Delegated Authority, Responsibility & Areas of Potential Risk

The Chancellor has delegated various financial, administrative, and management responsibilities to Administrative Officials responsible for the operation of their departments or business units. This delegation from the Chancellor also passes through the Dean of each division and school and the Director of the Medical Center to equivalent management personnel. The Associate Vice Chancellor – Finance/Controller has final authority to establish campus financial policies and procedures. The AVC – Finance/Controller provides leadership and partners with Administrative Officials to design and implement programs and practices that establish an ethical environment and improve financial accountability and control. Each Administrative Official is accountable for ensuring that appropriate controls are in effect.

ACADEMIC AND RESEARCH AFFAIRS

DELEGATION OF AUTHORITY AND RESPONSIBILITY
Major responsibilities that cannot be delegated:

  1. Accountability for the academic or administrative leadership of the department.
  2. Reviewing matters such as space allocation and employee health and safety programs as they relate to research issues such as biohazard, fire and life safety, chemical hazards, and radiation safety. The Administrative Official is responsible for assuring compliance with campus environmental and safety policies, and that laboratory spaces are free of contamination and cleared of hazardous materials following lab relocations.
  3. Oversight responsibility for the departmental review process.
  4. Conducting of annual performance reviews of all academic appointees.
  5. Consulting of faculty on academic personnel actions and programmatic issues.

Staff may be responsible for implementing the Administrative Official’s decisions and for reviewing departmental compliance with university policies and procedures, but cannot be responsible for academic or other substantive decisions for which the Administrative Official is accountable.

Major responsibilities that can be delegated:
ACADEMIC AFFAIRS

  1. Carrying out administrative details concerning compliance with university policies and procedures pertaining to academic layoffs, academic grievance, misconduct (see Faculty Code of Conduct), confidentiality, departmental peer review process, and related ethical and legal issues.
  2. Carrying out administrative details concerning the negotiation and advising of academic appointees about the terms and conditions of employment, including benefits.
  3. Overseeing faculty compliance with terms of the UC Davis Compensation Plan, where applicable.
  4. Overseeing allocation of support services.

RESEARCH AFFAIRS

  1. Reviewing proposals submitted by departmental faculty members to ensure the following:
    1. Principal investigator or co-principal investigator is eligible.
    2. Proposed project scope is consistent with the educational and professional objectives of the department.
    3. Time commitments made by faculty are appropriate.
    4. Campus space is available for the proposed project or alternate space options have been arranged.
    5. Cost sharing and/or other fund commitments set forth in the proposal can be met.
    6. Equipment screening procedures have been followed where appropriate.
    7. University guidelines regarding the review, approval, and timely submission of proposals and the conduct of the research have been followed.
  2. Establishing and maintaining departmental review or safety committees as appropriate, such as the UC Davis Institutional Animal Care and Use Committee.
  3. Approving all radiation safety and radioactive drug research applications on behalf of the department.
  4. Training animal care laboratory personnel.

AREAS OF POTENTIAL RISK

ACADEMIC AFFAIRS
In overseeing the university's appointment and academic review process, Administrative Officials should follow the procedures outlined in the Academic Personnel Manual, Section 220 (and related sections as appropriate).

  1. Problems frequently arise as a result of negotiating faculty compensation agreements and administering the faculty compensation plan.
  2. Serious issues or circumstances may lead to a formal complaint, grievance, or legal action such as:
If any of these issues occur or are likely to occur … The Administrative Official should contact:
Conflict of Interest - General Conflict of Interest Coordinator/
UCD Campus Counsel
Conflict of Interest – Health Sciences Compliance Officer, Campus

Compliance Office, UCDMC
Conflict of Interest – Research, Misconduct in Science Director, Sponsored Programs,
Office of the Vice Chancellor for Research
Discrimination, Sexual Harassment Harassment & Discrimination Assistance and Prevention Program
Layoffs, Termination - Staff Employee & Labor Relations
Misconduct, academic or social, involving students Student Judicial Affairs
Misuse of Resources, Improper Governmental Activities Assistant Executive Vice Chancellor, Offices of the Chancellor & Provost
Violation of the Faculty Code of Conduct Research Compliance Hotline
(877) 384-4272

Chancellor

RESEARCH AFFAIRS - HUMAN SUBJECTS

  1. Non-compliance with Federal regulations and policies can result in loss of the privilege to conduct human subject research for the investigator and the institution. Non-compliance also creates the potential for loss of all Federal funding to the institution.
  2. The university’s indemnification of an investigator may be compromised and an investigator may be held personally liable under the following circumstances:
    1. Failure to obtain Institutional Review Board (IRB) approval for research involving human subjects prior to commencing a project.
    2. Instituting a revision of or modification to a project without prior IRB approval of the procedures.

RESEARCH AFFAIRS - ANIMAL CARE
All use of vertebrate animals for teaching, training and research must have approval by the UC Davis Institutional Animal Care and Use Committee (IACUC).

  1. Serious issues or circumstances may lead to a formal complaint, grievance, or legal action as outlined in the Animal Welfare Act.
  2. Animals used under the jurisdiction of UC Davis must be housed in facilities approved by the UC Davis IACUC.
  3. The transportation of animals must meet with Federal, State and campus policies. View policies.
  4. Non-compliance with Federal regulations and policies can result in fines as well as the loss of the privilege to conduct animal research for the investigator and the institution. Non-compliance also creates the potential for the loss of all Federal funding to the institution and puts AAALAC accreditation at risk.
  5. Financial implications may apply to the department for animal research conducted inappropriately according to either animal welfare or contract and grant regulatory guidelines 

ROLES OF ADMINISTRATIVE OFFICIALS
RESEARCH AFFAIRS - REVIEW OF CONTRACT AND GRANT APPLICATIONS

  1. The Administrative Official must ensure that research grant and contract applications are accurate, complete, and timely.
  2. An employee with delegated contracting authority should sign all contract and grant proposals and awards.
  3. Graduate Studies and the Office of the Vice Chancellor for Research should be consulted for assistance.

RESEARCH AFFAIRS – FINANCIAL MANAGEMENT

  1. The Administrative Official must ensure that Principal Investigators manage their grants effectively and report accurately the sources and uses of these extramural funds.
  2. Falsification of financial transactions -- including vendor payments, expense reimbursements, expense transfers, payroll and leave documents -- is a violation of the law under the Federal False Claims Act may be punishable by sanctions against the university and the Administrative Official up to and including incarceration.
RESEARCH AFFAIRS – USE OF HAZARDOUS MATERIALS
  1. The Administrative Official should ensure that all work involving the use of radioisotopes, hazardous biological materials, radiation machines, high power lasers, and certain hazardous chemicals and toxins receive approval prior to the start of research. Contact Environmental Health & Safety for assistance.
  2. Non-compliance with State and Federal regulations and policies can result in loss of the privilege for the Investigator and the institution to conduct research using radiation. Non-compliance may also result in loss of all Federal funding and put licensure and accreditation at risk. Further, any willful violation of state safety or health standards that causes the death of, or significant bodily harm to, an employee may subject the violator to criminal sanctions.
  3. With respect to use of hazardous biological materials, non-compliance with National Institutes of Health (NIH) policies and guidelines may result in loss of NIH funding for recombinant DNA research to the institution.
  4. The transportation of hazardous materials, including radioisotopes, hazardous biological agents and chemicals, must meet Federal, State, and local regulations.


RESEARCH AFFAIRS - INTELLECTUAL PROPERTY

  1. Anyone using university research facilities, whether or not on a paid appointment, must sign the University Patent Acknowledgement Form.
  2. Consulting agreements between a faculty member and an outside organization must not conflict with duties owed the university under Academic Personnel Guidelines, such as obligations to disclose inventions.

RESOURCES

Departments
Policies/Procedures

 

CONFLICT OF INTEREST

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Accountability for the implementation of a system or systems that effectively manage conflict of interest activities.
  2. Committing the university to an appropriate course of action that assures that no significant individual, near relative or financial benefit is present within the area of responsibility of the Administrative Official.


Major responsibilities that can be delegated:

  • Establishing departmental policies and procedures which ensure that:
    1. UC Davis policies and codes regarding conflict of interest are followed.
    2. Faculty and staff are aware of disclosure and disqualification requirements.
  • Monitoring, preventing, and reducing possible conflict of interest situations.

AREAS OF POTENTIAL RISK

  1. University employees who are required to fully disclose their financial interests and fail to do so are in violation of Federal and/or State laws and are subject to administrative, civil, and criminal penalties. Persons violating the university’s Conflict of Interest (COI) policy are subject to disciplinary action.
  2. University employees responsible for the design, conduct or reporting of a sponsored project at the university must disclose to the university significant personal financial interests related to that project. When the university determines that such an interest might reasonably appear to be directly and significantly affected by the sponsored project, the university will take steps to manage, reduce, or eliminate the conflict of interest.
  3. A principal investigator must disclose whether or not he/she or a near relative has direct or indirect financial interest in the sponsor of research funded in whole or in part through a gift, contract, or grant from a non-governmental entity prior to making any commitment to accept such funding.
  4. Faculty and staff should not participate in or influence university business decisions that could lead to personal gain or give advantage to firms in which employees or a near relative have an interest.
  5. Faculty and staff should not purchase or lease goods, or contract for services, from any university employee or near relative unless the Director of Materiel Management has determined that goods or services are not available from either commercial sources or the University's own facilities.
  6. Faculty and staff should be encouraged to discuss any potential conflict of interest situations with their supervisor and/or other UC Davis officials, such as the Conflict of Interest Coordinator.
CONSTRUCTION AND USE OF SPACE

DELEGATION OF AUTHORITY AND RESPONSIBILITY
Major responsibilities that cannot be delegated:

  • Ensuring that construction and alteration of space furthers the university mission of teaching, research, and public service.
  • Oversight and review of the different phases of construction to include the project concept and request phase, the feasibility study design phase, the capital budget approval phase, the design development phase, the contract document phase, the bid phase, the construction phase, and the project closeout phase.
  • Approval of proposed fund expenditures and review of actual transactions. A thorough review is necessary, as billing continues until closeout of projects, which might be up to a year after actual construction is finished.
  • Appropriate staffing of plans and proposals, to include coordination of space issues with the Office of Resource Management and Planning. Administrative Officials have the responsibility and discretion to assign space as they deem appropriate to maximize the department's effectiveness, and should make such assignments after appropriate departmental consultation (e.g., the unit space committee.)


Major responsibilities that can be delegated:

  • Campus space is assigned to the respective Deans and Vice Chancellors for the purpose of conducting university business. Space management responsibilities rest on the respective Deans and Vice Chancellors, who may further delegate their responsibility and authority for space assignment to the heads of units under their jurisdiction with respect to the space already designated.
  • Each campus unit has a space coordinator, and each unit is responsible for assisting in the updating of the annual campus space inventory. The inventory provides the detailed information that is used to justify new space requests, and to meet reporting requirements of UCOP and the State. It must be accurate and up-to-date in reflecting the current assignment and use of campus space.

RESOURCES

Policies/Procedures

Business & Finance Bulletin G-39: Conflict of Interest Policy & Compendium of Specialized University Policies, Guidelines, and Regulations Related to Conflict of Interest

ALTERATION OF SPACE
Any proposed alteration of campus space must be accomplished using the campus services available from Facilities Management or Design & Construction Management to ensure that work complies with all applicable policies and codes. The Campus Care Index at http://campus-care.ucdavis.edu/ was designed to help people find their way through the many campus services related to building maintenance and construction. The web-site provides step-by-step instructions for simple projects to major capital projects.

AREAS OF POTENTIAL RISK

Cost over-runs
When an Administrative Official requests alteration of space, it must be done with the understanding that unforeseen results can occur. These types of events can cause the project to cost more than the unit was prepared to spend. Since Facilities Management and Design & Construction Management are primarily recharge operations, they are prevented by law from making a profit. For this reason, there is often no large contingency fund available to cover cost over-runs on projects, with the exception of the very large projects. The unit requesting construction may have to bear the burden of these extra costs, or request funding from a third party.

Hazardous Materials
Older buildings often have a variety of hazardous materials that, if left undisturbed, do not pose a health risk to the residents or employees within the building. However, renovation or improvement of that building may cause a condition in which a hazardous material is disturbed, and thus requires hazardous material abatement. Further, it is standard procedure to remove these materials when encountered during a renovation or improvement project, to protect the campus from future liability. Units requesting the renovation or improvements have the fiscal responsibility for hazardous material abatement, since the hazardous condition was caused by the construction requested by the unit.

Contracting and Bidding
Both Facilities Management and Design & Construction Management frequently contract work which cannot be performed by university personnel. Either Facilities Management or Design & Construction Management will administer the public bidding process and contract award. Several options regarding the type of contract bid process to be used are available. The department, with consultation assistance from Facilities Management or the Office of Design & Construction Management, will choose the competitively bid contract option which best suits the project constraints.

RESOURCES

Departments
EMERGENCY MANAGEMENT AND MISSION CONTINUITY

DELEGATION OF AUTHORITY AND RESPONSIBILITY
Major responsibilities that cannot be delegated:

  1. Accountability for emergency and business continuity planning, and maintaining a state of readiness for emergencies of any size.
  2. Responsibility for regulatory compliance with regard to public safety, and protection of University property, financial operations, and the environment.
  3. Responsibility to direct periodic training so that all employees are prepared to take proper action during an emergency.

Major responsibilities that can be delegated:

  1. Establishing and implementing local business continuity plans to ensure restoration of critical functions after any emergency. Critical business functions are those actions or activities that would prevent the department from recovering and resuming business operations necessary to ensure continuation of the University’s mission of teaching, research and public service.
  2. Establishing and implementing local emergency action plans to ensure personnel are aware of actions to take during an emergency as required in the Department Injury and Illness Prevention Program (IIPP). Tasks could include evacuation of the building, locking cash drawers, protecting research or preserving documents.
  3. Authority to order evacuation of the floor, building, or other areas of unit responsibility when an emergency exists.

AREAS OF POTENTIAL RISK

  1. A vulnerability assessment of risks from natural, technological, human and terrorist hazards is conducted at regular intervals. These hazards have the potential to cause harm to all elements of the campus and/or disrupt normal business operations.
  2. Departments can mitigate some of their exposure to these risks by ensuring emergency and business continuity plans are in place and that all employees are aware of their part in those plans.
  3. The Administrative Official should work with campus resources to develop and implement these plans.
  4. Plans must consider continuation of business functions even during times of budgetary constraints, strikes, retirement of key employees or high employee absenteeism.
  5. The Administrative Official must be prepared to utilize campus resources (i.e., counseling services) as well as department resources (i.e.: alternate location of services to locations under department’s control) to deal with the aftermath of emergencies.

RESOURCES

Department
Policies/Procedures
ENVIRONMENT, HEALTH AND SAFETY

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Accountability for ensuring that faculty, employees, students, patients and visitors have the benefit of a safe and healthy environment.
  2. Administrative Officials are encouraged to:
    1.  Develop and promote safety, health and environmental awareness as positive values in their organization.
    2. Encourage employees and students to recognize and report hazardous conditions.
    3. Support corrective actions as recommended or required by Safety Services.

Major responsibilities that can be delegated:

  1. Establishing and Supporting:
    1. The departmental Injury and Illness Prevention Program (IIPP) and documentation of compliance with the campus IIPP program.
    2.  Programs to educate and train personnel regarding UC Davis health and safety policies and procedures, identification and elimination of hazardous conditions, record keeping, and ethical responsibilities.
    3. Programs to ensure that all research is conducted in accordance with UC Davis Laboratory Safety Guidelines (including completion of laboratory safety plans, department injury and illness prevention plans, emergency action plans, and approval for use of radiation and hazardous biological materials).
    4. Documentation of employee safety training (from any source, including formal presentations or one-to-one meetings/discussions) and maintaining this documentation in a readily available manner.
  2. Designating a departmental safety coordinator and departmental safety committee to carry out department health and safety responsibilities.
  3. Developing and maintaining departmental emergency action plans that address procedures to be followed by personnel in case of fire, earthquake, major chemical spill, or other emergencies. Designating key emergency personnel and assuring emergency action plans are integrated into departmental training.
  4. Reporting to Safety Services, as soon as possible after the occurrence, all accidents or “near misses” which result in injury and/or loss or destruction of property. Keeping records on employee injuries, incident reports, and grievances involving safety matters and loss or destruction of property. Ensuring that employees properly report injuries within 24 hours of the injuries.
  5. Reporting any fire or fire/life safety hazard to the Fire Department and Safety Services as soon as possible.
  6. Developing, maintaining and reviewing Safety Services programs for department laboratories, shops, studios, etc. in accordance with UC Davis policy and procedures as well as any applicable regulations (see Resources).
  7. Following established procedural guidelines from Safety Services to assure that all staff are trained in handling hazardous waste and that all hazardous waste is properly stored, labeled, and picked up by Integrated Hazardous Waste.

AREAS OF POTENTIAL RISK

The Corporate Criminal Liability Act of 1989 requires an Administrative Official or manager to notify affected employees and Cal/OSHA in writing within 15 days after being made aware that a "serious concealed danger" has been identified. All individuals likely to be subject to danger should be provided a sufficient description of the danger. Failure to notify Cal/OSHA and affected employees in a timely fashion may result in fines and criminal prosecution.

Cal/OSHA regulations require every employer to report any serious injury/illness or death of an employee occurring in a place of employment or in connection with any employment within 8 hours to the nearest CAL/OSHA office. EH&S performs this reporting after consulting with the supervisor or department representative of the employee. Failure to notify Cal/OSHA may result in fines.

Roles of Administrative Officials

  1. Safety Services review and approval is required for all remodels and construction plans prior to commencing work.
  2. Vacated space, including areas from laboratory relocation, must meet Safety Services clearance requirements prior to entry of construction personnel and/or future occupancy.
  3. Granting agencies may stipulate specific safety requirements that must be followed.
  4. Contact Safety Services when any outside regulatory official requests entry to the workplace for an inspection or review.

RESOURCES

Department
Policies/Procedures
FINANCE

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Accountability for ensuring that proper controls and monitoring procedures are in place and are being applied accordingly.
  2.   Accountability for ensuring that reports are accurate and meaningful.
  3. Direct responsibility for delegated financial resources.

Major responsibilities that can be delegated:

  1. Establishing and maintaining sound financial plans for all departmental fund sources, which requires maintaining positive fund balances and assuring transactions are posted to correct funds.
  2.  Implementing monitoring and reporting procedures that measure progress in reaching programmatic goals and avoid overdrafts for all funds.
  3. Operating the department in compliance with ethical practices, applicable laws and regulations, University policies and procedures, and the terms and conditions of gifts, grants, and contracts.
  4. Establishing and maintaining a system of internal controls to ensure efficient and effective operations; reliable financial reporting; safeguarding resources against waste, loss and misuse; and compliance with policies, regulations and laws. This includes methods and procedures for separation of duties, proper approvals, security of assets and records, and review and validation of ledger entries.
  5. Establishing department policies and procedures to ensure that:
    1. Costs charged to each fund will provide benefit to the project for which the fund was established.
    2.  Transfers of funds or expenses involving restricted dollars are proper.
  6. Establishing and monitoring controls that prevent one individual from exercising control over all key processing functions for financial transactions. Such functions include:
    1. Recording transactions into the Kuali Financial System (KFS) directly or through an interfacing system.
    2. Approving transactions.
    3. Receiving or disbursing funds.
    4. Performing the monthly review of the ledgers certifying the validity of charges and credits.
    5. Recording corrections or adjustments.
  7. Requiring that the work for policy compliance, accuracy and timeliness be performed by a second person if the lack of staffing within the unit requires that one person perform all of these functions.
  8. Ensuring that financial transactions include adequate explanations and sufficient documentation to support post authorization review and audit.
  9. Identifying unauthorized transactions and informing management of any material irregularity or loss of university assets.
  10. Ensuring that fiscal support personnel receive the core systems training needed to effectively complete assignments.

REQUIREMENTS TO REDUCE POTENTIAL RISKS

  1. A bank account for either an activity supported by or for funds disbursed by the university is not to be opened without prior approval by the Treasurer’s Office. Approval must be coordinated with the Associate Vice Chancellor - Finance (see Resources).
  2. Employees should not approve payroll or other disbursements to themselves or someone to whom they report. Because KFS permits an employee to approve a disbursement to himself/herself, Administrative Officials have the responsibility to ensure a system of separation of duties in which this does not occur.
  3. Expense reimbursements and payments must follow special limits and approvals as outlined in the appropriate section of the UC Davis Policy and Procedure Manual.
  4. Employees signing any document as the approving authority must sign their own name or use their own electronic signature or user ID (e.g. KFS approval) where appropriate.
  5. Cash and checks received for the university must be endorsed and deposited in accordance with the UCD PPM Sections 330-55 and 330-59.
  6. Employees cannot accept cash, non-cash gifts, or other benefits from vendors or other organizations that do business with the University as addressed in the University of California Policy and Guidelines Regarding Acceptance of Gifts and Gratuities by University Employees Under California’s Political Reform Act which is available at http://policy.ucop.edu/doc/1200366/EmployeeGiftsCOI
  7.  Income and expenses recorded in departmental financial subsystems must be reconciled to the general ledger in Decision Support (the official record for UC Davis financial transactions) on a monthly basis.
  8.  Expenditure adjustments (cost transfers) must be made in accordance with UCD PPM Section 330-63, which permits expenditure adjustments only to correct errors, record a change in decisions originally made in the use of goods or services, or redistribute certain high numerical but small individual and/or minor charges.
  9. The establishment of a new service activity and new or revised recharge rates must be approved as outlined in the UC Davis PPM Sections 340-25.
  10. All payments to or for the benefit of UC Davis employees must be made in accordance with the UCD PPM and compensation plans.
  11. The payment of compensation or expense reimbursement to foreign visitors is restricted in many situations by Immigration and Naturalization Services (INS) regulations. Contact the Payroll Division of Accounting & Financial Services for help before a visitor arrives at UC Davis.
  12. The funds of the university cannot be used for personal gain. This includes the purchase of products for personal use or the purchase of products or services from oneself, a relative, or other department employee or their relatives, unless allowed under the provision of the conflict of interest policy.
  13.  All loans to UC Davis employees must be in accordance with approved university loan programs.
  14. It is illegal to pay individuals as independent contractors or consultants when they should be paid as employees, and doing so renders the department liable to pay required taxes and/or penalties as outlined in UCD PPM Section 380-70.
  15. The Director of Materiel Management and designee have the highest delegation for the execution of purchase contracts and standard purchase orders for materials, goods and services, and the execution of contracts for lease or lease/purchase of equipment. No university staff or faculty member may commit university funds without specific delegation of purchase authority granted from policy, the Vice Chancellor of Administrative Resource Management or the Director of Materiel Management.
  16. Complete records of equipment, as addressed in the UCD PPM Section 350-55, must be kept in the department. University-owned equipment used in homes or other locations remains the property of the University of California and must be returned when no longer used for university business. University equipment can only be given to vendors if it is documented on the Purchase Requisition, indicating that the university will be compensated for the equipment. For instance, a department may want a vendor delivering a new copier to take the old copier away.
  17. The university cannot make charitable or political contributions. The Chancellor may grant an exception if charitable contributions are consistent with the mission of the university.
  18. Risk Management Services is to be consulted in decisions involving potential liability, accidental loss, insurance and indemnification requirements and litigation issues. Claims for loss of or damage to property are submitted to Risk Management Services as they are incurred
  19. Staff must be adequately trained to ensure transactions are appropriate, accurate and in compliance with relevant policies, regulations, laws, funding source restrictions, and contractual terms & conditions. Only certain UCD staff are authorized to execute business contracts and agreements with outside entities. Any Administrative Official contemplating a business arrangement with an outside entity should contact the appropriate office (see Resources list) for consultation and support.

RESOURCES

Department
Policies/Procedures
HUMAN RESOURCES

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Accountability for human resources management in the department, in accordance with legal and ethical requirements, university policy, and collective bargaining agreements.
  2. Responsibility for specific human resource decisions which have been delegated to you.
  3. Support for individuals to whom you have delegated responsibilities by clearly delineating roles and responding to questions as they are raised.
  4. Exemplifying and promoting the UC Davis Principles of Community.

Major responsibilities that can be delegated:

The Administrative Official may assign the specific duties listed in the following policies to other employees unless the policy states that they cannot be delegated. Information about current delegations of authority and the responsible Administrative Official for each one is available here.

  1. Personnel Policies for Staff Members (system-wide policies and UC Davis procedures)
  2. Collective Bargaining Agreements
  3. UC Davis PPM (most are in the 380 series)
  4. Campus Directives

REQUIREMENTS TO REDUCE POTENTIAL RISKS

  1. Recruitment. Obtain the human resources and financial approvals required by policy. See Personnel Policies for Staff Members 20 and 21.
  2. Compensation. Compensate employees correctly. Document the hours worked, salary paid to an employee, and the accrual and use of paid leave in the payroll system. Pay attention to the differences in the rules for employees who are covered by the Fair Labor Standards Act and those who are exempt. All jobs must be appropriately classified, as described in Personnel Policy for Staff Members 36.
  3. Performance Management. Provide clear performance expectations to each employee. Evaluate each career employee in writing at least once per year. If the employee’s performance or conduct is unsatisfactory, take appropriate corrective action (a letter of warning or a suspension, demotion, or dismissal).
  4. Employment Rights. Respect the employment rights guaranteed by Federal and State law and university policy, including nondiscrimination, holidays, vacation, sick leave, family and medical leave, workers’ compensation, military leave, administrative leave for a variety of purposes, reasonable accommodation of a disability, and privacy of certain records. Consult the applicable policy when situations involving these rights arise.
  5. Training and Development. Provide training and development opportunities which are defined by university policy and collective bargaining agreements to all employees.
  6. Involuntary Separations. High risks are associated with involuntary separations. Each administrative official must take responsibility for reviewing the applicable policy and ensuring that it is carried out correctly for each involuntary separation. Examples of such separations include layoff, release, investigatory leave, termination, and medical separation.
  7. Complaints. When a complaint, grievance or lawsuit arises, contact the appropriate unit in Human Resources. Some of the appropriate units are Employee & Labor Relations (complaints/grievances about terms and conditions of employment), Staff Affirmative Action/EEO & Diversity (discrimination), Sexual Harassment Education Program (sexual harassment), Employee Health (work-related injury), Disability Management Services (reasonable accommodation request), Safety Services (safety), Compensation Services (classification), and Risk Management Services (lawsuits).
  8. Policy Interpretation. Contact Employee & Labor Relations if you need assistance in finding or interpreting an employment law, University policy or procedure, or a collective bargaining agreement article.

RESOURCES

Department
Policies/Procedures
INFORMATION SYSTEMS/DATA INTEGRITY

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Establishing and implementing systems to ensure the confidentiality, availability and integrity of the data on which decisions are made.
  2. Assuring that systems access and transactions are in accordance with management's authorization and are recorded in the university records in an accurate and timely manner.
  3. Appointing a Data Security Administrator for the department.
  4. Determining approval hierarchies to establish appropriate separation of duties.
  5. Determining which employees should be given access to what core data.
  6. Determining which employees are designated as transaction "preparers" or "reviewers.”
  7. Managing reported or suspected access and security violations in accordance with university policies.

Major responsibilities that can be delegated:

  1. Establishing appropriate access to computer systems as determined by department management.
  2. Establishing core systems transaction preparation and review as determined by department management.
  3. Training on computer access, security, software, and appropriate use of university information.
  4. Monitoring departmental core systems transactions.

REQUIREMENTS TO REDUCE POTENTIAL RISKS

  1. Appropriate controls must be established in computer systems to ensure the confidentiality, integrity, and availability of information through authorization, accountability, and authentication of users. The sharing of passwords and user accounts is strictly prohibited.
  2. Each department must ensure that all financial and personnel transactions are recorded accurately and in a timely manner. Transactions should reflect accurately the actual value or information involved, and contain sufficient detail to support post authorization review and audit. Transactions should be stored securely, readily retrievable, and safeguarded against improper alteration, disclosure or use.
  3. Systems developed by departments must be secure, reliable, responsive, and accessible. These systems must be designed, tested, documented, and maintained according to university policy and UC development and implementation standards. They should be built upon sound data models and employ technology that meets user needs and allows data to be shared appropriately.
  4. Systems developed by departments must contain controls to ensure that data is synchronized with and validated against core systems. These systems must also contain appropriate interfaces to any core financial systems.
  5. Local and wide area networks (including electronic mail and calendaring) must be reliable, stable, and secure.
  6. Appropriate systems backup, recovery and contingency planning must be established in accordance with UC Business & Finance Bulletin IS-3 and guidelines established by the Campus Information Security Guidelines Coordinator, who has initiatives posted on the web at http://security.ucdavis.edu/

The validity of the charges and credits appearing on the general ledger and payroll/personnel system should be certified at the end of each accounting period (i.e., monthly) as required by UCD PPM 330-11.

  1. Employees must be adequately trained in the use of on-line systems and transactions.
  2. Encourage employees to report any compromise or break down in the unit's data integrity without fear of reprisal.
  3. A unit’s financial reporting and monitoring process should be integrated with UC Davis PPS data warehouse and Decision Support.

RESOURCES

Department
Policies/Procedures
WORKER'S COMPENSATION

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  1. Responsible for making sure employees are adequately trained to immediately report workplace injuries and illnesses to Workers’ Compensation.
  2. Responsible for making sure department representatives understand how Cal OSHA defines a serious injury and the need to immediately report such instances to Employee Health & Safety.
  3. Responsible for departmental system to adequately investigate root causes of employee injury and illnesses for the purpose of preventing reoccurrence in the future.
  4.  Responsible for departmental adherence to University policy 370-20 requiring 60 days of modified duty accommodations and a good faith effort to continue same thereafter.
  5. Establishes and supports departmental responsibility to meet medical restrictions as imposed by employee physicians.

Major responsibilities that can be delegated:

  1. Employees should be referred to Occupational Health for treatment unless employee previously elected treatment through the Designation of Physician form. The filing of such form should be verified through Workers Compensation.
  2. Workers’ Compensation will maintain the OSHA 300 log.
  3. Workers’ Compensation will coordinate on-going claim handling and benefits delivery with the campus third party administrator, Sedgwick.
  4. Designate a Workers’ Compensation departmental coordinator to work with the Workers’ Compensation office.

AREAS OF POTENTIAL RISK

Cal-OSHA regulations require, under the General Duty clause, that employers maintain a safe and healthy work environment. Workers’ Compensation is both a federal and state regulation requiring specific benefits for medical care and compensation. Failure to provide safe working conditions and benefits can result in penalties and litigation. HIPAA is a federal regulation regarding the confidentiality of medical records. Fines and restrictions can be levied if HIPAA is violated.

ROLES OF ADMINISTRATIVE OFFICIALS

  1. Coordinate with Workers Compensation department on any coordination of benefits related issues.
  2. Solicit advice from Workers Compensation on any injury/illness related policy/procedure specific to department.
  3. Solicit advice from Occupational Health before introducing a potential new health hazard to campus.

RESOURCES

Department
Policies/Procedures
OCCUPATIONAL HEALTH SERVICES

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  • Occupational Health will set standards for medical care, preventive services and ongoing medical surveillance.
  • Medical providers follow the Campus Modified Duty – Return to Work policy.
  • Occupational Health provides medical care for injured workers, unless prior delegation of this authority has been determined.
  • Occupational Health sets standards of medical care for the campus prevention program.
  • Occupational Health maintains medical records in accordance to state and federal policies.
  • Occupational Health administers the UC WorkStrong program.

Major Responsibilities that can be delegated:

  • A. Employees should be referred to Occupational Health for treatment unless employee previously elected treatment through the Designation of Physician form.
  • B. When Occupational Health is not staffed, patients may be directed to Woodland Healthcare or Sutter Davis Emergency Room.
  • C. Occupational Health manages the respiratory fit program, the DOT program, and the Ergonomics Program

AREAS OF POTENTIAL RISK

  • In any patient care setting, malpractice claims become a potential risk issue.
  • Failure of compliance with regulatory agencies (AAALAC, NIH, Cal-OSHA, etc.) may result in loss of program accreditation.

ROLES OF ADMINISTRATIVE OFFICIALS

  • Maintaining HIPAA Compliance in the release and handling of medical records.
  • Compliance with reporting requirements to the Department of Transportation.
  • Solicit advice from Occupational Health before introducing a potential new health hazard to campus.

RESOURCES

Department
Policies/Procedures
RISK MANAGEMENT

DELEGATION OF AUTHORITY AND RESPONSIBILITY

Major responsibilities that cannot be delegated:

  • Understand departmental areas of risk and liability to the University and take appropriate action to minimize and mitigate those areas of risk/liability.
  • Support decision making process that incorporates and promotes safety and accident prevention on an enterprise basis.
  • Establish incident review process that recognizes both formal claims presented against the department as well as utilizes ‘near miss’ incidents as learning tools to prevent recurrence of similar incidents.
  • Responsible for ensuring timely incident and claim reporting process to Risk Management.
  • Support the coordination and timely participation of department representatives with Risk Management, defense counsel and Sedgwick for both the investigation and ongoing defense of claims.

Major Responsibilities that can be delegated:

  • Risk Management will provide individual claim oversight and coordination activities with the University third party administrator, Sedgwick.
  • Risk Management will provide general administration and oversight of University self-insurance programs.
  • Review departmental trending reports as provided by Risk Management.

Solicit advice and best practices from Risk Management on items pertaining to:

  • General safety and risk mitigation efforts when engaging in new activities.
  • Accurate and timely loss reporting.
  • Coordination of investigation and defense of claims and potential claims.
  • Use of local resources when engaging in any activity or agreement that might put the University at risk.
  • Training of employees on the concept of risk management and on programs that are covered by the self-insurance programs.
  • Questions pertaining to self-insurance program coverage, procedures, and deductibles.

AREAS OF POTENTIAL RISK

The University is self-insured against losses that may occur due to general liability, property damage, automobile liability, and employment practices litigation. Failure to timely and accurately report losses can lead to denial of coverage determinations as well as the potential loss of self-insurance status. Failure to manage human resources according to University policy and procedures can lead to costly employment practice liability claims. Failure to engage in sound risk management practices can expose the University to unnecessary monetary and reputation liabilities.

ROLES OF ADMINISTRATIVE OFFICIALS

  • Report all losses in a timely manner.
  • Immediately investigate all incidents and coordinate the handling of those incidents with the Risk Management Department.
  • Set organizational expectations to promote and sustain a safety based decision making culture.
  • Hold employees accountable for supporting ongoing safe operations to reduce overall University liabilities.

RESOURCES

Department
Policies/Procedures

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