional COI”)===<br />
May occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a university research project, including potential conflicts with equity/ownership interests or royalty arrangements. An '''example''' of a potential Institutional COI is a proposed research project funded in whole or in part by an entity in which UNMC, an affiliated corporation, or other entity created to promote and facilitate technology transfer at UNMC (i.e., UNeMed), owns an equity interest or a future right to own an equity interest, the fair market value of which is greater than $500 or represents more than five percent (5%) ownership interest. <br><br />
<br />
The following '''example''' would not normally be considered an Institutional COI: an equity, royalty or other interest held in a University of Nebraska endowment or similar account, which is segregated from the decision making processes of research activities. For example, a stock interest held in an account managed by a University of Nebraska Office of Business and Finance would not trigger a reporting requirement. <br />
==Conflict of Interest Officer==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Officer (“COI Officer”) who shall be responsible for and is authorized to oversee and monitor implementation and compliance with these Procedures. The COI Officer shall also be responsible to provide guidance and interpretation to Covered Persons seeking to comply with these Procedures, and to carry out the duties associated with reporting conflicts of interest. <br />
==Conflict of Interest Committee==<br />
The Senior Vice Chancellor for Academic Affairs shall appoint a Conflict of Interest Committee (“COI Committee”) comprised of faculty, research staff, academic administrators, business operations personnel, at least one member of the Institutional Review Board (“IRB”) and at least one community member to fulfill the duties outlined in these Procedures. The COI Committee shall be a standing committee that operates in accordance with the guidelines set forth in UNMC Policy No. 8010, [[Conflict of Interest]], and shall be chaired by a senior faculty member appointed by the Chancellor. <br />
==Reporting Potential Conflicts==<br />
===Conflicts of Interest===<br />
#'''Initial disclosure.''' All faculty members, directors, administrators and department heads (or equivalents) shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within 30 days of initial appointment/hire. The unit Personnel Action Form (PAF) Coordinators are responsible for ensuring forms are completed in a timely manner.<br />
#'''New potential conflicts.''' Covered Persons who propose to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] and submit it to the COI Officer.<br />
#'''Grant Applications and Sponsored Programs Agreements.''' Covered Persons who are principal investigators on grant applications or who submit a sponsored program agreement shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration as a part of the application process. All other Responsible Persons (individuals who are responsible for the conduct, design, or reporting of the research, whether or not salaries are requested) shall submit a current Disclosure of Potential Conflict of Interest Form to Sponsored Programs Administration at the time the grant is awarded. Sponsored Programs Administration shall report the existence of a COI and the management plan to federal grant administering agencies when required by federal regulation or the terms of the research grant.<br />
#'''IRB Applications.''' Covered Persons listed in Section I of the IRB application shall submit a conflict of interest disclosure form as a part of the application process to the Office of Regulatory Affairs pursuant to UNMC Human Research Protection Program Policy 1.22.<br />
#'''Changes in or Reporting New Existing COI.''' Any increase that would make the total remuneration greater than $5,000 would elevate the financial interest to a significant financial interest and requires disclosure within 30 days of increase. Covered Persons shall update their [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] within thirty (30) days of discovering or acquiring a significant financial interest. Covered Persons are responsible for updating and maintaining their Annual Disclosure of Financial Interest Questionnaire throughout the reporting calendar year, to include removing, modifying or adding new conflicts of interest.<br />
#'''Foreign support and activities supported by foreign entities.''' Pursuant to UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]], Covered Persons who participate in activities supported by foreign entities or who otherwise receive foreign support must disclose the nature of the activities and/or support on an Annual Disclosure of Financial Interest Questionnaire and submit it to the COI Officer.<br />
<br />
===Institutional Conflict of Interest===<br />
In order to avoid real and perceived favoritism in long-term or repeated dealings with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person that has knowledge of potential Institutional COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire] for review. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and implement a management plan if appropriate. Sponsored Programs Administration shall report the significant Institutional COI to federal grant administering agencies when required by federal regulation or the terms of the research grant. <br />
==COI Officer Action==<br />
The COI Officer shall review all conflict of interest disclosure forms and determine in their professional judgment whether any action should be taken in response to potential conflicts. If the COI Officer determines that a non-significant financial conflict of interest is of issue, the COI Officer shall coordinate with the Covered Person to create a proposed management plan. For significant financial interests, the COI Officer shall submit the COI disclosure and the proposed management plan to the COI Committee for review, approval or modification. <br />
==COI Committee Action==<br />
The COI Committee shall consider the nature of the activity, the magnitude of the COI and its relation to the Covered Person’s research, the potential impact the COI might have on the integrity of the Covered Person’s decisions, and such other considerations as the COI Committee shall deem relevant in order to make a decision. The COI Committee shall then determine whether the proposed management plan will adequately reduce the impact of the COI and state its determination on the Conflict of Interest Committee Action Form. In rare instances, the COI Committee may determine that no management plan could adequately manage the COI, and therefore prohibit the Covered Person from participating in the activity. The COI Officer shall forward a copy of the approved management plan to the Covered Person, the Covered Person’s supervisor, Sponsored Programs Administration, and also to the IRB for review and further modification if human subjects research is involved. <br />
==Management of COI==<br />
The following is a non-exhaustive list of '''example''' Management Plan strategies provided to serve as guidance to the COI Officer and the COI Committee. <br />
#Take no action beyond disclosure of the COI to UNMC and/or the research sponsor.<br />
#Disclose the COI to the academic and professional communities in presentations and publications; the research sponsor through written notification; and research participants through informed consent documents when human subjects are involved.<br />
#Require independent monitoring of the research or other academic project.<br />
#Require modification of the research protocol to manage potential bias through means such as blinding; modifying the scope of the project; and setting timetables for delivery of the product.<br />
#Designate a peer or supervising co-investigator with no COI in the project to assume the lead investigative role.<br />
#Require divestiture or appropriate reduction of the financial interest giving rise to the COI with restrictions on re-investment for an appropriate period to provide for publication and critique of the completed project.<br />
#Require severance of relationships existing between the Covered Person and the company or other entity that is the source of the COI.<br />
#Require removal of contract terms which create the COI. For example, under no circumstances shall UNMC engage in projects where payment is defined by the outcome of the research.<br />
#After careful consideration of less prohibitive alternatives, the Covered Person may be disqualified from participation in all or a portion of the research or other project when a COI exists (e.g. may not enroll human research subjects, obtain informed consent, or analyze data).<br />
==Institutional Review Board (IRB) Management Plan Review.==<br />
When the COI Committee develops management plans for COI involving human subjects research, the IRB shall review the management plan or advise the IRB of Record or Office of Regulatory Affairs for the study. The IRB may require more stringent management of the COI within the scope of authority given to the IRB by federal regulations for the protection of human subjects. However, the IRB may not adopt less stringent management than the COI Committee plan. The IRB shall notify the COI Officer of its decision. The IRB shall incorporate and require implementation of the approved management plan strategies applicable to the research into the approved protocol. <br /><br />
<br />
See UNMC Human Research Protection Program Policy 1.22 for further information. <br />
==Corrective Action== <br />
Covered Persons who do not disclose potential conflicts of interest they have pursuant to these Procedures, or who choose not to comply with COI Officer or COI Committee determination and recommendations, may be reassigned to an activity in which they have no COI. Further, such failure or refusal to comply shall be cause for disciplinary consideration and grounds for employment or academic action.<br />
<br />
The COI Officer shall notify the sponsor via their defined method when the COI Committee has determined that the failure of the Covered Person to comply with this policy has biased the design, conduct, or reporting of the PHS-funded research in accordance with 42 CFR Part 50 Subpart F. <br />
==Recordkeeping== <br />
The COI Officer shall retain the forms, records and COI Committee minutes processed pursuant to this policy for purposes of documenting the existence and/or identification of conflicts of interest and commitment and their resolution. Records shall be retained for no less than seven (7) years following the cessation of the outside activity to which they relate. <br />
==Audits==<br />
Management of the research conflict of interest program may be audited as a part of the UNMC compliance program. <br />
==Open Meetings and Public Records Concerns==<br />
No proceedings under this Policy, including those of the COI Committee, are subject to the public meetings laws of the State of Nebraska, Neb. Rev. Stat. §84-1408 et. seq. as amended. The records generated pursuant to this policy are confidential except to the extent they are required to be disclosed pursuant to the Public Records laws found at Neb. Rev. Stat. §84-712 et. seq. as amended, or other law requiring disclosure. <br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*Business [[Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Professional Activity]<br />
<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: November 7, 2022</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Conflict_of_Interest_Procedures&diff=13613Conflict of Interest Procedures2023-03-13T17:53:48Z<p>Dpanowic: </p>
<hr />
<div>[[Human Resources]] | [[Safety/Security]] | [[Research Compliance]] | '''[[Compliance]]''' | [[Privacy/Information Security]] | [[Business Operations]] | [[Intellectual Property]]<br />
<br /><br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br />
<br /><br /><br />
'''<big>Business Conflict of Interest Procedures </big>'''<br />
<br /><br /> <br />
==Definitions == <br />
'''Conflict of Interest''' refers to situations when the employee’s personal financial interests or fiduciary duties owed to third parties, such as immediate family, may compromise, or have the appearance of compromising, the employee’s professional judgment or behavior in carrying out their obligations to the University of Nebraska Medical Center.<br /><br />
'''Immediate family''' shall mean wife, husband, children, grandchildren, parents, grandparents, brother, sister, daughter-in-law, son-in-law, guardian, ward, stepfather, stepmother, stepchildren, or persons bearing the same relationship to the spouse of the employee.<br /><br />
'''Covered Person''' refers to faculty, staff, volunteers, trainees, students, independent contractors and other persons whose conduct, in the performance of work for UNMC, is under the direct control of UNMC, whether or not they are paid by UNMC.<br />
== Examples of Conflicts of Interest ==<br />
===Seeking/Accepting Gifts===<br />
No Covered Person will seek or accept anything of value given which could influence them in the discharge of official duties. For example, acceptance of a valuable gift or service from an organization with which the university is, has or will be negotiating an agreement or conducting business, would be a conflict of interest. Gift does include a breakfast, luncheon, dinner, or other refreshments consisting of food and beverage provided for immediate consumption. <br />
<br />
UNMC does not permit Covered Persons to solicit UNMC vendors, other UNMC employees or UNMC departments for contribution or purchase of prizes, favors, awards, drawings, or anything of value. The annual United Way fund drive is exempted from this policy. Prior written approval of any other exemption to this policy may be granted in exceptional circumstances by the Vice Chancellor for Business, Finance and Business Development or their designee. <br />
===Improper Use of Office or Position===<br />
No Covered Person will knowingly use an official position to obtain special privileges or advantages from individuals or businesses except as specifically provided by the Board of Regents policy. '''Examples''' include but are not limited to the following: <br />
<br />
* Attempting to influence, directly or indirectly, the relationship between the University and an organization in which the individual has interest.<br />
* Disclosure of confidential information concerning university-owned technology to an organization for personal profit and advantage (possibly in violation of confidentiality obligations to research sponsors or licensees).<br />
===Commercial Transactions===<br />
No Covered Person may sell, or cause to be sold, either as an individual or through any business enterprise in which that individual holds a substantial financial interest, any goods or services unless approved by the Vice Chancellor for Business and Finance or appointed designee. <br />
<br />
For example, a Covered Person may not purchase services or equipment from an organization in which the Covered Person has a financial interest, has a consulting or other arrangement providing income to the Covered Person and/or on whose board the Covered Person serves.<br />
===Purchasing of Goods or Services from Immediate Family Members===<br />
No Covered Person may purchase, or cause to be purchased, on behalf of the UNMC any good or services directly or indirectly from an immediate family member under Board of Regents policy 6.2.1 Sec.11. Any such purchase would be considered a conflict of interest.<br /><br />
<br />
Immediate family members of a Covered Person are not barred from such sales of goods or services; such conflicts can be managed when the authorized decision maker to purchase such goods or services is an employee with no conflict of interest in the purchase and not subordinate to the employee with the conflict of interest.<br />
===Service on External Non-profit, Governmental or For-profit Governance Boards===<br />
A Covered Person may serve on external non-profit, governmental or for-profit governance boards, however if such service in any way could create an actual or perceived conflict of interest, the services must be declared and managed by the employee’s supervisor. <br />
===Outside Employment or Compensation===<br />
No Covered Person may receive or solicit outside employment, including paid service on a governance board, or compensation that would impair the independence of judgment of the individual in performing duties as an employee of UNMC. Refer to UNMC Policy No. 1049, [[Outside Employment]].<br />
== Reporting Potential Conflict of Interest == <br />
A Covered Person who proposes to engage in an activity that would create a situation defined as a COI shall complete an [https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire].<br />
== Management of Potential or Actual Conflict of Interest == <br />
The following is a list of possible management strategies to manage the potential or actual conflict of interest: <br /><br />
<br />
# No action beyond disclosure of the COI.<br />
# Sever the relationship between the Covered Person and the organization that causes the conflict.<br />
# The supervisor can be the decision maker or delegate the decision for the purchase of goods or services, instead of the Covered Person, in order to eliminate any conflict.<br />
<br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*UNMC Policy No. 8010, [[Conflict of Interest]] <br />
*UNMC Policy No. 1049, [[Outside Employment]] <br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*[[Research Conflict of Interest Procedures]]<br />
*[https://wiki.unmc.edu/index.php/Conflict_of_Interest#Policy_8010_Appendix_A Conflict of Interest Committee Governance]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activity]<br />
<br />
This page updated by [mailto:dpanowic@unmc.edu dkp].<br /><br />
Last Review and Revision by Policy Owners: September 15, 2021</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13612Policies and Procedures2023-03-13T17:48:21Z<p>Dpanowic: Policy 8010 changed to DRAFT status.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|07/26/21<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|DRAFT<br />
|<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|07/26/21<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|08/25/22<br />
|08/25/22<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Conflict_of_Interest&diff=13611Conflict of Interest2023-03-13T17:45:00Z<p>Dpanowic: Update links and contacts.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
Policy No.: '''8010'''<br /><br />
Effective Date: '''09/04/07'''<br /><br />
Revised Date: '''DRAFT '''<br /><br />
Reviewed Date: <br />
<br /><br /><br />
<big>'''Conflict of Interest Policy'''</big> <br />
== Basis for Policy ==<br />
Statutes, regulations, University policies and accreditation standards related to conflict of interest identification and management are: <br />
#"Responsibility of Applicants for Promoting Objectivity in Research for which Public Health Service Funding is Sought and Responsible Prospective Contractors" regulations at 42 CFR Part 50 and 45 CFR Part 94 <br />
#"Financial Disclosure by Clinical Investigators" Food & Drug Administration regulations at 21 CFR Part 54 <br />
#Nebraska Conflict of Interest Statute at Neb. Rev. Stat. §49-1493 et. seq. <br />
#Bylaws of the Board of Regents of the University of Nebraska Sections 3.10, 3.4.5 and 3.8 <br />
#Board of Regents Conflict of Interest Policy, RP-3.2.8 <br />
#Board of Regents Patent & Technology Policy, RP-4.4.2 <br />
#UNMC Human Research Protections Policy #1.25, "[https://net.unmc.edu/rss/ Financial Conflicts of Interest]" <br />
#UNMC Policy No. 1049, [[Outside Employment]] <br />
#UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
#[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/disclosure-of-conflicts-of-interest-and-conflicts-of-commitment.pdf Executive Memorandum No. 36, Disclosure of Conflicts of Interest and Conflicts of Commitment]<br />
== Policy ==<br />
Potential conflicts of interest arise in a variety of circumstances in the academic health sciences center environment when an individual's private financial interests either conflict with or create the appearance of conflicting with UNMC's public interests. This policy applies to potential conflict of interest arising in any UNMC activity, including but not limited to research, teaching, patient care, outreach to underserved populations and the associated business activities in support of them. Covered Persons shall disclose all financial interests related to their University of Nebraska responsibilities so that an analysis of potential conflict of interest may be conducted. When a conflict of interest is identified, the conflict will either be managed or eliminated to reduce the appearance of bias and maintain responsible stewardship of public resources. This policy shall be publicly posted in the UNMC [[Policies and Procedures]] manual on the UNMC internet site. <br />
== Definitions ==<br />
'''Covered Person''' under Regents Policy 3.2.8 shall mean: <br />
#University administrative officers and employees, specifically including any University employees with delegated signature, purchasing or contracting authority on behalf of the university; <br />
#University employees and faculty engaged in outside employment or other activities specified in this policy (tech transfer/use of University facilities or equipment) that may create a Conflict of Interest; and <br />
#Sponsored research investigators who participate in sponsored research; and non-sponsored research investigators participating in human subjects or animal subjects research. <br />
'''Investigator''' under PHS regulations shall mean the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct or reporting of research which may include graduate students, post-docs, residents, collaborators or consultants. <br />
'''Conflict of Interest (COI)''' under Regents Policy 3.2.8 shall mean situations when a Covered Person's direct or indirect personal financial interest, (whether or not the value is readily ascertainable) may compromise, or have the appearance of compromising, the Covered Person's professional judgment or behavior in carrying out their obligations to the University of Nebraska. This includes indirect personal financial interests of a Covered Person that may be obtained through third parties such as a Covered Person's immediate family, business relationships, fiduciary relationships, or investments.<br /><br />
<br />
'''De minimus''' means any remuneration received as payment for services and/or equity interests of $499 or less is not required to be disclosed. Any remuneration received for services and/or equity interests of $500 or greater is required to be disclosed. <br /><br />
<br />
'''Equity''' includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value. <br /><br />
<br />
'''Financial Conflict of Interest (FCOI)''' under PHS regulations means a Significant Financial Interest that the COI Officer or COI committee reasonably determines could directly and significantly affect the design, conduct or reporting of research. <br /><br />
<br />
'''Immediate Family''' under Regents Policy 3.2.8 shall mean an individual who is a spouse, child, brother, sister, grandchild, or grandparent, by blood, marriage, or adoption of the Covered Person. <br /><br />
<br />
'''Institutional Conflict of Interest (ICOI)''' may occur when the University or a Covered Person in a senior administrative position has a financial interest in a commercial entity that itself has an interest in a University research project, including potential conflicts with equity/ownership interests or royalty arrangements. <br /><br />
<br />
'''Institutional Responsibilities''' means professional responsibilities on behalf of the University of Nebraska which may include activities such as professional service including patient care, teaching, research & research consultation, outreach, administrative, institutional committee membership including service on panels such as the Institutional Review Board or Data and Safety Monitoring Boards, and other duties as specified in the Covered Person's job description and/or employment agreement. <br /><br />
<br />
'''Remuneration''' includes salary and any payment for services not otherwise identified as salary including but not limited to consulting fees, honoraria, and paid authorship. <br /><br />
<br />
'''Senior/Key Personnel''' means the Project Director (PD)/Principal Investigator (PI) and any other person identified as senior/key personnel in the UNMC grant application, progress report, or any other report submitted to the PHS by UNMC. <br /><br />
<br />
'''Significant Financial Interest''' means a financial interest of the Investigator or their Immediate Family Member that reasonably appears to be related to the Investigator's Institutional Responsibilities, and: <br />
#If with a publicly traded entity, the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of the disclosure, when aggregated, exceeds $5,000; <br />
#If with a non-publicly traded entity, the value of any remuneration received exceeds $5,000 or when a research Investigator or Immediate Family holds any equity interest; <br />
#Intellectual property rights and interests upon receipt of income related to such rights and interests, excluding income paid by the University of Nebraska;<br />
#For PHS-funded research investigators, includes reimbursed or sponsored travel, excluding travel that is reimbursed or sponsored by a Federal, state, or local government agency, an Institution of higher education, an academic teaching hospital, a medical center, or a research institute affiliated with an Institution of higher education. <br />
==Conflict of Interest Management Roles and Responsibilities ==<br />
===COI Officer===<br />
The UNMC Conflict of Interest Officer shall be responsible for implementing the UNMC COI management program. The COI management program shall also include review and approval of the "Application for Authorization to Engage in Outside Professional Activity" forms as delegated by the Chancellor with associated management of conflict of commitment under Regents Policy 3.8. and UNMC Policy 1049, [[Outside Employment]]. The COI Officer shall: <br />
#Ensure UNMC policy meets Board of Regents policy and state and federal regulatory requirements; <br />
#Implement annual disclosure requirements for Covered Persons and monitor to ensure compliance. The UNMC electronic Annual Disclosure of Financial Interest form is incorporated into this policy by reference. The Annual Disclosure of Interest and Application for Authorization to Engage in Outside Professional Activity forms are located at: https://unmc.coi-smart.com . <br />
#Coordinate identified conflict of interest matters with Sponsored Programs Administration, UNeMED, the Institutional Review Board (IRB), the Institutional Animal Care and Use (IACUC) committee, the Vice Chancellor for Business, Finance and Business Development (for business COI), and the Continuing Medical and Nursing Education offices as relevant. Whenever a potential COI involving activities with another University of Nebraska campus or university affiliated entity is disclosed or identified, notify the other campus or university affiliated entity COI contact and collaboratively review and manage the potential COI.<br />
#'''COI Education.''' Provide COI education to Covered Persons at time of hire, and every four (4) years thereafter, and immediate re-education when there are policy changes or when investigators fail to comply with the COI policy. For investigators conducting Public Health Service (PHS) sponsored research, education shall be completed prior to the expenditure of any PHS funds. <br />
#When Covered Persons have significant financial interests related to their institutional responsibilities, present information to the COI committee for potential COI management plan creation. <br />
#'''Report FCOI to PHS'''. When the COI committee has implemented a COI management plan for PHS-funded research, update the PHS e-Commons with the FCOI report provided by the COI committee. Provide initial, annual and revised FCOI reports, if applicable for both UNMC and its subrecipients. Revised FCOI reports shall be submitted within 60 days of identification for new Investigators added to a grant, or newly identified FCOIs for existing investigators. The FCOI report shall contain the following elements: <br />
##The role and principal duties of the conflicted Investigator in the research project; <br />
##Conditions of the management plan; <br />
##How the management plan is designed to safeguard objectivity in the research project; <br />
##Confirmation of the Investigator's agreement to the management plan; <br />
##How the management plan will be monitored to ensure Investigator compliance; and <br />
##Other information as needed. <br />
#'''Conduct retrospective review.''' If UNMC identifies a significant financial interest that was not disclosed by a research Investigator in a timely manner, or was not reviewed by UNMC, the COI officer shall, within sixty (60) days: review the significant financial interest and determine whether it is related to PHS-funded research. The COI committee shall determine whether a financial conflict of interest exists, and, if so, implement an interim COI management plan. Within 120 days, the COI committee shall complete a documented retrospective review of the research Investigator's activities and the PHS-funded research project to determine whether any PHS-funded research conducted during the period of non-compliance was biased in the design, conduct or reporting of such research. The documented review shall contain all of the elements required by the PHS regulations. <br />
#'''Reporting Bias & Mitigation Report.''' If bias is found with the design, conduct or reporting of PHS-funded research, the COI Officer shall notify the PHS awarding component promptly and submit a Mitigation Report containing the retrospective review information and a description of the impact of the bias on the research project and UNMC's plan of action taken to eliminate or mitigate the effect of the bias. <br />
#If the research is clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment, the COI committee shall require the Investigator to disclose the FCOI in each public presentation of the results of the research, and request an addendum to previously published presentations, in addition to any applicable disclosure listed below in Disclosure of Financial Interest. <br />
#'''Public Disclosure.''' Disclose Financial Conflicts of Interest (FCOI) of senior/key personnel involved in Public Health Service funded research only as determined by the COI Committee in response to public requests within five (5) business days of the request as required by PHS regulations. These requests shall be coordinated with the University of Nebraska Records Management Officer. <br />
#'''Board of Regents Annual Report.''' Submit the annual Conflict of Interest and Outside Activities report to the University of Nebraska Director of Internal Audit and Advisory Services for review by the Board of Regents Audit Committee. <br />
===Covered Persons===<br />
#'''Annual Disclosure of Financial Interest.''' Individuals covered under this COI policy shall complete a UNMC Annual Disclosure of Financial Interest Questionnaire through the UNMC electronic e-Disclosure system annually. Covered Persons shall receive an e-mail notification from the Compliance Department to complete the form. The UNMC Disclosure of Financial Interest form contains all elements required under Board of Regents policy and federal regulations (including PHS regulations) and is incorporated into this policy by reference. The electronic system may be accessed at: https://unmc.coi-smart.com. Individuals shall disclose all financial interests related to their University of Nebraska (institutional) responsibilities. <br />
#'''Research Investigators''' shall review and update their Annual Disclosure of Financial Interest when sponsored grants and contracts are submitted, including PHS-funded research. Investigators shall update their Annual Disclosure of Financial Interest form within thirty (30) days of discovering or acquiring a Significant Financial Interest and on an annual basis thereafter during the period of the award. <br />
#'''Education.''' Covered Persons shall complete education on Board of Regents COI policy, UNMC COI policy, and PHS COI regulations, and their disclosure responsibilities prior to initially completing the Annual UNMC Disclosure of Financial Interest, and every four (4) years thereafter. Covered Persons shall not spend any PHS research funds until education has been completed. <br />
#'''Disclosure of Financial Interest.''' Covered Persons who are research Investigators shall disclose the nature of all financial interests related to their research (e.g. consulting advisory board, intellectual property) in all publications and presentations and to all UNMC personnel involved in the research project, including students. In human subjects research, Investigators shall disclose their financial interests related to the research in the informed consent, as required by UNMC HRPP Policy 1.22. <br />
#'''Appeal Rights.''' Covered Persons may appeal adverse decisions made under this policy to the Senior Vice Chancellor for Academic Affairs. The appeal shall be in writing and contain a description of the adverse decision, justification for why the decision should be changed, and the change desired. The appeal request shall be submitted to the COI Officer. The VCAA shall respond in writing to the Covered Person with their decision within thirty (30) days of receipt. The VCAA's decision is final. <br />
===COI Committee===<br />
The UNMC COI Committee composition and operating procedures are contained in Appendix A. The COI Officer shall be a member of the COI committee and shall provide administrative support for the committee. The COI committee shall: <br />
#Provide oversight over the UNMC COI program, advise the COI officer, and provide guidance on UNMC COI policy matters. <br />
#Review Significant Financial Interests. Review Disclosures of Financial Interest in the amount of $5,000 and above for research Investigators and determine if these Significant Financial Interests are related to the research, and, if so related, whether the Significant Financial Interest constitutes a Financial Conflict of Interest. A Significant Financial Interest is a Financial Conflict of Interest if it could directly and significantly affect the design, conduct, or reporting of research, including PHS-funded research. <br />
#Create COI Management Plans for Financial Conflicts of Interest. <br />
#Conduct retrospective reviews of newly identified Significant Financial Interests as described in Conduct Retrospective Review above. <br />
#Review COI Policy violations and recommend sanctions, if appropriate, to the Senior Vice Chancellor for Academic Affairs and to the appropriate UNMC administrator responsible for supervision of the individual(s) violating the policy.<br />
===Sponsored Programs Administration===<br />
Sponsored Programs Administration shall: <br />
#Notify all research Investigators submitting sponsored grant/contract proposals to review their Annual Disclosure of Financial Interest form and update the information as needed. <br />
#Coordinate with the COI Officer when Investigators disclose significant financial interests related to the sponsored project to determine if a COI management plan is required. <br />
'''Subrecipients.''' Include provisions in PHS-funded subrecipient agreements that: <br />
#the subrecipient certifies that its FCOI policy complies with PHS regulations or that the subrecipient will follow the UNMC COI policy; and <br />
#the subrecipient shall report identified FCOIs for its Investigators in a timely manner so UNMC can report identified FCOIs to the PHS in the time frames in '''Report FCOI to PHS''' and '''Conduct retrospective review''' above.<br />
<br />
===Vice Chancellor for Business, Finance and Business Development===<br />
The Vice Chancellor for Business, Finance and Business Development shall manage business conflict of interest by reviewing all Annual Disclosure of Financial Interest questionnaires completed by Covered Persons with contract signature authority under Executive Memorandum 13 and 14; Covered Persons with purchasing authority; Covered Persons who identify family member(s) with a financial interest with the University of Nebraska; and any other potential business-related financial interest identified by the COI Officer through the annual COI disclosure process or by any other person at UNMC. Business COI management plans shall be created to minimize the appearance of bias in decision-making and ensure state and federal regulations and University of Nebraska business-related policies are followed. Business COI management plans shall be reported through the UNMC COI committee and reported on the Annual COI report to the Board of Regents Audit committee. <br /><br />
<br />
No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award or non-federal entity if they have a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of their immediate family, their partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract.<br />
===Institutional Review Board (IRB)===<br />
The IRB shall require all Covered Persons listed on the IRB application who have a financial interest to update their Annual Disclosure of Financial Interest form pursuant to UNMC HRPP Policy 1.22. The IRB shall review and approve proposed COI management plans as described in HRPP Policy 1.22. <br />
===UNeMED===<br />
The President of UNeMED or designee shall coordinate with the COI officer on UNeMED activities where it appears that a Covered Person's or UNMC's financial interest may be a potential individual or institutional conflict of interest, including intellectual property interests and equity interests involving technology transfer companies. <br />
===Continuing Education Offices===<br />
UNMC is accredited by the Accreditation Council for Continuing Medical Education (ACCME). The Continuing Medical Education (CME) office shall review disclosures of financial interest for UNMC employees who are serving as course directors, faculty or peer reviewers for UNMC CME courses, as required by the ACCME Standards for Commercial Support.<br />
<br />
==Institutional Conflict of Interest Management ==<br />
In order to avoid real or perceived favoritism in relationships with research sponsors, each/every potential Institutional COI shall be reported. Any Covered Person who has knowledge of potential Institutional COI shall report the information to the COI Officer. Potential Institutional COI may be identified through the Annual Disclosure of Financial Interest questionnaire for senior administrative personnel. The COI Officer shall convene a group of senior UNMC officials appointed by the Chancellor to review the disclosure and propose a management plan for Chancellor approval if appropriate. It is important to note that PHS COI regulations do not cover institutional conflict of interest. <br />
==Records Retention==<br />
All Disclosure of Financial Interest information, COI management plans and all Public Health Service-funded Financial Conflict of Interest-related records shall be retained for the fiscal year in which the grant or contract is closed plus seven (7) years as required by Board of Regents Records Retention Schedule 170-8, "Sponsored Projects (Grants)". No destruction of records shall take place if there is a Preservation Hold in effect, or if any litigation, claim, negotiation, audit or other actions involving the records have been started before the expiration of the retention period. The records must be retained until completion of the action and resolution of all issues which arise from it, or the seven year retention period, whichever is later, as required under 45 CFR 74.53 and 92.42. <br />
==Public Accessibility of PHS-funded Senior/Key Personnel FCOI ==<br />
Upon request, the COI Officer shall make available to the public information concerning identified FCOIs held by Senior/Key personnel receiving PHS research funding as required by PHS regulations. Information shall be provided in writing within five (5) business days of the request. The COI officer shall coordinate these public requests with the University of Nebraska Records Management Officer. All other financial interest disclosure information and conflict of interest determinations shall remain confidential and may be withheld from the public as permitted under Neb. Rev. Stat. 84-712.05, "Records which may be withheld from the public; enumerated." <br />
==Sanctions ==<br />
Covered Persons who violate this policy may receive corrective action under UNMC Policy No. 1098, [[Corrective/Disciplinary Action|Corrective and Disciplinary Action Policy]]. The COI Committee may also recommend other corrective action such as additional training, or for serious violations, recommend that research funding be withheld or recommend other appropriate sanctions to maintain the integrity of the research. The Senior Vice Chancellor for Academic Affairs shall review and approve all proposed sanctions. The sanctions shall be coordinated with the respective Dean, Director or Vice Chancellor for enforcement. <br />
== Policy 8010 Appendix A ==<br />
===Conflict of Interest Committee (COIC) Governance===<br />
<br />
'''COI Committee Composition.''' The COI Committee shall have at least 16 members representing the following areas: <br /><br />
<br />
{| class="wikitable" border="1"<br />
|-<br />
| Associate VC, Academic Affairs <br />
| Compliance Officer<br />
|-<br />
| College of Allied Health Professions<br />
| Sponsored Programs Administration<br />
|-<br />
| College of Medicine<br />
| Associate General Counsel<br />
|-<br />
| College of Dentistry<br />
| Business and Finance<br />
|-<br />
| College of Pharmacy<br />
| Vice Chancellor for Research<br />
|-<br />
| College of Nursing<br />
| Research Compliance (Institutional Review Board)<br />
|-<br />
| College of Public Health<br />
| Continuing Education<br />
|-<br />
| Eppley Cancer Center<br />
| Community Member<br />
|-<br />
|}<br />
===Membership Term===<br />
COI Committee members shall serve for a term of three years, which may be automatically renewed upon mutual agreement of the member and the Chancellor or their designee. New members shall be nominated by the department/unit and approved by the Senior Vice Chancellor for Academic Affairs or their designee. The Chancellor or their designee shall appoint a faculty chair of the COI Committee. The Senior Vice Chancellor for Academic Affairs or their designee shall select the community member. The Chancellor or their designee can appoint additional voting and non-voting members.<br />
===Quorum=== <br />
A quorum is required for meetings to be conducted. More than half of the membership present will constitute a quorum.<br />
===Voting=== <br />
All committee members are eligible to vote. No regular motion shall pass unless a majority of the COI Committee members present vote in favor of the motion.<br />
===COIC Member Conflicts===<br />
If a COIC member has a conflict of interest with a specific matter being discussed, the member shall declare that they have a potential conflict and shall not vote on the matter. Such conflicts may arise when:<br />
#the member is participating in the research under review;<br />
#the member has a financial relationship with a research sponsor under review; or <br />
#the member has a personal relationship or conflict with the individual under review that could potentially cause the member to be perceived as less than objective in their review.<br />
'''Committee Review by Telephone/Electronically'''. While face-to-face and/or Zoom meetings will normally be held, committee review of potential conflicts may be conducted by telephone or electronically at the discretion of the COI Committee chair.<br />
===Meeting Minutes===<br />
The Associate Director Campus Compliance or their designee shall prepare meeting minutes and present them for approval at the next scheduled COI Committee meeting. <br />
== Additional Information ==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*Contact the [mailto:annebarnes@unmc.edu Vice Chancellor for Business, Finance and Business Development]<br />
*Business [[Conflict_of_Interest_Procedures|Conflict of Interest Procedures]]<br />
*[[Research Conflict of Interest Procedures]]<br />
*UNMC Policy No. 1049, [[Outside Employment]] <br />
*UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
*[https://unmc.coi-smart.com Application for Authorization to Engage in Outside Professional Activity]<br />
*[https://unmc.coi-smart.com/ Annual Disclosure of Financial Interest Questionnaire]<br />
*UNMC [https://www.unmc.edu/academicaffairs/_documents/compliance/Statement_of_Understanding.pdf Statement of Understanding] Training Information document <br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/disclosure-of-conflicts-of-interest-and-conflicts-of-commitment.pdf Executive Memorandum No. 36, Disclosure of Conflicts of Interest and Conflicts of Commitment]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Privacy/Confidentiality&diff=13610Privacy/Confidentiality2023-03-13T17:16:06Z<p>Dpanowic: </p>
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width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
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<br /><br />
[[Identification Card]] | [[Secure Area Card Access]] | [[Privacy/Confidentiality]] | [[Computer Use/Electronic Information]] | [[Retention and Destruction/Disposal of Private and Confidential Information]] | [[Use and Disclosure of Protected Health Information]] | [[Notice of Privacy Practices]] | [[Access to Designated Record Set]] | [[Accounting of PHI Disclosures]] | [[Patient/Consumer Complaints]] | [[Vendors]] | [[Fax Transmissions]] | [[Psychotherapy Notes]] | [[Facility Security]] | [[Conditions of Treatment Form]] | [[Informed Consent for UNMC Media]] | [[Transporting Protected Health Information]] | [[Honest Broker]] | [[Social Security Number]] | [[Third Party Registry]] | [[Information Security Awareness and Training]] | [[Patient Privacy Investigations and Levels of Violation]] | [[Use and Disclosure of PHI for Training Health Care Professionals]] | [[Disclosures of PHI as Permitted or Required by Law]] | [[Disclosure of PHI for Law Enforcement Purposes]]<br />
<br /><br /><br />
Policy No.: '''6045'''<br /><br />
Effective Date: '''11/21/03'''<br /><br />
Revised Date: '''11/29/22 draft'''<br /><br />
Reviewed Date: ''' '''<br /><br />
<br /><br />
<big>'''Privacy, Confidentiality and Security of Patient and Proprietary Information Policy'''</big><br /><br /><br />
== Basis for Policy ==<br />
Nebraska Medicine/UNMC implements reasonable and appropriate access controls in alignment with National Institute of Standards and Technology (NIST) standards and guidance to maintain the minimum necessary access. [https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final NIST Special Publication 800-53] and the [https://www.cdc.gov/phlp/publications/topic/hipaa.html#security-rule HIPAA Security Rule] outline considerations for the access control family of security controls. <br />
== Policy ==<br />
It is the policy of Nebraska Medicine/UNMC to maintain strict confidentiality and security of protected health information (PHI) and proprietary information.<br />
==Procedures==<br />
#Records containing confidential information, in any form, are the property of Nebraska Medicine/UNMC. The original medical record in any form shall not be released except in response to a valid search warrant, subpoena or court order requiring the release of the original record. A copy of the medical record should be offered first in such circumstances. If the original medical record must be released, a copy should be made prior to release if possible. <br />
#Individuals have the following rights with respect to their PHI: </b<br />
##Right to request access to inspect or to obtain a copy of their PHI in a designated record set and to receive such access (where granted) within a reasonable amount of time and to request amendment (see UNMC Policy No. 6059, [https://wiki.unmc.edu/index.php/Access_to_Designated_Record_Set Access and & Amendment of Designated Record Set]);<br />
##Right to request restrictions of how their PHI is used and disclosed (see UNMC Policy No. 6057, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information Use & Disclosure of Protected Health Information]);<br />
##Right to request an accounting of disclosures (see UNMC Policy No. 6061, [https://wiki.unmc.edu/index.php/Accounting_of_PHI_Disclosures Accounting of Protected Health Information Disclosures]); <br />
##Right to receive a Notice of Privacy Practices (see UNMC Policy No. 6058, [https://wiki.unmc.edu/index.php/Notice_of_Privacy_Practices Notice of Privacy Practices]); and<br />
##Right to file a complaint internally with the Patient Relations Department or with the U.S. Department of Health and Human Services Office for Civil Rights (see UNMC Policy No. 6058, [https://wiki.unmc.edu/index.php/Notice_of_Privacy_Practices Notice of Privacy Practices], UNMC Policy No. 6062, [[Patient/Consumer Complaints]] and '''Nebraska Medicine Patient Complaint and Grievance Management policy''' ''''' needpolicy #'''''<br /> '''Individuals shall not be asked to waive these rights as a condition of receiving treatment.'''<br />
#Nebraska Medicine/UNMC is responsible for safeguarding and protecting confidential information against loss, tampering and use by or disclosure to unauthorized individuals. The safeguarding of confidential information in any form includes when the information is stored and/or being transferred outside the facility (see UNMC Policy No. 6073, [[Transporting Protected Health Information]]).<br />
#Nebraska Medicine/UNMC workforce has a duty to protect confidential information. Breach of this duty includes but is not limited to the following:<br />
##Accessing confidential information, in any form, without a current "need to know" to perform assigned duties. Workforce members may not access their own records. Workforce members may not access records of family members (including children), relatives, friends and others, unless access is necessary to perform assigned duties. Workforce members may obtain a copy of their medical records from the Health Information Management Department or via the online patient portal.<br />
##Discussing or disclosing patient care events/PHI to individuals who do not have a “need to know” this information to perform assigned duties, even if the patient’s name is not mentioned. The facts surrounding patient care are confidential and can lead to the identity of the patient. <br />
##Disclosing confidential information without proper authorization (see UNMC Policy No. 6057, [[Use and Disclosure of Protected Health Information]]);<br />
##Accessing patient information via Health Information Exchange in a manner or for a purpose not permitted (see UNMC Policy No. 6057, [[Use and Disclosure of Protected Health Information]]);<br />
##Discussing confidential information in the presence of individuals who do not have the "need to know" to perform assigned duties; <br />
##Disclosing that a patient is receiving care (except for authorized directory purposes);<br />
##Leaving confidential information unattended in a non-secure area;<br />
##Improper disposal of confidential information (see policy, “Destruction of Confidential Information”);<br />
##Using another person's user ID, password or other security codes;<br />
##Assisting an unauthorized user to gain access to a secured information system; <br />
##Transferring confidential information in any form without both parties having a need to know such confidential information. <br />
#Nebraska Medicine/UNMC shall mitigate or reduce, to the extent practicable, any harmful effects of a use or disclosure of PHI in violation of its policies and procedures that is known to Nebraska Medicine/UNMC. <br />
#All employees, the medical staff, allied health practitioners and members of the Workforce with access to confidential information shall sign Nebraska Medicine/UNMC Information Privacy, Confidentiality and Security Agreement upon initial employment/work/appointment/credentialing '''(need URL for attachment to link to the policy)'''. <br />
#Workforce members who suspect a privacy or information security violation must report it immediately. Such reports may be made to their respective manager and the Privacy and/or Information Security Office. Alternatively, staff who wish to remain anonymous may report the suspected violation to the Compliance Hotline at 800-822-8310. A full investigation of the suspected violation shall be conducted. Sanctions shall be imposed for substantiated breaches or failure to report suspected violations. The Medical Staff and allied health practitioners shall report suspected violations to the System Chief Medical Officer '''(how to contact that person??)'''.<br />
#Sanctions for violations of privacy or information security may include revocation of medical staff privileges or allied health credentials, or employee corrective action up to and including termination of employment (see UNMC Policy No. 6302, [[Patient Privacy Investigations and Levels of Violation]]). Civil and criminal fines and penalties can also be levied under HIPAA.<br />
#Workforce members may not intimidate, threaten, coerce, discriminate against, or take other retaliatory action against any individual for reporting a suspected privacy or information security violation, or for filing of a complaint within Nebraska Medicine/UNMC or to the Office for Civil Rights (see [https://wiki.unmc.edu/index.php?title=Privacy/Confidentiality&action=edit#Procedures Procedures, Section 2.2]).<br />
#Access to patient information via Health Information Exchange shall be conducted in accordance with UNMC Policy No. 6057, [[Use and Disclosure of Protected Health Information]]. <br />
#Paper medical records shall be maintained in the Health Information Management Department. <br />
##Records sent to clinic areas shall be returned to the Health Information Management Department within one working day.<br />
##Records of discharged patients will remain on the units until the Health Information Management Department picks them up. Medical records of deceased patients scheduled for an autopsy may be sent to the morgue. <br />
##Records signed out to the attending physician's office or other authorized areas shall be returned to the Health Information Management Department as soon as possible (preferably by 5:00 pm each working day).<br />
#Editing, authenticating and correcting the medical record.<br />
##See Nebraska Medicine Policy, “Contents of Medical Record”, for editing and authenticating the medical record.'''(Nebraska Medicine Policy number??)'''<br />
#[https://wiki.unmc.edu/index.php/Business_Associate_Agreements_and_Addendums_Procedures A Business Associate Agreement or Addenda] shall be executed with each Business Associate<br />
#Human Subjects Research shall be conducted in accordance with UNMC’s [https://guides.unmc.edu/books/hrpp-policies-and-procedures Human Research Protection Program (HRPP) Policies and Procedures], including HRPP Policy 3.4, “Use of Protected Health Information in Research" and UNMC Policy No. 6057, [[Use and Disclosure of Protected Health Information]].<br />
#Retention of the designated record set and other protected health information shall be in accordance with federal, state and local laws and regulatory association guidelines. Documents required to demonstrate HIPAA compliance shall be retained for a period of six years. <br />
== Definitions ==<br />
===Affiliated Covered Entity (ACE)===<br />
Legally separate covered entities that are affiliated and designate themselves as a single covered entity for the purpose of HIPAA Compliance. Current ACE members are: The Nebraska Medical Center, UNMC Physicians, UNMC, University Dental Associates, Bellevue Medical Center and Nebraska Pediatric Practice, Inc. d/b/a Children’s Specialty Physicians. ACE membership may change from time to time. The Notice of Privacy Practices lists current ACE members. Access and amendment rights apply to designated record sets throughout the ACE. <br />
===Business Associate===<br />
A third party who performs services on behalf of Nebraska Medicine/UNMC that involve the creation, receipt, maintenance or transmission of PHI. Some examples of such services include claims processing, data analysis, data processing, practice management, utilization review, quality assurance, patient safety activities, billing, benefit management and repricing.<br />
===Designated Record Set (DRS)===<br />
Includes medical records and billing records about Individuals maintained by or for UNMC/ACE and any other record used by an ACE entity to make decisions about Individuals. Exact duplicates of records maintained by business associates are not considered part of the DRS. <br />
===Individual===<br />
The person who is the subject of the PHI. Personal representatives of the patient have the same rights as the Individual under HIPAA (i.e., they “step into the shoes” of the Individual). Personal representatives include the legal guardian and anyone else authorized by law to act on behalf of the Individual. (See Nebraska Medicine Consents and Permits policy, MS14).<br />
===Protected Health Information (PHI)===<br />
Individually identifiable health information including demographic information, collected from an Individual, whether oral or recorded in any medium, that:<br />
*is created or received by UNMC/ACE; and<br />
*relates to the past, present or future physical or mental health or condition of an Individual; the provision of health care to an Individual; or the past, present or future payment for the provision of health care to an Individual and identifies the Individual or with respect to which there is a reasonable basis to believe the information can be used to identify the Individual. <br />
PHI includes genetic information, which includes information about the following items (and excludes information about an Individual’s sex or age):<br />
*an Individual’s genetic tests; <br />
*the genetic tests of an Individual’s family members; or<br />
*the manifestation of a disease or disorder in such Individual’s family members (i.e., family medical history); or<br />
*any request for, or receipt of, genetic services (e.g., genetic test, genetic counseling, genetic education), or participation in clinical research which includes genetic services by the Individual or any family member of the Individual.<br />
PHI excludes:<br />
*individually identifiable health information of a person who has been deceased for more than fifty (50) years.<br />
*education records covered by the Family Educational Rights and Privacy Act (FERPA); and <br />
*employment records held by UNMC in its role as employer.<br />
===Workforce===<br />
Employees, medical staff, volunteers, trainees and other persons whose conduct, in the performance of work for Nebraska Medicine/UNMC, is under the direct control of Nebraska Medicine/UNMC, whether or not they are paid by Nebraska Medicine/UNMC.<br /><br />
<br /><br />
'''''In addition for purposes of this policy.'''''<br />
===Information Security===<br />
The set of policies and practices designed to protect PHI from any unauthorized access, use, disclosure, modification, destruction or loss.<br />
===Proprietary Information===<br />
Information relating to Nebraska Medicine/UNMC business practices, including but not limited to financial statements, contracts, and business plans, employee records and meeting minutes.<br />
==Additional Information==<br />
*Note: Corresponds to Nebraska Medicine Policy IM06<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer], 402-559-9576 or the UNMC Compliance Office at 402-559-6767<br />
*Compliance Hotline - 800-822-8310<br />
*Contact the [mailto:debrbishop@nebraskamed.com Privacy] or [mailto:libazis@nebraskamed.com Information Security] Officers <br />
*Contact Human Resources – Records at 402-559-8962 or Human Resources - Employee Relations <br />
*[https://www.unmc.edu/academicaffairs/_documents/compliance/statement_of_understanding.pdf Statement of Understanding]<br />
*Exhibit B - [https://www.unmc.edu/hipaa/_documents/6045-Exhibit-B-SSN-Student.docx Use of Student Social Security Number Exception]<br />
*Exhibit C - [https://www.unmc.edu/hipaa/_documents/6045-Exhibit-C-SSN-Employee.docx Use of Employee Social Security Number Exception]<br />
*UNMC Policy No. 1098, [https://wiki.unmc.edu/index.php/Corrective/Disciplinary_Action Corrective and Disciplinary Action]<br />
*UNMC Policy No. 6036, [http://wiki.unmc.edu/index.php?title=Reproducing_Copyrighted_Materials Reproduction of Copyrighted Materials Policy]<br />
*UNMC Policy No. 6052, [http://wiki.unmc.edu/index.php?title=Student_Training_Agreement Contract or Agreement for Student Training Policy]<br />
*UNMC Policy No. 6057, [[Use and Disclosure of Protected Health Information]]<br />
*UNMC Policy No. 6058, [[Notice of Privacy Practices]]<br />
*UNMC Policy No. 6059, [https://wiki.unmc.edu/index.php/Access_to_Designated_Record_Set Access and Amendment of Designated Record Set]<br />
*UNMC Policy No. 6061, [[Accounting of PHI Disclosures]]<br />
*UNMC Policy No. 6062, [[Patient/Consumer Complaints]]<br />
*UNMC Policy No. 6073, [[Transporting Protected Health Information]]<br />
*UNMC Policy No. 6085, [[Social Security Number]]<br />
*UNMC Policy No. 6302, [[Patient Privacy Investigations and Levels of Violation]]<br />
*UNMC Policy No. 8000, [[Compliance Program]]<br />
*UNMC Policy No. 8009, [[Contracts]]<br />
*[https://wiki.unmc.edu/index.php/Business_Associate_Agreements_and_Addendums_Procedures Business Associate Agreements and Addendums Procedures]<br />
*UNMC’s [https://guides.unmc.edu/books/hrpp-policies-and-procedures Human Research Protection Program (HRPP) Policies and Procedures], including HRPP Policy 3.4, “Use of Protected Health Information in Research<br />
*Nebraska Medicine Consents and Permits policy, MS14<br />
*UNMC [https://info.unmc.edu/its-security/policies/procedures/data-classification.html Data Classification Procedure]<br />
*[http://wiki.unmc.edu/index.php?title=Privacy/Information_Security UNMC Privacy and Information Security Policies]<br />
*[http://wiki.unmc.edu/index.php?title=Human_Resources_-_Procedures UNMC Human Resources Procedures]<br />
*[https://wiki.unmc.edu/index.php/Job_Shadowing_Procedure Job Shadowing Procedures]<br />
*[https://info.unmc.edu/its-security/policies/plan.html Information Security Plan]<br />
*[http://www.unmc.edu/hipaa/_documents/telehealth-final.pdf Telehealth Procedures]<br />
*[https://www.unmc.edu/hipaa/_documents/privacy-incident-response-and-breach-notification-procedures.pdf Privacy Incident Response and Breach Notification Procedures]<br />
*[https://nebraska.edu/offices-policies/general-counsel/practice-areas/intellectual-property Copyright and Disclaimer]<br />
*[https://info.unmc.edu/its-security/policies/procedures/destruction-confinfo.html Destruction of Private and Confidential Information Procedures]<br />
*[http://wiki.unmc.edu/index.php?title=Informed_Consent_for_UNMC_Media_Production_and_Distribution_Procedures Procedures for Obtaining Informed Consent for UNMC Audio-Visual Media Production and Distribution]<br />
*[http://www.unmc.edu/hr/Proc/Procedures1097.pdf Human Resources Performance Management Procedures]<br />
*[http://info.unmc.edu/wiki/index.php/Faculty_Handbook UNMC Faculty Handbook: Operating Procedures]<br />
*[http://catalog.unmc.edu/general-information/ Student Handbook]<br />
*[https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final NIST Special Publication 800-53] <br />
*[https://www.cdc.gov/phlp/publications/topic/hipaa.html Health Insurance Portability and Accountability Act of 1996] (HIPAA)<br />
*[https://www.cdc.gov/phlp/publications/topic/hipaa.html#security-rule HIPAA Security Rule]<br />
*[http://www.ftc.gov/privacy/privacyinitiatives/glbact.html Gramm-Leach-Bliley Act] (GLBA)<br />
*[http://www.ed.gov/offices/OM/fpco/ferpa/index.html Family Educational Rights and Privacy Act] (FERPA)<br />
*University of Nebraska [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-bylaws.pdf?la=en Board of Regents Bylaws]<br />
*University of Nebraska [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/board-governing-documents/board-of-regents-policies.pdf?la=en Board of Regents Policies]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-for-responsible-use-of-university-computers-and-information-systems.pdf Executive Memorandum No. 16, Policy for Responsible Use of University Computers and Information Systems]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/public-records-request.pdf Executive Memorandum No. 22, Public Record Requests]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/university-of-nebraska-information-security-plan.pdf Executive Memorandum No. 26, Information Security Plan - Gramm Leach Bliley Compliance]<br />
*[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/hipaa-compliance-policy.pdf Executive Memorandum No. 27, HIPAA Compliance Policy]<br />
*Executive Memorandum No. 41, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-research-and-data-security.pdf Policy on Research Data and Security]<br />
*Executive Memorandum No. 42, [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-risk-classification-and-minimum-security-standards.pdf Policy on Risk Classification and Minimum Security Standards]<br />
*[https://www.unmc.edu/com/about/gme/housestaffmanual.pdf University of Nebraska Affiliated Hospital House Staff Manual 2022 – 2023]<br />
*[https://guides.unmc.edu/books/research-handbook Research Handbook]<br />
*[http://www.unmc.edu/irb/ Institutional Review Board Guidelines]<br />
*[https://csrc.nist.gov/Projects/protecting-controlled-unclassified-information/sp-800-171 Protecting Controlled Unclassified Information] (CUI) <br />
*[https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final Security and Privacy Controls for Information Systems and Organizations] <br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Code_of_Conduct&diff=13609Code of Conduct2023-03-13T17:10:26Z<p>Dpanowic: Corrected Statement of Understanding URL</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br /><br />
<br /><br />
Policy No.: '''8006'''<br /><br />
Effective Date: '''03/13/09'''<br /><br />
Revised Date: '''08/16/21 '''<br /><br />
Reviewed Date: '''08/16/21'''<br /> <br /> <br />
<br />
<big>'''Code of Conduct'''</big><br /><br />
<br /><br />
<br />
==Basis for Policy==<br />
The mission of the University of Nebraska Medical Center is to lead the world in transforming lives for all individuals and communities through premier educational programs, innovative research and extraordinary patient care.<br /><br />
<br />
UNMC has a reputation of integrity and excellence in teaching, research and patient care. To maintain this reputation, UNMC expects all faculty, staff and students to conform to the highest ethical standards and meet all legal obligations in the performance of their duties. This Code of Conduct applies to all UNMC faculty, staff and students (hereinafter “UNMC Community”) and guides them in carrying out daily activities within appropriate ethical and legal standards. The Code reflects the values of UNMC and may be modified to address changes in culture, as well as changes in the regulatory environment.<br />
==Professional and Ethical Conduct==<br />
Professional and ethical conduct must be shown in all relationships. Professionalism is fostered by a supportive climate emphasizing respect and dignity. The UNMC community should strive to create an environment characterized by:<br />
* avoidance of and no tolerance for harassment, sexual misconduct, threats, intimidations, physical, verbal or written (including electronic) abuse;<br />
* respect for individual and cultural differences in race, color, ethnicity, national origin, sex, pregnancy, sexual orientation, gender identity, religion, disability, age, genetic information, veteran status, marital status and/or political affiliation; <br />
* open, professional and respectful communication; <br />
* honest, respectful and fair dealing within the UNMC community, and with external customers, suppliers, competitors and other entities; <br />
* truthful and positive feedback with constructive, corrective feedback in a private setting whenever possible;<br />
* opportunity for assignment of duties and tasks that promote professional development;<br />
* performance of duties and assignments in an exemplary manner;<br />
* an emphasis on solving problems and modifying systems, not blaming people;<br />
* no tolerance for cheating, fabricating, falsifying, plagiarizing, or inappropriately communicating research, academic or clinical information;<br />
* no tolerance for falsifying signatures includes signing on behalf of another where the person signing does not have delegated authority for such signature under the Board of Regents Memorandum 13 and/or 14 or other appropriately documented authorization. <br />
==Leadership Responsibilities==<br />
While all members of the UNMC community are obligated to follow this Code of Conduct, leaders set the example, to be in every respect a model. Teachers and supervisors should provide instruction, guidance, and leadership. Leadership involves helping others to achieve their highest levels of performance, discerning those who need individual assistance, and then facilitating improvement. Similarly, the teacher or supervisor can expect the student or employee to make the necessary investment of energy and intellect to acquire the knowledge, understanding and skills concomitant with being a competent professional. <br />
== Compliance ==<br />
All members of the UNMC community are expected to understand and comply with federal and state laws, regulations related to their duties and University of Nebraska and UNMC policies and procedures. UNMC has an obligation to provide education to community members so they understand their responsibilities. Areas of regulatory responsibility applicable to UNMC may include but are not limited to the following: <br />
* Title IX;<br />
* Civil rights;<br />
* Health and safety in the workplace;<br />
* Grants and contracts;<br />
* Financial compliance and standard business practices;<br />
* Conflict of interest;<br />
* Scientific misconduct; <br />
* Protection of human and animal subjects in research;<br />
* Employment, including wage and hour, family and medical leave, disabilities and immigration laws;<br />
* Confidentiality of student, patient and other proprietary information;<br />
* Protection of intellectual property such as patents, trademarks and copyright;<br />
* Publication of scholarly work and authorship;<br />
* Information technology and security.<br />
== Reporting ==<br />
If you have questions regarding this Code or encounter any situation which you believe violates provisions of this Code, you should immediately consult your supervisor, academic advisor, another member of your department, the Human Resources Department, the Chief Student Affairs Officer, the Compliance Officer at 402-559-6767, the Nebraska Ombudsman’s office at 1-800-742-7690, the UNMC Compliance Hotline at 1-844-348-9584 or www.nebraska.ethicspoint.com. Reports to the Compliance Hotline may be made anonymously. There will be no retribution for asking questions or raising concerns about the Code or reporting possible improper conduct. Individuals shall not intentionally make false allegations. Any employee making a report regarding this Code may not be discharged, demoted or otherwise discriminated against as a reprisal for disclosing information that the employee reasonably believes is evidence of abuse of this policy.<br />
== Abide by this Code of Conduct Policy ==<br />
The integrity and reputation of UNMC is diminished when any of these standards is violated. All allegations of violations of the Code of Conduct will be thoroughly and appropriately investigated, without exception, and corrective action will be taken consistent with the circumstances. UNMC community members who violate the Code of Conduct may be subject to corrective action up to and including termination of employment or academic disciplinary action, including dismissal. <br />
==[https://www.unmc.edu/hr/Proc/Procedures1020.pdf Grievance Resolution Procedure]==<br />
==Additional Information==<br />
* [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer], 402-559-6767<br />
* [mailto:debrbishop@nebraskamed.com Privacy Officer]<br />
* UNMC Policy No. 1020, [[Employee Grievance Process]]<br />
*[https://www.unmc.edu/academicaffairs/_documents/compliance/statement_of_understanding.pdf Statement of Understanding]<br />
*[https://www.unmc.edu/hr/Proc/Procedures1020.pdf Grievance Resolution Procedure]<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13607Policies and Procedures2023-03-09T15:29:51Z<p>Dpanowic: updated revised/reviewed dates for 6102</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|07/26/21<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|03/09/23<br />
|03/09/23<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|08/26/21<br />
|08/26/21<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|07/26/21<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|08/25/22<br />
|08/25/22<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Institutional_Base_Salary&diff=13606Institutional Base Salary2023-03-09T15:26:20Z<p>Dpanowic: Changed caps to reflect current rates.</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[Sponsored Programs]] | [[Sponsored Programs Costing]] | [[Institutional Base Salary]] | [[Sponsored Project Cost Share]] | [[Effort Certification]] | [[Cost Transfer]] | [[Service Center]] | [[Subrecipient Policy]] | [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
<br /><br /><br />
<br />
Policy No.: '''6102'''<br /><br />
Effective Date: '''02/20/06'''<br /><br />
Revised Date: '''03/09/23'''<br /><br />
Reviewed Date: '''03/09/23'''<br /><br />
<br /><br />
<big>'''Institutional Base Salary Policy'''</big> <br />
== Purpose ==<br />
The purpose of this policy is to define compensation and Institutional Base Salary (IBS) for the purposes of:<br />
*generating budgets for sponsored project proposals.<br />
*charging compensation for personal services to sponsored projects.<br />
*documenting compliance with National Institutes of Health (NIH) regulations and criteria for combining practice plan and university salaries as the basis for University of Nebraska Medical Center (UNMC) IBS.<br />
It applies to all individuals:<br />
*whose salary, in whole or in part, is budgeted on or charged to a sponsored project.<br />
*who have committed effort to a sponsored project, whether that effort is charged to the sponsored project or cost-shared (see UNMC Policy 6104, [[Sponsored Project Cost Share]]), by UNMC.<br />
Failure to properly budget, document IBS or charge awards, may result in expenditure disallowances, financial penalties, disciplinary actions, audit findings and harm to UNMC’s reputation.<br />
== Policy ==<br />
The University of Nebraska Medical Center (UNMC) Institutional Base Salary (IBS) represents combined salary from UNMC and its affiliate practices' plans, Nebraska Medicine and Nebraska Pediatric Practice. Veterans Administration salary is not included in the IBS, per NIH Grants Policy Statement.<br />
<br />
==Definitions==<br />
Per [https://www.federalregister.gov/articles/2013/12/26/2013-30465/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards Uniform Guidance Section 200.430 Compensation - Personal Services]<br />
*'''Institutional base salary''' is defined as the annual compensation paid by an institution of higher education for an individual's appointment, whether that individual's time is spent on research, instruction, administration, or other activities. IBS excludes any income that an individual earns outside of duties performed for the institution of higher education. Unless there is prior approval by the Federal awarding agency, charges of a faculty member's salary to a Federal award must not exceed the proportionate share of the IBS for the period during which the faculty member worked on the award.<br />
In conformance with [https://www.federalregister.gov/articles/2013/12/26/2013-30465/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards Uniform Guidance Section 200.430], UNMC salaries can be charged to sponsored awards if the salary:<br />
*is reasonable for the services rendered and consistently applied to both Federal and non-Federal activities.<br />
:*compensation for employees engaged in work on Federal awards will be considered reasonable to the extent that it is consistent with that paid for similar work in other activities at UNMC, or comparable to that paid for similar work in the labor market in which UNMC competes for the kind of employees required for Federal awards but are not currently employed at UNMC.<br />
*follows a faculty appointment made in accordance with UNMC policy and procedures.<br />
*is properly allocated to the project and certified in accordance with UNMC Policy 6105, [[Effort Certification]]. The Effort Certification process ensures that UNMC maintains records that accurately reflect the work performed and that are supported by internal controls which provide reasonable assurance that the compensation charges are allowable, reasonable, consistently applied, and properly allocated. <br />
*complies with the established accounting policies and practices of UNMC and is incorporated into the official records of UNMC.<br />
*reasonably reflects the total activity for which the employee is compensated, not exceeding 100% of compensated activities.<br />
===Components of Institutional Base Salary===<br />
UNMC Institutional Base Salary (IBS) is the annual compensation for an employee’s appointment, whether for research, teaching, public service, administration or other activities. IBS wage codes are defined in UNMC’s [https://info.unmc.edu/management/finance/fincompliance/Wage_Code_Types.pdf Wage Code Types]. IBS excludes some wage code types; therefore, IBS may be less than the total institutional salary. <br />
<br />
UNMC IBS includes four major parts: <br />
*UNMC base salary <br />
*Specified UNMC stipends <br />
*Nebraska Medicine Practice base salary <br />
*Nebraska Pediatric Practice base salary <br />
UNMC IBS excludes: <br />
*Supplemental compensation <br />
*One-time payments <br />
*Veterans Affairs (VA) salary (paid directly by VA to the employee) <br />
*Nebraska Medicine Practice bonus payments <br />
*Nebraska Pediatric Practice bonus payments <br />
===Other Factors that May Impact IBS===<br />
*UNMC allows an annual inflation factor comparable with the most recent University of Nebraska budget increase to be applied to sponsored project budgets. Note: Although NIH allows applicants to request cost-of-living increases in accordance with institutional policy, NIH eliminates such increases from awarded budgets.<br />
*UNMC IBS may not be increased as a result of replacing UNMC funds with sponsored project funds. Salary Increases of 10% or more during the fiscal year must be approved by following the process explained in UNMC Policy 1007, [[Compensation Administration]].<br />
*For NIH and other Health and Human Service agency grants, the Consolidated and Further Continuing Appropriations Act, 2015 (Public Law 113-235) limits the IBS to Executive Level II of the Federal Executive pay scale, [http://grants.nih.gov/grants/policy/salcap_summary.htm currently set at $212,100].<br />
*For federal contracts, 41 U.S.C. 4304(a)(16) limits the reimbursement of compensation costs for contractor employees to [https://www.whitehouse.gov/wp-content/uploads/2022/11/ContractorCompensationCapContractsAwardedafterJune24-UPDATE-NOV-2022.pdf $619,000], adjusted annually.<br />
==UNMC Compliance with NIH Criteria for Combining Salaries==<br />
The University of Nebraska Medical Center (UNMC) Institutional Base Salary represents combined salary from UNMC and its affiliates’ practice plans that include both Nebraska Medicine, and Nebraska Pediatric Practice. <br />
<br />
In addition to Uniform Guidance requirements explained above, to be eligible to incorporate the clinical practice plan salary into the IBS, NIH applicant institutions must meet five criteria outlined in the [http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-061.html NIH Grants Policy Statement]. UNMC meets each of the following five criteria.<br />
: 1. Clinical practice compensation must be set by the institution. <br />
::*Per UNMC policy and practice, clinical practice compensation is set by department chairs who report to the Dean of the College of Medicine.<br />
: 2. Clinical practice activity must be shown on the institution's payroll or salary appointment forms and records approved by the institution. <br />
::*Per UNMC policy and procedure, faculty assignments and compensation are documented on annual terms of employment agreements issued by the College of Medicine Dean’s Office and in annual Nebraska Medicine and Nebraska Pediatric Practice Employment Agreements. Nebraska Medicine and Nebraska Pediatric Practice are instrumentalities of the University of Nebraska and acts as common paymaster for their clinical practice faculty.<br />
:3. Clinical practice compensation must be paid through or at the direction of the institution.<br />
::*Per UNMC policy and procedure, faculty assignments and compensation are documented on annual terms of employment agreements issued by the College of Medicine Dean’s Office and in annual Nebraska Medicine and Nebraska Pediatric Practice Employment Agreements. Nebraska Medicine and Nebraska Pediatric Practice are instrumentalities of the University of Nebraska and acts as common paymaster for their clinical practice faculty.<br />
:4. Clinical practice activity must be included and accounted for in the institution's effort reporting and/or payroll distribution system. <br />
::*Per UNMC policy and procedure, UNMC includes clinical practice activity in its effort certification system and payroll distribution system.<br />
:5. The institution must assure that all financial reports and supporting documents associated with the combined IBS and resulting charges to NIH grants are retained and made available to Federal officials or their duly authorized representatives consistent with the requirements of [http://www.ecfr.gov/cgi-bin/text-idx?SID=ee873e1aa906cf3b0d7474d25be3b5a9&node=2:1.1.2.2.1&rgn=div5%20-%20se2.1.200_1333 Uniform Guidance § 200.333].<br />
::*Per University of Nebraska policy (see [http://www.sos.ne.gov/records-management/schedule_170.html Sponsored Project 170-8]}, UNMC assures that all financial reports and supporting documents associated with the combined IBS and resulting charges to NIH grants are retained and made available as required by federal regulations.<br />
===Roles and Responsibilities ===<br />
====Deans, Directors, and Chairs====<br />
*Provide appointment letters to faculty<br />
*Review and approve faculty workload<br />
*Review effort commitments and IBS on ADIS Internal Forms budgets for new awards<br />
====Faculty====<br />
*Commit effort to each sponsored project for which he or she is serving as Principal Investigator or as other key personnel<br />
*Certify 100% of one’s UNMC effort on Effort Certification Reports, as required by UNMC Policy 6105, [[Effort Certification]]<br />
====Department Administrator ====<br />
* Prepare sponsored project budgets, both in proposals to be submitted to sponsors for consideration and in ADIS Internal Forms<br />
*Enter payroll distribution in SAP based on approved budget and adjust payroll based on actual certified effort, as required by UNMC Policy 6105, [[Effort Certification]]<br />
====Sponsored Programs Administration====<br />
*Review and approve sponsored project budgets, both in proposals submitted to sponsors for consideration and in ADIS Internal Forms<br />
*Use RSS to verify IBS used in sponsored project budgets<br />
====Sponsored Programs Accounting====<br />
* Ensure that effort certifications are completed in compliance with UNMC Policy 6105, [[Effort Certification]] and review cost-shared (UNMC Policy 6104, [[Sponsored Project Cost Share]]) companion accounts for accuracy<br />
*Ensure that IBS [https://info.unmc.edu/management/finance/fincompliance/Wage_Code_Types.pdf Wage Code Types] in SAP are properly updated and compliant with this policy, (UNMC Policy 6102, [[Institutional Base Salary]]).<br />
==Additional Information==<br />
*[mailto:mhrncirik@unmc.edu Senior Manager, Financial Compliance and Cost Analysis]<br />
*[http://info.unmc.edu/management/finance/fincompliance/index.html Financial Compliance and Cost Analysis]<br />
*UNMC Policy 1007, [[Compensation Administration]]<br />
*UNMC Policy 6104, [[Sponsored Project Cost Share]]<br />
*UNMC Policy 6105, [[Effort Certification]]<br />
*[https://info.unmc.edu/management/finance/fincompliance/Wage_Code_Types.pdf Wage Code Types] Applicable for Sponsored Projects<br /><br />
*[http://www.unmc.edu/spa/grants/resources/salary.html UNMC Standardized Budget Justification Language]<br /><br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Accounts_Receivable_Management&diff=13579Accounts Receivable Management2023-03-02T16:06:20Z<p>Dpanowic: finalized draft changes with new revised/reviewed date of 3/2/23</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[General Accounting]] | [[SBIR/STTR Program Participation]] | [[Supplemental Compensation Plan]] | [[Facilities Management/Planning]] | [[Purchasing]] | [[Strategic Communications]] | [[Facility Identification]] | [[Serving Alcoholic Beverages]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] | [[Travel Restrictions]] for Nebraska Medicine and UNMC | [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies] | [[Reproducing Copyrighted Materials]] | [[Bank Card Processing]] | [[Student Training Agreement]] | [[Volunteer]] | [[Cash Handling]] | [[Fraud]] | [[Assigning Research Lab Space]] | [[Space Scheduling and Fundraising]] | [[Academic Personnel Records]] | [[Cell Phone]] | [[Off-campus Graphic Design and Related Printing]] | [https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography] | [[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]] | [[Secondary Logos]] | [[Social Media]] | [[Sensitive Equipment Tracking]] | [[International Visitors]] | [[Accounts Receivable Management]] | [[Regulations on the Use of University Facilities and Grounds]] | |[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy] | [[Tuition Remissions]] | [[Collections Management]] | [[Web Governance]]<br />
<br /><br /><br />
Policy No.: '''6084'''<br /><br />
Effective Date: '''09/26/13'''<br /><br />
Revised Date: '''03/02/23'''<br /><br />
Reviewed Date: '''03/02/23''<br />'''<br />
<br /><br />
<big>'''Accounts Receivable Management Policy'''</big> <br />
==Basis for Policy== <br />
It is the policy of the University of Nebraska Medical Center (UNMC) to track all invoices to external customers for timely payment and accounting within a central Accounts Receivable System.<br />
==Definitions==<br />
'''Accounts Receivable (A/R):''' Money owed by entities to UNMC from the sale of products and/or services provided.<br /><br />
<br />
'''Biller:''' The person submitting the details to be invoiced (products/services rendered, amount, cost object and G/L account to credit money once collected, along with any supporting documentation and special instructions for invoicing).<br /><br />
<br />
'''Invoice:''' A UNMC Accounts Receivable document generated from UNMC Management Resources System provided to an entity describing the products/services provided, the amount due and the requested date for payment.<br /><br />
<br />
[https://wiki.unmc.edu/images/e/e1/Sample-AR-invoice.pdf Sample Invoice] <br />
==Policy==<br />
Invoices are to be created within the UNMC Management Resources system. Billers using the system submit their invoice detail online, assign a cost object and G/L account to the invoice for deposit purposes (posting to SAP) and attach supporting documentation as needed for the customer to process/remit payment to UNMC.<br /><br />
<br />
The intent of this system is only for '''external''' customers. External customers are defined as entities located off UNMC’s campus and not part of the University of Nebraska system. Examples include Creighton University, the Veterans Administration (and other federal governmental agencies), Methodist Hospital and Omaha Public Schools.<br /><br />
<br />
Internal charges by UNMC Departments and Intercampus billings that can be addressed via SAP journal entry are transactions not to be accounted for using the A/R subsystem. UNMC departmental billing phone charges, dietary tickets, printing services and intercampus tuition billings (billed via SAP journal entry) are examples.<br /><br />
<br />
State agencies with invoices paid via Interagency Billing Transfer (IBT) qualify as external customers that should be billed through the A/R system. Examples would include the Nebraska Department of Health & Human Services, Medically Handicapped Children’s Service, the Nebraska Department of Education and other state agencies receiving state funding that clear invoices using IBTs.<br /><br />
<br />
Departments are responsible for generating accurate, timely invoices to external customers for non-sponsored receivables. Sponsored Programs Accounting (SPA) is responsible for generating accurate, timely invoices to external customers for sponsored receivables.<br /><br />
<br />
Other specific invoicing requirements may render the A/R subsystem not applicable/efficient for use. For example, contractual terms may require wording, terminologies, etc. that are unworkable with the current invoice template. These exceptions will be reviewed on a case-by-case basis by the Controller’s Office.<br /><br />
<br />
The standard payment term to be applied to invoices generated in the A/R subsystem is net 30 days.<br />
===Exceptions===<br />
As mentioned above, the UNMC Management Resources system is not designed for internal (on-campus) or intercampus charges. Examples would include UNMC departments billing each other (phone charges, copy charges, dietary tickets, etc.) and intercampus charges (UNO, UNL, UNK, etc.). Transactions that can be accounted for solely within SAP via journal entry are not invoiced via the UNMC Management Resources system.<br />
==Access to Management Resources==<br />
A training class is required to obtain access to the UNMC Management Resources system. Billers can obtain access to invoices via the UNMC Management Resources system with a request to the General Accounting Office only after training is completed. General Accounting reserves the right to remove access if deemed necessary. Additional training will be required to regain access. <br />
==Entering Invoices Within Management Resources==<br />
Billers can submit invoice detail to approved customers and contact information. The subsystem is monitored daily for newly entered customers and contacts. <br /><br />
<br />
The General Accounting Office will monitor outstanding invoices based on the timing listed in the collection section listed below, following up with billers as needed and processing payments as they are received.<br /><br />
<br />
The UNMC Management Resources system will interface with SAP as payments are processed. <br />
==Collection and Write-off of Delinquent Balances==<br />
===Collection Procedures for Invoices Outstanding===<br />
AR billers are responsible for collection of their invoices.<br><br />
<br />
Collection Procedures for Invoices Outstanding passing the assigned payment term:<br />
*Between 30-60 days – A/R Biller will send second request billing to customers<br />
*Greater than 90 days – A/R Staff will send aging report to AR Biller and request collection status<br />
*Greater than 180 days – A/R Staff will send aging report and notification to A/R biller with college deans copied<br />
*Invoices outstanding greater than 180 days may be assessed service charges determined by the vice chancellor for business, finance and business development<br />
*Retainage balances are exempted from this procedure<br />
===Write-off of Delinquent Balances===<br />
Delinquent balances greater than 365 days will be written off from the A/R system. Write-offs must be submitted to the vice chancellor for business, finance and business development for approval. The vice chancellor will determine if written off balances will be:<br />
*Assessed service charges<br />
*Turned over to campus legal counsel<br />
*Turned over to a collection agency<br />
*Retained by UNMC General Accounting Office<br />
==Non-compliance==<br />
Payments received by UNMC outside of this policy (not invoiced via the UNMC Management Resources system) may not be recorded to departmental accounts in a timely manner. Complications arise when electronic payments are received with no supporting backup. <br />
==Additional Information==<br />
*[mailto:accountsreceivable@unmc.edu Accounts Receivable]<br />
*[http://wiki.unmc.edu/images/7/73/Accounts_Receivable_Procedures.pdf Accounts Receivable Management Procedures]<br /><br />
<br /><br />
This page maintained by [mailto:dpanowic@unmc.edu dkp].</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13578Policies and Procedures2023-03-02T16:00:43Z<p>Dpanowic: update review and revision date of policy 6084</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|07/26/21<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|11/16/21<br />
|08/11/22<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|08/26/21<br />
|08/26/21<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|07/26/21<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|08/25/22<br />
|08/25/22<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/02/23<br />
|03/02/23<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Compliance_Program&diff=13575Compliance Program2023-02-28T22:00:42Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
<br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br />
<br /><br /><br />
Policy No.: '''8000'''<br /><br />
Effective Date: '''11/01/06'''<br /><br />
Revised Date: '''02/28/23'''<br /><br />
Reviewed Date: '''02/28/23'''<br /> <br />
<br /><br />
<big>'''Compliance Program Policy'''</big><br />
== Basis for Policy ==<br />
The purpose of the Compliance Program and Committee is to identify UNMC’s key compliance risks, as well as make recommendations and implement solutions, policies, procedures and standards of conduct to ensure that UNMC complies with all applicable federal, state and local laws and regulations; and University of Nebraska and UNMC Policies and Procedures. In support of this purpose, UNMC’s Compliance Program will designate a chief compliance officer and a compliance committee whose responsibilities will include the following: to provide for or conduct effective training and education, develop effective lines of communication, and conduct internal monitoring and reviews for adherence to policies and procedures. The University of Nebraska Medical Center (UNMC) Compliance Program consistent with UNMC Policy No. 8006, [[Code of Conduct]], mandates that all UNMC faculty, staff, and students comply with: all applicable federal, state and local laws; all relevant regulations; and University of Nebraska and UNMC Policies and Procedures.<br />
== Compliance Program Structure ==<br />
[[File:Compliance-flowchart-8-5-2020.jpg]]<br />
===Senior Vice Chancellor for Academic Affairs===<br />
The Senior Vice Chancellor for Academic Affairs is responsible for overseeing the development and implementation of the policies, procedures and practices necessary to effect compliance with federal, state, and local laws and regulations; and University of Nebraska and UNMC Policies and Procedures.<br />
===Chief Compliance Officer===<br />
The Chief Compliance Officer shall report to the Senior Vice Chancellor for Academic Affairs, but has the authority to communicate directly with the Chancellor or Vice Chancellors for Academic Affairs, Business and Finance, Research, Deans, the Audit, Risk and Compliance Committee of the Board of Regents or others on compliance matters, which include, but are not limited to: <br />
*coordinate with subject matter experts to analyze laws and regulations applicable to UNMC to ensure compliance; <br />
*monitor day-to-day compliance activities;<br />
*develop, initiate, maintain and revise policies and procedures for compliance with laws and regulations applicable to UNMC;<br />
*oversee visits by regulatory agencies and responses to inquiries and investigations; <br />
*report compliance matters directly to the UNMC Chancellor’s Council; <br />
*coordinate with the Associate General Counsel on legal issues;<br />
*coordinate with the Director of Internal Audit and Advisory Services;<br />
*coordinate with the Information Security Officer;<br />
*coordinate with the University Compliance Officer and other campus compliance officers;<br />
*respond to compliance hotline calls;<br />
*participate on the University Compliance Council;<br />
*disseminate information to support compliance and training on the Compliance Program; and<br />
*chair the Compliance Committee.<br />
===Compliance Committee===<br />
The Compliance Committee assists the Chief Compliance Officer with the above duties and helps manage the Compliance Program. The Compliance Committee shall seek to leverage the compliance efforts of each area and avoid duplication of effort. The Compliance Committee shall analyze UNMC’s key risk areas and monitor and promote compliance. The Compliance Committee shall oversee and monitor department response to identified risks as identified by the Chancellor's Risk Assessment as well as data generated through monitoring and individual reporting. <br />
<br />
The Compliance Committee shall meet no less than quarterly. The Compliance Committee shall be composed of at least the following representatives who shall be responsible for the overseeing compliance and assist the Chief Compliance Officer with managing the Compliance Program:<br />
<br />
*Chief Compliance Officer <br />
*Associate General Counsel<br />
*Export Control Compliance Officer<br />
*Human Resources Director<br />
*Information Security Officer <br />
*Chair of the Institutional Review Board or Compliance designee<br />
*Executive Director, Environmental Health & Safety<br />
*Intellectual Property Director <br />
*Director Internal Audit and Advisory Services<br />
*Nebraska Medicine Compliance Officer or Compliance Representative for Nebraska Medicine<br />
*Privacy Officer<br />
*Controller<br />
*Financial Compliance and Cost Analysis<br />
*Sponsored Programs Administration<br />
*Sponsored Programs Accounting<br />
*Procurement<br />
*Chief Student Affairs Officer<br />
*Library<br />
The Compliance Committee or Chief Compliance Officer may request reports annually from certain representatives and others to address compliance issues as necessary. The purpose of the reports will be to: <br />
*develop policies related to compliance; <br />
*establish compliance training programs;<br />
*assist with identifying areas of potential compliance vulnerabilities; <br />
*assist with understanding the compliance risks and related regulations and laws; and<br />
*assist with response to alleged violation of rules, regulations, policies, procedures, and other functions as needed to enforce this policy.<br /><br />
<br />
Representatives would be from the following areas: <br />
*NU Director of Internal Audit and Advisory Services<br />
*Biosafety<br />
*Child Health Research Institute (CHRI)<br />
*College of Dentistry<br />
*College of Medicine<br />
*College of Nursing<br />
*College of Pharmacy<br />
*College of Public Health<br />
*College of Allied Health Professions<br />
*Graduate Studies<br />
*UNMC Physicians<br />
*Comparative Medicine/Institutional Animal Care and Use Committee<br />
*Eppley Institute/Fred & Pamela Buffett Cancer Center<br />
*Facilities Management<br />
*Munroe-Meyer Institute<br />
*Environmental Health & Safety<br />
*Student Success<br />
*Others as necessary<br />
<br />
==Compliance Responsibilities==<br />
[https://www.unmc.edu/academicaffairs/compliance/areas/ Compliance Areas]<br /><br />
Compliance responsibilities shall be established per UNMC and/or Board of Regents policies and procedures linked and referenced below:<br />
{| class="wikitable"<br />
|-<br />
|'''Research Compliance'''||<br />
|-<br />
| Code of Conduct || UNMC Policy No. 8006, [[Code of Conduct]]<br />
|-<br />
| IRB || [https://www.unmc.edu/irb/ Institutional Review Board] https://www.unmc.edu/ibc/<br />
|-<br />
| IACUC || [https://info.unmc.edu/iacuc/ Institutional Animal Care and Use Committee], BOR Policy 3.2.8<br />
|-<br />
| Conflict of Interest || UNMC Policy No. 1049, [[Outside Employment]], UNMC Policy No. 8010, [[Conflict of Interest]], UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
|-<br />
| Clinical Trial Billing || UNMC Policy No. 8008, [[Clinical Trial Professional and Technical Fee Billing]]<br />
|-<br />
| Research Integrity || UNMC Policy No. 8003, [[Research Integrity]]<br />
|-<br />
| Sponsored Programs Administration, Sponsored Programs Accounting and Financial Compliance & Cost Analysis || UNMC Policy No. 3001, [[Sponsored Programs]], UNMC Policy No. 6100, [[Sponsored Programs Costing]], UNMC Policy No. 6102, [[Institutional Base Salary]], UNMC Policy No. 6104, [[Sponsored Project Cost Share]], UNMC Policy No. 6105, [[Effort Certification]], UNMC Policy No. 6106, [[Cost Transfer]], UNMC Policy No. 6107, [[Service Center]], UNMC Policy No. 6108, [https://wiki.unmc.edu/index.php/Subrecipient_Policy Subrecipient], UNMC Policy No. 6110, [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|-<br />
| '''Environmental and Safety Compliance'''|| <br />
|-<br />
| Safety || [https://unmc.edu/ehs/safety/ UNMC Environmental Health & Safety Department], UNMC Policy No. 2000, [[Safety]]<br />
|-<br />
| Radiation Safety || [https://www.unmc.edu/ehs/ UNMC Environmental Health & Safety Department] <br />
|-<br />
| Bloodborne Pathogens || [https://www.unmc.edu/academicaffairs/compliance/areas/infection.html Infection Control], UNMC Policy No. 2004, [[Bloodborne Pathogens Exposure]] <br />
|-<br />
| Biosafety || [https://www.unmc.edu/ibc/ Institutional Biosafety Committee], UNMC Policy No. 2005, [[Waste Handling]], [https://www.unmc.edu/ehs/biosafety/biohazard-waste/index.htmlBiohazardous Waste Handling]<br />
|-<br />
| Chemical Safety || [https://www.unmc.edu/ehs/ UNMC Environmental Health & Safety Department], UNMC Policy No. 2002, [https://wiki.unmc.edu/index.php/Shipping_Hazardous_Materials Shipment of Hazardous Materials or Dangerous Goods]<br />
<br />
|-<br />
| Security || [https://info.unmc.edu/safety/campus-security/index.html UNMC Campus Security]<br />
|-<br />
| '''Intellectual Property''' || <br />
|-<br />
| Copyright || UNMC Policy No. 6036, [[Reproducing Copyrighted Materials]] <br />
|-<br />
| '''Privacy and Information Security'''|| <br />
|-<br />
| Privacy, Confidentiality, and Information Security|| UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Information Security]<br />
|-<br />
| Use and Disclosure of Protected Health Information|| UNMC Policy No. 6054, [[Use and Disclosure of Protected Health Information]]<br />
|-<br />
| Retention/Destruction/Disposal of Private/Confidential Information|| UNMC Policy No. 6056, [https://wiki.unmc.edu/index.php/Retention_and_Destruction/Disposal_of_Private_and_Confidential_Information Retention and Destruction/Disposal of Private and Confidential Information]<br />
|-<br />
| '''Other''' || <br />
|-<br />
| Computer Use and Information Security || UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use and Electronic Information Security]<br />
|-<br />
| Export Control || UNMC Policy No. 8005, [[Export Control]], UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
|-<br />
| Human Resources || [https://www.unmc.edu/human-resources/about/contact-hr.html Human Resources]<br />
|-<br />
| Internal Audit || University of Nebraska Internal Audit Charter and [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services UNMC Internal Audit and Advisory Services Webpage]<br />
|-<br />
| Student Success || [https://www.unmc.edu/student-success/ Student Success], [https://catalog.unmc.edu/ UNMC CourseLeaf Catalog] [https://www.unmc.edu/academicaffairs/compliance/matrix.html Compliance Matrix], [https://www.unmc.edu/student-success/academic-records/ferpa.html FERPA Information] <br />
|-<br />
| Title IX || UNMC Policy No. 1099, [[Non-Discrimination and Harassment]], UNMC Policy No. 1107, [[Sexual Misconduct]]<br />
|-<br />
| Family Educational Rights and Privacy Act (FERPA) || [https://wiki.unmc.edu/index.php/Student_Policies Student Policies], [https://www.unmc.edu/student-success/academic-records/ferpa.html FERPA Information]<br />
|-<br />
| False Claims Act || Contact the Chief Compliance Officer (see also the UNMC Compliance Hotline, 1-844-384-9584 or www.nebraska.ethicspoint.com), [https://www.unmc.edu/academicaffairs/_documents/compliance/False_Claims_Act.pdf False Claims Act 31 U.S.C. §§ 3729-3733] <br />
|-<br />
| Foreign Corrupt Practices Act || Contact the Chief Compliance Officer (see also the UNMC Compliance Hotline, 1-844-384-9584 or www.nebraska.ethicspoint.com), [https://www.unmc.edu/academicaffairs/_documents/compliance/foreign_corrupt_practices_act.pdf Foreign Corrupt Practices Act (FCPA) 15 U.S.C. §§ 78dd-1, et seq.]<br />
|}<br />
<br />
==Compliance Committee Meetings==<br />
The purpose of Compliance Committee meetings shall be to analyze, assess, manage, coordinate, and develop corrective action(s) related to compliance risks identified for the purpose of compliance with UNMC’s Code of Conduct, University of Nebraska and UNMC Policies and Procedures.<br />
<br />
The Compliance Office shall complete meeting minutes and maintain them on file for no less than seven years. The draft meeting minutes shall be distributed to committee members, vice chancellors, college deans and executive directors to inform UNMC leadership about compliance activities.<br />
==Compliance Hotline==<br />
A UNMC compliance hotline (1-844-384-9584 or www.nebraska.ethicspoint.com) has been established to provide individuals with an additional communication channel to report compliance concerns. The Chief Compliance Officer shall investigate concerns and take corrective action in response to identified issues. For additional information, see UNMC Policy No. 8001, [[Compliance Hotline]].<br />
==Compliance Training==<br />
All University of Nebraska Medical Center employees (including visitors and non-faculty volunteers), students (including visiting students and visitors), and faculty (including but not limited to courtesy, adjunct faculty, visitors and volunteers) must be knowledgeable of and comply with laws and regulations related to their duties or field of study as determined by the Chief Compliance Officer and Compliance Committee.<br />
<br />
Mandatory compliance training is required of UNMC staff and students. All UNMC invited visitors on campus for seven (7) or greater days (does not have to be consecutive), have access to UNMC software/databases or access to the UNMC Campus (ID Badge) must complete all mandatory compliance training required of UNMC faculty, staff and students. It is the individual's responsibility to complete the compliance training requirements listed at https://www.unmc.edu/academicaffairs/compliance/training-requirements/index.html and assigned via the UNMC Learning Platform. Failure to complete the training requirements will be grounds for corrective action up to and including dismissal or termination of employment. Delinquency notices will be sent according to the guidelines below: <br />
<br />
{| class="wikitable" style ="text-align:center"<br />
|-<br />
! Days Overdue (days past deadline date) !! Employees !! Students<br />
|-<br />
| 30 Days || E-mail/verbal notice from unit management || E-mail/verbal notice from Dean’s office<br />
|-<br />
| 60 Days || Communication from Human Resources || Letter from Senior Vice Chancellor for Academic Affairs; records placed on hold<br />
|-<br />
| 90 Days || Notification to Dean, access removed from all UNMC resources except Canvas until training has been completed ||<br />
|-<br />
|}<br />
==Statement of Understanding==<br />
All employees and students shall sign a Statement of Understanding at the beginning of employment/start of school and annually thereafter, documenting that they have read, understand and agree to adhere to policies on: code of conduct, non-discrimination, sexual harassment; privacy and information security; and drug-free workplace.<br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*For a complete listing of Contacts and Compliance Topics see the [https://www.unmc.edu/academicaffairs/compliance/matrix.html Compliance Matrix] for details.<br />
*UNMC Policy No. 1003, [[Drug Free Campus]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*UNMC Policy No. 1099, [[Non-Discrimination and Harassment]]<br />
*UNMC Policy No. 2002, [https://wiki.unmc.edu/index.php/Shipping_Hazardous_Materials Shipment of Hazardous Materials or Dangerous Goods]<br />
*UNMC Policy No. 2004, [[Bloodborne Pathogens Exposure]]<br />
*UNMC Policy No. 6100, [[Sponsored Programs Costing]]<br />
*UNMC Policy No. 6102, [[Institutional Base Salary]]<br />
*UNMC Policy No. 6104, [[Sponsored Project Cost Share]]<br />
*UNMC Policy No. 6105, [[Effort Certification]]<br />
*UNMC Policy No. 6106, [[Cost Transfer]]<br />
*UNMC Policy No. 6107, [[Service Center]]<br />
*UNMC Policy No. 6108, [https://wiki.unmc.edu/index.php/Subrecipient_Policy Subrecipient]<br />
*UNMC Policy No. 6110, [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
*UNMC Policy No. 6036, [[Reproducing Copyrighted Materials]]<br />
*UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Information Security]<br />
*UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use and Electronic Information Security]<br />
*UNMC Policy No. 8001, [[Compliance Hotline]]<br />
*UNMC Policy No. 8005, [[Export Control]]<br />
*UNMC Policy No. 8006, [[Code of Conduct]] <br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Policies_and_Procedures&diff=13574Policies and Procedures2023-02-28T21:59:24Z<p>Dpanowic: update review and revision date of policy 8000</p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="90%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:100%; line-height:0.95em; border:2px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td></tr><br />
</table><br /><br />
==Policy Manual Index==<br />
For assistance with UNMC Policies, please contact [mailto:dpanowic@unmc.edu Dorothy Panowicz], Policy Coordinator, at 402-559-4220.<br />
<br />
{| style="color: gray; background-color: white" width="100%" class="wikitable"<br />
{| class="wikitable"<br />
!'''Policy Name'''<br />
!'''Policy No.'''<br />
!'''Effective Date'''<br />
!'''Revised Date'''<br />
!'''Reviewed Date'''<br />
|-<br />
| <big>'''Human Resources Policies'''</big> <br />
|-<br />
|[[Employee Leave]]<br />
|1001<br />
|09/09/05<br />
|06/02/22<br />
|06/02/22<br />
|-<br />
|[[Drug Free Campus]]<br />
|1003<br />
|10/17/03<br />
|02/05/18<br />
|02/05/18<br />
|-<br />
|[[Employment]]<br />
|1004<br />
|11/21/07<br />
|02/16/21<br />
|02/16/21<br />
|-<br />
|[[Work Schedules]]<br />
|1005<br />
|10/17/03<br />
|04/12/19<br />
|04/12/19<br />
|-<br />
|[[Employee Separation]]<br />
|1006<br />
|11/01/07<br />
|10/13/16<br />
|10/10/16<br />
|-<br />
|[[Compensation Administration]]<br />
|1007<br />
|10/31/08<br />
|11/13/15<br />
|11/10/15<br />
|-<br />
|[[Dress|Dress Code]]<br />
|1008<br />
|12/20/05<br />
|10/29/15<br />
|12/10/13<br />
|-<br />
|[[Background Check]]<br />
|1010<br />
|08/01/08<br />
|10/11/21<br />
|10/11/21<br />
|-<br />
|[[Recurring/Additional Payment]]<br />
|1017<br />
|06/25/09<br />
|03/31/21<br />
|03/31/21<br />
|-<br />
|[[Employee Grievance Process]]<br />
|1020<br />
|11/22/06<br />
|10/01/18<br />
|10/01/18<br />
|-<br />
|[[Reduction in Force]]<br />
|1028<br />
|10/25/02<br />
|08/07/17<br />
|07/27/17<br />
|-<br />
|[[Outside Employment]]<br />
|1049<br />
|11/01/06<br />
|07/26/21<br />
|07/26/21<br />
|-<br />
|[[Political Activities]]<br />
|1060<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee/Dependent Scholarship]]<br />
|1072<br />
|10/25/02<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Employee Recognition and Reward]]<br />
|1093<br />
|10/25/02<br />
|10/28/20<br />
|10/28/20<br />
|-<br />
|[[Performance Evaluation]]<br />
|1097<br />
|11/22/06<br />
|11/03/15<br />
|05/24/13<br />
|-<br />
|[[Corrective/Disciplinary Action]]<br />
|1098<br />
|03/18/08<br />
|11/06/17<br />
|11/01/17<br />
|-<br />
|[[Non-Discrimination and Harassment]]<br />
|1099<br />
|09/22/09<br />
|04/08/19<br />
|04/08/19<br />
|-<br />
|[[Tobacco-Free Campus]]<br />
|1100<br />
|08/24/09<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Nepotism]]<br />
|1101<br />
|09/22/09<br />
|03/30/16<br />
|03/30/16<br />
|-<br />
|[[Influenza]]<br />
|1102<br />
|08/25/09<br />
|09/18/17<br />
|09/18/17<br />
|-<br />
|UNMC [[Consensual Relationships]] replaced by [https://www.unmc.edu/titleix/_documents/consensual-relationships-policy.pdf NU Consensual Relationships Policy]<br />
|<br />
|<br />
|<br />
|-<br />
|[[AIDS, HIV, and Other Bloodborne Pathogens]]<br />
|1104<br />
|10/17/03<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Personnel Action Documentation]]<br />
|1105<br />
|10/04/10<br />
|11/03/15<br />
|12/01/22<br />
|-<br />
|[[Fitness for Duty]]<br />
|1106<br />
|01/05/12<br />
|11/03/15<br />
|12/10/13<br />
|-<br />
|[[Sexual Misconduct]]<br />
|1107<br />
|12/16/14<br />
|08/14/20<br />
|08/14/20<br />
|-<br />
|[[Personnel Files]]<br />
|1108<br />
|03/27/17<br />
|<br />
|12/01/22<br />
<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-03-alternative-worksite-policy.pdf HR-03, Alternative Worksite Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/executive-memorandum/policy-on-chosen-name-and-gender-identity.pdf Policy on Chosen Name and Gender Identity] for all NU campuses, Executive Memorandum No. 40<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/hr-05-recruitment-and-selection-policy.pdf HR-05, Recruitment and Selection Policy] for all NU campuses<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/COVID_Vaccination Mandatory COVID-19 Vaccination]<br />
|1109<br />
|10/13/21<br />
|02/23/22<br />
|02/23/22<br />
|-<br />
|[https://www.unmc.edu/human-resources/_documents/nu-values/OS-and-MP-Voluntary-FTE-Reduction-Program.pdf Office/Service and Managerial/Professional Voluntary FTE Reduction Program] for all NU campuses<br /><br />
:[https://www.unmc.edu/human-resources/_documents/nu-values/Voluntary-FTE-Reduction-Request-Form.pdf Voluntary FTE Reduction Request Form]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|<big>'''Safety and Security Policies'''</big><br />
|-<br />
|[[Safety Policy|Safety]]<br />
|2000<br />
|07/23/99<br />
|04/20/20<br />
|04/20/20<br />
|-<br />
|[[Deadly Weapon]]<br />
|2001<br />
|07/20/90<br />
|12/09/20<br />
|12/09/20<br />
|-<br />
|[[Latex Sensitivity]]<br />
|2003<br />
|05/15/01<br />
|12/05/12<br />
|12/03/12<br />
|-<br />
|[[Bloodborne Pathogens Exposure]]<br />
|2004<br />
|03/17/03<br />
|02/18/14<br />
|07/20/21<br />
|-<br />
|[[Waste Handling]]<br />
|2005<br />
|08/25/06<br />
|06/17/19<br />
|06/17/19<br />
|-<br />
|[[Portable Space Heaters]]<br />
|2006<br />
|08/24/09<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Children in the Workplace]]<br />
|2007<br />
|10/06/09<br />
|01/04/13<br />
|01/04/13<br />
|-<br />
|[[Pets in the Workplace]]<br />
|2008<br />
|10/06/09<br />
|08/04/15<br />
|08/04/15<br />
|-<br />
|[[Tuberculosis Exposure]]<br />
|2009<br />
|05/11/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Food, Drinks and Cosmetic Use in Laboratory Areas]]<br />
|2010<br />
|11/10/10<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Medical Surveillance]]<br />
|2011<br />
|02/15/11<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Enterprise Threat Assessment Response Team]]<br />
|2012<br />
|12/16/11<br />
|09/09/13<br />
|09/09/13<br />
|-<br />
|[[Management of Violent or Aggressive Patients/Visitors]]<br />
|2013<br />
|11/13/12<br />
|N/A<br />
||11/08/12<br />
|-<br />
|[[Youth Safety]]<br />
|2014<br />
|01/03/13<br />
|N/A<br />
|01/03/13<br />
|-<br />
|[[Tours]]<br />
|2015<br />
|12/19/14<br />
|<br />
|<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Small_Appliance Small Appliance and Cooking Devices]<br />
|2016<br />
|12/16/14<br />
|12/02/21<br />
|12/02/21<br />
|-<br />
|[[Unmanned Aircraft]]<br />
|2017<br />
|10/02/17<br />
|<br />
|<br />
|-<br />
|[[Electric Scooter]]<br />
|2018<br />
|05/07/19<br />
|<br />
|<br />
|-<br />
|[[Face Covering]]<br />
|2019<br />
|08/17/20<br />
|<br />
|<br />
|-<br />
||<big>'''Research Compliance Policies'''</big><br />
|-<br />
|[[Sponsored Programs]]<br />
|3001<br />
|07/01/98<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Sponsored Programs Costing]]<br />
|6100<br />
|06/27/02<br />
|11/21/17<br />
|08/11/22<br />
|-<br />
|[[Institutional Base Salary]]<br />
|6102<br />
|02/20/06<br />
|11/16/21<br />
|08/11/22<br />
|-<br />
|[[Sponsored Project Cost Share]]<br />
|6104<br />
|06/27/02<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Effort Certification]]<br />
|6105<br />
|06/01/06<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[Cost Transfer]]<br />
|6106<br />
|10/27/02<br />
|08/22/22 draft<br />
|<br />
|-<br />
|[[Service Center]]<br />
|6107<br />
|06/27/02<br />
|04/08/10<br />
|01/17/13<br />
|-<br />
|[[Subrecipient Policy]]<br />
|6108<br />
|11/24/08<br />
|08/11/22<br />
|08/11/22<br />
|-<br />
|[[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|6110<br />
|02/06/20<br />
|<br />
|08/11/22<br />
|-<br />
||<big>'''Compliance Policies'''</big><br />
|-<br />
|[[Compliance Program]]<br />
|8000<br />
|11/01/06<br />
|02/28/23<br />
|02/28/23<br />
|-<br />
|[[Compliance Hotline]]<br />
|8001<br />
|08/10/06<br />
|06/23/21<br />
|06/23/21<br />
|-<br />
|[[Inspections/Investigations by Third Parties]]<br />
|6109<br />
|10/16/04<br />
|01/20/23<br />
|01/20/23<br />
|-<br />
|[[Research Integrity]]<br />
|8003<br />
|02/11/05<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Export Control]]<br />
|8005<br />
|12/18/12<br />
|11/09/20<br />
|10/25/21<br />
|-<br />
|[[Code of Conduct]]<br />
|8006<br />
|03/13/09<br />
|08/16/21 <br />
|08/16/21<br />
|-<br />
|[[Use of Human Anatomical Material]]<br />
|8007<br />
|08/10/05<br />
|07/16/21<br />
|07/16/21<br />
|-<br />
|[[Clinical Research and Clinical Trial Professional and Technical Fee Billing]]<br />
|8008<br />
|08/23/18<br />
|<br />
|07/29/21<br />
|-<br />
|[[Contracts]]<br />
|8009<br />
|11/01/06<br />
|02/22/22<br />
|03/07/22<br />
|-<br />
|[[Conflict of Interest]]<br />
|8010<br />
|09/04/07<br />
|08/26/21<br />
|08/26/21<br />
|-<br />
|[[Red Flag Identity Theft Prevention Program]]<br />
|8011<br />
|01/13/10<br />
|08/18/21<br />
|08/18/21<br />
|-<br />
|[[Principles of Financial Stewardship]]<br />
|8012<br />
|08/01/10<br />
|01/18/22<br />
|01/18/22<br />
|-<br />
|[[Human Tissue Use and Transfer]]<br />
|8013<br />
|03/15/12<br />
|09/21/21<br />
|09/21/21<br />
|-<br />
|[[Disclosing Foreign Support and International Activities]]<br />
|8014<br />
|06/26/15<br />
|01/07/20<br />
|02/12/21<br />
|-<br />
|[[Health Care Vendor Interactions]]<br />
|8015<br />
|08/31/15<br />
|09/01/20 <br />
|07/26/21<br />
|-<br />
|[[Credit Hour Definition]]<br />
|8017<br />
|11/28/16<br />
|08/08/17<br />
|06/03/21<br />
|-<br />
|[[Whistleblower]]<br />
|8018<br />
|04/11/19<br />
|04/11/19<br />
|11/19/21<br />
|-<br />
|<big>'''Privacy and Information Security Policies'''</big><br />
|-<br />
|[[Identification Card]]<br />
|6008<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[[Secure Area Card Access]]<br />
|6009<br />
|03/17/03<br />
|11/29/16<br />
|11/12/20<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]<br />
|6045<br />
|11/21/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Computer Use/Electronic Information]]<br />
|6051<br />
|04/25/07<br />
|08/20/13<br />
|09/19/17<br />
|-<br />
|[[Retention and Destruction/Disposal of Private and Confidential Information]]<br />
|6056<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of Protected Health Information]]<br />
|6057<br />
|03/17/03<br />
|draft 08/30/22<br />
|<br />
|-<br />
|[[Notice of Privacy Practices]]<br />
|6058<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Access to Designated Record Set]]<br />
|6059<br />
|03/17/03<br />
|draft 08/19/22<br />
|<br />
|-<br />
|[[Accounting of PHI Disclosures]]<br />
|6061<br />
|03/17/03<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Patient/Consumer Complaints]]<br />
|6062<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Vendors|Vendors]]<br />
|6063<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Fax Transmissions]]<br />
|6065<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Psychotherapy Notes]]<br />
|6066<br />
|03/17/03<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Facility Security]]<br />
|6067<br />
|03/17/03<br />
|07/14/17<br />
|11/12/20<br />
|-<br />
|[[Conditions of Treatment Form]]<br />
|6070<br />
|03/17/03<br />
|<br />
|<br />
|-<br />
|[[Informed Consent for UNMC Media]]<br />
|6030<br />
|02/01/94<br />
|10/17/03<br />
|10/17/03<br />
|-<br />
|[[Transporting Protected Health Information]]<br />
|6073<br />
|01/30/12<br />
|<br />
|<br />
|-<br />
|[[Honest Broker]]<br />
|6074<br />
|08/26/15<br />
|<br />
|<br />
|-<br />
|[[Social Security Number | Use of Social Security Number]]<br />
|6085<br />
|09/22/15<br />
|03/30/18<br />
|03/30/18<br />
|-<br />
|[[Third Party Registry | Third Party Registry Selection]]<br />
|6300<br />
|06/27/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Information Security Awareness and Training]]<br />
|6301<br />
|07/14/16<br />
|draft 09/22/22<br />
|<br />
|-<br />
|[[Patient Privacy Investigations and Levels of Violation]]<br />
|6302<br />
|11/02/20<br />
|draft 10/28/22<br />
|<br />
|-<br />
|[[Use and Disclosure of PHI for Training Health Care Professionals]]<br />
|6303<br />
|Draft 08/19/22<br />
|<br />
|<br />
|-<br />
|[[Disclosures of PHI as Permitted or Required by Law]]<br />
|6304<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|[[Disclosure of PHI for Law Enforcement Purposes]]<br />
|6305<br />
|Draft 10/28/22<br />
|<br />
|<br />
|-<br />
|<big>'''Business Operations Policies'''</big><br />
|-<br />
|[[General Accounting]]<br />
|3000<br />
|10/25/02<br />
|09/19/19<br />
|09/19/19<br />
|-<br />
|[[SBIR/STTR Program Participation]]<br />
|3002<br />
|11/15/06<br />
|<br />
|<br />
|-<br />
|[[Supplemental Compensation Plan]]<br />
|3039<br />
|10/25/02<br />
|<br />
|<br />
|-<br />
|[[Facilities Management/Planning]]<br />
|4000<br />
|07/01/98<br />
|08/25/22<br />
|08/25/22<br />
|-<br />
|[[Purchasing]]<br />
|5000<br />
|04/01/01<br />
|09/24/20<br />
|09/24/20<br />
|-<br />
|[[Strategic Communications]]<br />
|6001<br />
|10/17/03<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Facility Identification]]<br />
|6004<br />
|10/15/99<br />
|<br />
|<br />
|-<br />
|[[Serving Alcoholic Beverages]]<br />
|6012<br />
|09/10/99<br />
|<br />
|<br />
|-<br />
|[[Travel and Reimbursement]] - replaced by [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] <br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[https://www.unmc.edu/coronavirus/campus-guidance.html#travel UNMC Campus Guidance on Travel]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[State Vehicles]] - replaced by [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies]|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Reproducing Copyrighted Materials]]<br />
|6036<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Bank Card Processing]]<br />
|6050<br />
|01/10/07<br />
|DRAFT 07/20/21<br />
|<br />
|-<br />
|[[Student Training Agreement]]<br />
|6052<br />
|07/01/98<br />
|<br />
|<br />
|-<br />
|[[Volunteer]]<br />
|6053<br />
|09/10/99<br />
|10/19/21<br />
|10/19/21<br />
|-<br />
|[[Cash Handling]]<br />
|6054<br />
|10/17/03<br />
|12/29/12<br />
|12/29/12<br />
|-<br />
|[[Fraud]]<br />
|6055<br />
|08/21/00<br />
|08/17/15<br />
|07/29/15<br />
|-<br />
|[[Assigning Research Lab Space]]<br />
|6071<br />
|01/06/06<br />
|09/22/22 <br />
|09/22/22<br />
|-<br />
|[[Space Scheduling and Fundraising]]<br />
|6072<br />
|11/19/07<br />
|08/24/19<br />
|08/24/19<br />
|-<br />
|[[Academic Personnel Records]]<br />
|6075<br />
|11/07/07<br />
|<br />
|<br />
|-<br />
|[[Cell Phone]]<br />
|6076<br />
|09/10/08<br />
|08/04/21<br />
|08/04/21<br />
|-<br />
|[[Off-campus Graphic Design and Related Printing]]<br />
|6077<br />
|04/01/10<br />
|<br />
|02/11/21<br />
|-<br />
|[https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography]<br />
|6078<br />
|04/01/10<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]]<br />
|6079<br />
|05/11/10<br />
|09/20/13<br />
|09/20/13<br />
|-<br />
|[[Secondary Logos]]<br />
|6080<br />
| 01/06/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Social Media]]<br />
|6081<br />
|12/07/11<br />
|01/03/22<br />
|01/03/22<br />
|-<br />
|[[Sensitive Equipment Tracking]]<br />
|6082<br />
|02/25/13<br />
|N/A<br />
|02/25/13<br />
|-<br />
|[[International Visitors]]<br />
|6083<br />
|05/01/13<br />
|06/01/21<br />
|06/01/21<br />
|-<br />
|[[Accounts Receivable Management]]<br />
|6084<br />
|09/26/13<br />
| 03/08/22<br />
|03/08/22<br />
|-<br />
|[[Internal Audit]] - replaced by [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services/charter Internal Audit Charter] and the [https://www.unmc.edu/internal-audit/index.html UNMC Internal Audit and Advisory Services webpage].<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Regulations on the Use of University Facilities and Grounds]]<br />
|6086<br />
|12/13/18<br />
|<br />
|11/11/21<br />
|-<br />
|[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy]<br />
|<br />
|<br />
|<br />
|<br />
|-<br />
|[[Tuition Remissions]]<br />
|6088<br />
|10/19/21<br />
|<br />
|<br />
|-<br />
|[[Collections Management]]<br />
|6089<br />
|11/09/21<br />
|<br />
|<br />
|-<br />
|[[Web Governance]]<br />
|6090<br />
|11/16/21<br />
|<br />
|<br />
|-<br />
|[[Student Fee Administration]]<br />
|6091<br />
|DRAFT<br />
|<br />
|<br />
|-<br />
|<big>'''Intellectual Property Policies'''</big><br />
|-<br />
|[[Science/Technology Committee]]<br />
|7000<br />
|03/16/05<br />
|03/15/10<br />
|04/12/21<br />
|-<br />
|[[Division of Net Royalty and Proceeds]]<br />
|7001<br />
|03/16/05<br />
|05/03/21<br />
|05/03/21<br />
|-<br />
|<big>'''Faculty Policies'''</big><br />
|-<br />
|[[Faculty Transfer]]<br />
|9000<br />
|02/06/20<br />
|<br />
|<br />
|}<br />
<br />
{|<br />
|<br />
'''For UNMC faculty, student and staff use only.<br />'''<br />
|}<br />
<br />
Updated by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Compliance_Program&diff=13573Compliance Program2023-02-28T21:56:46Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
<br />
[[Compliance Program]] | [[Compliance Hotline]] | [[Investigations by Third Parties]] | [[Research Integrity]] | [[Export Control]] | [[Code of Conduct]] | [[Use of Human Anatomical Material]] | [[Clinical Research and Clinical Trial Professional and Technical Fee Billing]] | [[Contracts]] | [[Conflict of Interest]] | [[Red Flag Identity Theft Prevention Program]] | [[Principles of Financial Stewardship]] | [[Human Tissue Use and Transfer]] | [[Disclosing Foreign Support and International Activities]] | [[Health Care Vendor Interactions]] | [[Credit Hour Definition]] | [[Whistleblower]]<br />
<br /><br /><br />
Policy No.: '''8000'''<br /><br />
Effective Date: '''11/01/06'''<br /><br />
Revised Date: '''02/27/23'''<br /><br />
Reviewed Date: '''02/27/23'''<br /> <br />
<br /><br />
<big>'''Compliance Program Policy'''</big><br />
== Basis for Policy ==<br />
The purpose of the Compliance Program and Committee is to identify UNMC’s key compliance risks, as well as make recommendations and implement solutions, policies, procedures and standards of conduct to ensure that UNMC complies with all applicable federal, state and local laws and regulations; and University of Nebraska and UNMC Policies and Procedures. In support of this purpose, UNMC’s Compliance Program will designate a chief compliance officer and a compliance committee whose responsibilities will include the following: to provide for or conduct effective training and education, develop effective lines of communication, and conduct internal monitoring and reviews for adherence to policies and procedures. The University of Nebraska Medical Center (UNMC) Compliance Program consistent with UNMC Policy No. 8006, [[Code of Conduct]], mandates that all UNMC faculty, staff, and students comply with: all applicable federal, state and local laws; all relevant regulations; and University of Nebraska and UNMC Policies and Procedures.<br />
== Compliance Program Structure ==<br />
[[File:Compliance-flowchart-8-5-2020.jpg]]<br />
===Senior Vice Chancellor for Academic Affairs===<br />
The Senior Vice Chancellor for Academic Affairs is responsible for overseeing the development and implementation of the policies, procedures and practices necessary to effect compliance with federal, state, and local laws and regulations; and University of Nebraska and UNMC Policies and Procedures.<br />
===Chief Compliance Officer===<br />
The Chief Compliance Officer shall report to the Senior Vice Chancellor for Academic Affairs, but has the authority to communicate directly with the Chancellor or Vice Chancellors for Academic Affairs, Business and Finance, Research, Deans, the Audit, Risk and Compliance Committee of the Board of Regents or others on compliance matters, which include, but are not limited to: <br />
*coordinate with subject matter experts to analyze laws and regulations applicable to UNMC to ensure compliance; <br />
*monitor day-to-day compliance activities;<br />
*develop, initiate, maintain and revise policies and procedures for compliance with laws and regulations applicable to UNMC;<br />
*oversee visits by regulatory agencies and responses to inquiries and investigations; <br />
*report compliance matters directly to the UNMC Chancellor’s Council; <br />
*coordinate with the Associate General Counsel on legal issues;<br />
*coordinate with the Director of Internal Audit and Advisory Services;<br />
*coordinate with the Information Security Officer;<br />
*coordinate with the University Compliance Officer and other campus compliance officers;<br />
*respond to compliance hotline calls;<br />
*participate on the University Compliance Council;<br />
*disseminate information to support compliance and training on the Compliance Program; and<br />
*chair the Compliance Committee.<br />
===Compliance Committee===<br />
The Compliance Committee assists the Chief Compliance Officer with the above duties and helps manage the Compliance Program. The Compliance Committee shall seek to leverage the compliance efforts of each area and avoid duplication of effort. The Compliance Committee shall analyze UNMC’s key risk areas and monitor and promote compliance. The Compliance Committee shall oversee and monitor department response to identified risks as identified by the Chancellor's Risk Assessment as well as data generated through monitoring and individual reporting. <br />
<br />
The Compliance Committee shall meet no less than quarterly. The Compliance Committee shall be composed of at least the following representatives who shall be responsible for the overseeing compliance and assist the Chief Compliance Officer with managing the Compliance Program:<br />
<br />
*Chief Compliance Officer <br />
*Associate General Counsel<br />
*Export Control Compliance Officer<br />
*Human Resources Director<br />
*Information Security Officer <br />
*Chair of the Institutional Review Board or Compliance designee<br />
*Executive Director, Environmental Health & Safety<br />
*Intellectual Property Director <br />
*Director Internal Audit and Advisory Services<br />
*Nebraska Medicine Compliance Officer or Compliance Representative for Nebraska Medicine<br />
*Privacy Officer<br />
*Controller<br />
*Financial Compliance and Cost Analysis<br />
*Sponsored Programs Administration<br />
*Sponsored Programs Accounting<br />
*Procurement<br />
*Chief Student Affairs Officer<br />
*Library<br />
The Compliance Committee or Chief Compliance Officer may request reports annually from certain representatives and others to address compliance issues as necessary. The purpose of the reports will be to: <br />
*develop policies related to compliance; <br />
*establish compliance training programs;<br />
*assist with identifying areas of potential compliance vulnerabilities; <br />
*assist with understanding the compliance risks and related regulations and laws; and<br />
*assist with response to alleged violation of rules, regulations, policies, procedures, and other functions as needed to enforce this policy.<br /><br />
<br />
Representatives would be from the following areas: <br />
*NU Director of Internal Audit and Advisory Services<br />
*Biosafety<br />
*Child Health Research Institute (CHRI)<br />
*College of Dentistry<br />
*College of Medicine<br />
*College of Nursing<br />
*College of Pharmacy<br />
*College of Public Health<br />
*College of Allied Health Professions<br />
*Graduate Studies<br />
*UNMC Physicians<br />
*Comparative Medicine/Institutional Animal Care and Use Committee<br />
*Eppley Institute/Fred & Pamela Buffett Cancer Center<br />
*Facilities Management<br />
*Munroe-Meyer Institute<br />
*Environmental Health & Safety<br />
*Student Success<br />
*Others as necessary<br />
<br />
==Compliance Responsibilities==<br />
[https://www.unmc.edu/academicaffairs/compliance/areas/ Compliance Areas]<br /><br />
Compliance responsibilities shall be established per UNMC and/or Board of Regents policies and procedures linked and referenced below:<br />
{| class="wikitable"<br />
|-<br />
|'''Research Compliance'''||<br />
|-<br />
| Code of Conduct || UNMC Policy No. 8006, [[Code of Conduct]]<br />
|-<br />
| IRB || [https://www.unmc.edu/irb/ Institutional Review Board] https://www.unmc.edu/ibc/<br />
|-<br />
| IACUC || [https://info.unmc.edu/iacuc/ Institutional Animal Care and Use Committee], BOR Policy 3.2.8<br />
|-<br />
| Conflict of Interest || UNMC Policy No. 1049, [[Outside Employment]], UNMC Policy No. 8010, [[Conflict of Interest]], UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
|-<br />
| Clinical Trial Billing || UNMC Policy No. 8008, [[Clinical Trial Professional and Technical Fee Billing]]<br />
|-<br />
| Research Integrity || UNMC Policy No. 8003, [[Research Integrity]]<br />
|-<br />
| Sponsored Programs Administration, Sponsored Programs Accounting and Financial Compliance & Cost Analysis || UNMC Policy No. 3001, [[Sponsored Programs]], UNMC Policy No. 6100, [[Sponsored Programs Costing]], UNMC Policy No. 6102, [[Institutional Base Salary]], UNMC Policy No. 6104, [[Sponsored Project Cost Share]], UNMC Policy No. 6105, [[Effort Certification]], UNMC Policy No. 6106, [[Cost Transfer]], UNMC Policy No. 6107, [[Service Center]], UNMC Policy No. 6108, [https://wiki.unmc.edu/index.php/Subrecipient_Policy Subrecipient], UNMC Policy No. 6110, [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
|-<br />
| '''Environmental and Safety Compliance'''|| <br />
|-<br />
| Safety || [https://unmc.edu/ehs/safety/ UNMC Environmental Health & Safety Department], UNMC Policy No. 2000, [[Safety]]<br />
|-<br />
| Radiation Safety || [https://www.unmc.edu/ehs/ UNMC Environmental Health & Safety Department] <br />
|-<br />
| Bloodborne Pathogens || [https://www.unmc.edu/academicaffairs/compliance/areas/infection.html Infection Control], UNMC Policy No. 2004, [[Bloodborne Pathogens Exposure]] <br />
|-<br />
| Biosafety || [https://www.unmc.edu/ibc/ Institutional Biosafety Committee], UNMC Policy No. 2005, [[Waste Handling]], [https://www.unmc.edu/ehs/biosafety/biohazard-waste/index.htmlBiohazardous Waste Handling]<br />
|-<br />
| Chemical Safety || [https://www.unmc.edu/ehs/ UNMC Environmental Health & Safety Department], UNMC Policy No. 2002, [https://wiki.unmc.edu/index.php/Shipping_Hazardous_Materials Shipment of Hazardous Materials or Dangerous Goods]<br />
<br />
|-<br />
| Security || [https://info.unmc.edu/safety/campus-security/index.html UNMC Campus Security]<br />
|-<br />
| '''Intellectual Property''' || <br />
|-<br />
| Copyright || UNMC Policy No. 6036, [[Reproducing Copyrighted Materials]] <br />
|-<br />
| '''Privacy and Information Security'''|| <br />
|-<br />
| Privacy, Confidentiality, and Information Security|| UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Information Security]<br />
|-<br />
| Use and Disclosure of Protected Health Information|| UNMC Policy No. 6054, [[Use and Disclosure of Protected Health Information]]<br />
|-<br />
| Retention/Destruction/Disposal of Private/Confidential Information|| UNMC Policy No. 6056, [https://wiki.unmc.edu/index.php/Retention_and_Destruction/Disposal_of_Private_and_Confidential_Information Retention and Destruction/Disposal of Private and Confidential Information]<br />
|-<br />
| '''Other''' || <br />
|-<br />
| Computer Use and Information Security || UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use and Electronic Information Security]<br />
|-<br />
| Export Control || UNMC Policy No. 8005, [[Export Control]], UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
|-<br />
| Human Resources || [https://www.unmc.edu/human-resources/about/contact-hr.html Human Resources]<br />
|-<br />
| Internal Audit || University of Nebraska Internal Audit Charter and [https://nebraska.edu/offices-policies/internal-audit-and-advisory-services UNMC Internal Audit and Advisory Services Webpage]<br />
|-<br />
| Student Success || [https://www.unmc.edu/student-success/ Student Success], [https://catalog.unmc.edu/ UNMC CourseLeaf Catalog] [https://www.unmc.edu/academicaffairs/compliance/matrix.html Compliance Matrix], [https://www.unmc.edu/student-success/academic-records/ferpa.html FERPA Information] <br />
|-<br />
| Title IX || UNMC Policy No. 1099, [[Non-Discrimination and Harassment]], UNMC Policy No. 1107, [[Sexual Misconduct]]<br />
|-<br />
| Family Educational Rights and Privacy Act (FERPA) || [https://wiki.unmc.edu/index.php/Student_Policies Student Policies], [https://www.unmc.edu/student-success/academic-records/ferpa.html FERPA Information]<br />
|-<br />
| False Claims Act || Contact the Chief Compliance Officer (see also the UNMC Compliance Hotline, 1-844-384-9584 or www.nebraska.ethicspoint.com), [https://www.unmc.edu/academicaffairs/_documents/compliance/False_Claims_Act.pdf False Claims Act 31 U.S.C. §§ 3729-3733] <br />
|-<br />
| Foreign Corrupt Practices Act || Contact the Chief Compliance Officer (see also the UNMC Compliance Hotline, 1-844-384-9584 or www.nebraska.ethicspoint.com), [https://www.unmc.edu/academicaffairs/_documents/compliance/foreign_corrupt_practices_act.pdf Foreign Corrupt Practices Act (FCPA) 15 U.S.C. §§ 78dd-1, et seq.]<br />
|}<br />
<br />
==Compliance Committee Meetings==<br />
The purpose of Compliance Committee meetings shall be to analyze, assess, manage, coordinate, and develop corrective action(s) related to compliance risks identified for the purpose of compliance with UNMC’s Code of Conduct, University of Nebraska and UNMC Policies and Procedures.<br />
<br />
The Compliance Office shall complete meeting minutes and maintain them on file for no less than seven years. The draft meeting minutes shall be distributed to committee members, vice chancellors, college deans and executive directors to inform UNMC leadership about compliance activities.<br />
==Compliance Hotline==<br />
A UNMC compliance hotline (1-844-384-9584 or www.nebraska.ethicspoint.com) has been established to provide individuals with an additional communication channel to report compliance concerns. The Chief Compliance Officer shall investigate concerns and take corrective action in response to identified issues. For additional information, see UNMC Policy No. 8001, [[Compliance Hotline]].<br />
==Compliance Training==<br />
All University of Nebraska Medical Center employees (including visitors and non-faculty volunteers), students (including visiting students and visitors), and faculty (including but not limited to courtesy, adjunct faculty, visitors and volunteers) must be knowledgeable of and comply with laws and regulations related to their duties or field of study as determined by the Chief Compliance Officer and Compliance Committee.<br />
<br />
Mandatory compliance training is required of UNMC staff and students. All UNMC invited visitors on campus for seven (7) or greater days (does not have to be consecutive), have access to UNMC software/databases or access to the UNMC Campus (ID Badge) must complete all mandatory compliance training required of UNMC faculty, staff and students. It is the individual's responsibility to complete the compliance training requirements listed at https://www.unmc.edu/academicaffairs/compliance/training-requirements/index.html and assigned via the UNMC Learning Platform. Failure to complete the training requirements will be grounds for corrective action up to and including dismissal or termination of employment. Delinquency notices will be sent according to the guidelines below: <br />
<br />
{| class="wikitable" style ="text-align:center"<br />
|-<br />
! Days Overdue (days past deadline date) !! Employees !! Students<br />
|-<br />
| 30 Days || E-mail/verbal notice from unit management || E-mail/verbal notice from Dean’s office<br />
|-<br />
| 60 Days || Communication from Human Resources || Letter from Senior Vice Chancellor for Academic Affairs; records placed on hold<br />
|-<br />
| 90 Days || Notification to Dean, access removed from all UNMC resources except Canvas until training has been completed ||<br />
|-<br />
|}<br />
==Statement of Understanding==<br />
All employees and students shall sign a Statement of Understanding at the beginning of employment/start of school and annually thereafter, documenting that they have read, understand and agree to adhere to policies on: code of conduct, non-discrimination, sexual harassment; privacy and information security; and drug-free workplace.<br />
==Additional Information==<br />
*Contact the [mailto:sarah.glodencarlson@unmc.edu Chief Compliance Officer]<br />
*For a complete listing of Contacts and Compliance Topics see the [https://www.unmc.edu/academicaffairs/compliance/matrix.html Compliance Matrix] for details.<br />
*UNMC Policy No. 1003, [[Drug Free Campus]]<br />
*UNMC Policy No. 1049, [[Outside Employment]]<br />
*UNMC Policy No. 1099, [[Non-Discrimination and Harassment]]<br />
*UNMC Policy No. 2002, [https://wiki.unmc.edu/index.php/Shipping_Hazardous_Materials Shipment of Hazardous Materials or Dangerous Goods]<br />
*UNMC Policy No. 2004, [[Bloodborne Pathogens Exposure]]<br />
*UNMC Policy No. 6100, [[Sponsored Programs Costing]]<br />
*UNMC Policy No. 6102, [[Institutional Base Salary]]<br />
*UNMC Policy No. 6104, [[Sponsored Project Cost Share]]<br />
*UNMC Policy No. 6105, [[Effort Certification]]<br />
*UNMC Policy No. 6106, [[Cost Transfer]]<br />
*UNMC Policy No. 6107, [[Service Center]]<br />
*UNMC Policy No. 6108, [https://wiki.unmc.edu/index.php/Subrecipient_Policy Subrecipient]<br />
*UNMC Policy No. 6110, [[On-Campus and Off-Campus Indirect Cost Rates on Federally Sponsored Projects]]<br />
*UNMC Policy No. 6036, [[Reproducing Copyrighted Materials]]<br />
*UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Information Security]<br />
*UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use and Electronic Information Security]<br />
*UNMC Policy No. 8001, [[Compliance Hotline]]<br />
*UNMC Policy No. 8005, [[Export Control]]<br />
*UNMC Policy No. 8006, [[Code of Conduct]] <br />
*UNMC Policy No. 8010, [[Conflict of Interest]]<br />
*UNMC Policy No. 8014, [[Disclosing Foreign Support and International Activities]]<br />
*UNMC Policy No. 8015, [[Health Care Vendor Interactions]]<br />
<br />
<br />
This page maintained by [mailto:dpanowic@unmc.edu dkp]</div>Dpanowichttps://wiki.unmc.edu/index.php?title=Accounts_Receivable_Management&diff=13554Accounts Receivable Management2023-02-14T20:11:07Z<p>Dpanowic: </p>
<hr />
<div><table style="background:#F8FCFF; text-align:center" width="100%" cellspacing="0" cellpadding="0" border="0"><br />
<tr><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Human Resources]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Safety/Security]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Research Compliance]] </td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Compliance]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Privacy/Information Security]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:white; line-height:0.95em; border:solid 2px #A3B1BF; border-bottom:0; font-weight:bold;" width="20">[[Business Operations]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Intellectual Property]]</td><br />
<td style="border-bottom:2px solid #A3B1BF" width="3">&#160;</td><br />
<td style="padding:0.5em; background-color:#e5e5e5; font-size:90%; line-height:0.95em; border:1px solid #A3B1BF; border-bottom:solid 2px #A3B1BF" <br />
width="20">[[Faculty]]</td><br />
</tr><br />
</table><br />
<br /><br />
[[General Accounting]] | [[SBIR/STTR Program Participation]] | [[Supplemental Compensation Plan]] | [[Facilities Management/Planning]] | [[Purchasing]] | [[Strategic Communications]] | [[Facility Identification]] | [[Serving Alcoholic Beverages]] | [https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/university-of-nebraska-travel-policy.pdf NU Travel Policy] | [[Travel Restrictions]] for Nebraska Medicine and UNMC | [https://fleetmanagement.unl.edu/policies NU Fleet Management Policies] | [[Reproducing Copyrighted Materials]] | [[Bank Card Processing]] | [[Student Training Agreement]] | [[Volunteer]] | [[Cash Handling]] | [[Fraud]] | [[Assigning Research Lab Space]] | [[Space Scheduling and Fundraising]] | [[Academic Personnel Records]] | [[Cell Phone]] | [[Off-campus Graphic Design and Related Printing]] | [https://wiki.unmc.edu/index.php/Off-campus_Photography Off-campus Photography, Videography] | [[Tax Exempt Financing and Tracking of Both Qualified Use and Non-Qualified Use of Research Space]] | [[Secondary Logos]] | [[Social Media]] | [[Sensitive Equipment Tracking]] | [[International Visitors]] | [[Accounts Receivable Management]] | [[Regulations on the Use of University Facilities and Grounds]] | |[https://nebraska.edu/-/media/unca/docs/offices-and-policies/policies/policies/bf-01-moving-relocation-policy.pdf University of Nebraska Moving Relocation Policy] | [[Tuition Remissions]] | [[Collections Management]] | [[Web Governance]]<br />
<br /><br /><br />
Policy No.: '''6084'''<br /><br />
Effective Date: '''09/26/13'''<br /><br />
Revised Date: '''draft'''<br /><br />
Reviewed Date: ''''''<br /><br />
<br /><br />
<big>'''Accounts Receivable Management Policy'''</big> <br />
==Basis for Policy== <br />
It is the policy of the University of Nebraska Medical Center (UNMC) to track all invoices to external customers for timely payment and accounting within a central Accounts Receivable System.<br />
==Definitions==<br />
'''Accounts Receivable (A/R):''' Money owed by entities to UNMC from the sale of products and/or services provided.<br /><br />
<br />
'''Biller:''' The person submitting the details to be invoiced (products/services rendered, amount, cost object and G/L account to credit money once collected, along with any supporting documentation and special instructions for invoicing).<br /><br />
<br />
'''Invoice:''' A UNMC Accounts Receivable document generated from UNMC Management Resources System provided to an entity describing the products/services provided, the amount due and the requested date for payment.<br /><br />
<br />
[https://wiki.unmc.edu/images/e/e1/Sample-AR-invoice.pdf Sample Invoice] <br />
==Policy==<br />
Invoices are to be created within the UNMC Management Resources system. Billers using the system submit their invoice detail online, assign a cost object and G/L account to the invoice for deposit purposes (posting to SAP) and attach supporting documentation as needed for the customer to process/remit payment to UNMC.<br /><br />
<br />
The intent of this system is only for '''external''' customers. External customers are defined as entities located off UNMC’s campus and not part of the University of Nebraska system. Examples include Creighton University, the Veterans Administration (and other federal governmental agencies), Methodist Hospital and Omaha Public Schools.<br /><br />
<br />
Internal charges by UNMC Departments and Intercampus billings that can be addressed via SAP journal entry are transactions not to be accounted for using the A/R subsystem. UNMC departmental billing phone charges, dietary tickets, printing services and intercampus tuition billings (billed via SAP journal entry) are examples.<br /><br />
<br />
State agencies with invoices paid via Interagency Billing Transfer (IBT) qualify as external customers that should be billed through the A/R system. Examples would include the Nebraska Department of Health & Human Services, Medically Handicapped Children’s Service, the Nebraska Department of Education and other state agencies receiving state funding that clear invoices using IBTs.<br /><br />
<br />
Departments are responsible for generating accurate, timely invoices to external customers for non-sponsored receivables. Sponsored Programs Accounting (SPA) is responsible for generating accurate, timely invoices to external customers for sponsored receivables.<br /><br />
<br />
Other specific invoicing requirements may render the A/R subsystem not applicable/efficient for use. For example, contractual terms may require wording, terminologies, etc. that are unworkable with the current invoice template. These exceptions will be reviewed on a case-by-case basis by the Controller’s Office.<br /><br />
<br />
The standard payment term to be applied to invoices generated in the A/R subsystem is net 30 days.<br />
===Exceptions===<br />
As mentioned above, the UNMC Management Resources system is not designed for internal (on-campus) or intercampus charges. Examples would include UNMC departments billing each other (phone charges, copy charges, dietary tickets, etc.) and intercampus charges (UNO, UNL, UNK, etc.). Transactions that can be accounted for solely within SAP via journal entry are not invoiced via the UNMC Management Resources system.<br />
==Access to Management Resources==<br />
A training class is required to obtain access to the UNMC Management Resources system. Billers can obtain access to invoices via the UNMC Management Resources system with a request to the General Accounting Office only after training is completed. General Accounting reserves the right to remove access if deemed necessary. Additional training will be required to regain access. <br />
==Entering Invoices Within Management Resources==<br />
Billers can submit invoice detail to approved customers and contact information. The subsystem is monitored daily for newly entered customers and contacts. <br /><br />
<br />
The General Accounting Office will monitor outstanding invoices based on the timing listed in the collection section listed below, following up with billers as needed and processing payments as they are received.<br /><br />
<br />
The UNMC Management Resources system will interface with SAP as payments are processed. <br />
==Collection and Write-off of Delinquent Balances==<br />
===Collection Procedures for Invoices Outstanding===<br />
AR billers are responsible for collection of their invoices.<br><br />
<br />
Collection Procedures for Invoices Outstanding passing the assigned payment term:<br />
*Between 30-60 days – A/R Biller will send second request billing to customers<br />
*Greater than 90 days – A/R Staff will send aging report to AR Biller and request collection status<br />
*Greater than 180 days – A/R Staff will send aging report and notification to A/R biller with college deans copied<br />
*Invoices outstanding greater than 180 days may be assessed service charges determined by the vice chancellor for business, finance and business development<br />
*Retainage balances are exempted from this procedure<br />
===Write-off of Delinquent Balances===<br />
Delinquent balances greater than 365 days will be written off from the A/R system. Write-offs must be submitted to the vice chancellor for business, finance and business development for approval. The vice chancellor will determine if written off balances will be:<br />
*Assessed service charges<br />
*Turned over to campus legal counsel<br />
*Turned over to a collection agency<br />
*Retained by UNMC General Accounting Office<br />
==Non-compliance==<br />
Payments received by UNMC outside of this policy (not invoiced via the UNMC Management Resources system) may not be recorded to departmental accounts in a timely manner. Complications arise when electronic payments are received with no supporting backup. <br />
==Additional Information==<br />
*[mailto:accountsreceivable@unmc.edu Accounts Receivable]<br />
*[http://wiki.unmc.edu/images/7/73/Accounts_Receivable_Procedures.pdf Accounts Receivable Management Procedures]<br /><br />
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