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Policies & Procedures Updates Guide

Back to UCAR Policies and Procedures

January 2013

1-6
Export Policy Procedures changed to require all international shipments originating from Boulder go through Logistics. Requirements for mandatory training for personnel working on DoD projects moved to Procedures for improved visibility.
6-9
Outside Employment Policy All references to honoraria have been removed.

December 2012

5-5
Funds Management Updated "UCAR Sponsored Agreements office" references to "UCAR Contracts office" and miscellaneous grammatical changes.
2-4
Investigator Financial Documents The updated Policy incorporates reporting obligations recently instituted by the Department of Health and Human Services.  The procedures, guidelines and disclosure form related to Policy 2-4 have been modified to provide more clarity regarding what interests do and do not amount to Significant Financial Interests and/or Conflicts of Interest under federal law.

6-14

 

Employee Recognition Awards Procedures Publication was modified to note non-UCAR authors receive a medal but do not receive a monetary award. Also, the Criteria Checklist for Outstanding Accomplishment Awards & Distinguished Achievement Awards was updated.

November 2012

Policy or Procedure
Revision/Updates
5-6
Funding Proposals Removed references to E&O since it's been renamed Spark and moved under UCP so policy no longer applies.

October 2012

Policy or Procedure
Revision/Updates
6-7
Termination "Notice Period" section of the policy updated to reflect an employee's use of vacation at the time of retirement or a Reduction in Staff.
5-4
Time Reporting/Payroll Procedures Time reporting for leave by non-exempt employees was updated.

September 2012

Policy or Procedure
Revision/Updates
1-6
Export Procedures Export Contact Information was updated. Additional information added about suspicious transactions, obtaining permission for Foreign person access, and a list of links for prohibited end users.

August 2012

Policy or Procedure
Revision/Updates
6-14
Employee Recognition Awards Procedures Eligibility was modified to include deceased employees. Also, the Criteria Checklist for Outstanding Accomplishment Awards, and the Criteria Checklist for Distinguished Achievement Awards were updated.

June 2012

Policy or Procedure
Revision/Updates
6-13
Compensation & Benefits Policy Revised the effective date of Reclassification actions to the beginning of the pay period in which the reclassification request is received by Human Resources.

April 2012

Policy or Procedure
Revision/Updates
5-7
Travel Policy Added wording encouraging travelers to review the guidelines for international travel.

March 2012

Policy or Procedure
Revision/Updates
7-1
Scientific and Research Engineering Appointments Policy and Procedures Updated Post-Appointment Review (PAR) process document added.

December 2011

Policy or Procedure
Revision/Updates
4-5
Driving on UCAR Business Policy Added that use of a cell phone is prohibited when driving on UCAR business.

September 2011

Policy or Procedure
Revision/Updates
4-9
Smoking in the Workplace Policy Changes allowable smoking areas and specifies 25 foot distance from buildings.

July 2011

Policy or Procedure
Revision/Updates
2-13
Family and Personal Relationships New policy to guide professional relationships in the workplace.
5-4
Time
Reporting/
Payroll Procedures
Minor wording changes.

June 2011

Policy or Procedure
Revision/Updates
6-11
Leaves of Absence Procedures Adds "dependent on availability of funding" for salary and benefits.
7-2
NCAR Distinguished Appointments Policy Moved from Policy 6-4.  Includes Distinguished Scientist for current staff, Distinguished Scholar for retired or external scientists  and Project Scientist IV eligibility for both.
6-4
Special Appointments Policy Deleted "Distinguished Scholars" moved to new Policy 7-2.

April 2011

Policy or Procedure
Revision/Updates
7-1
Scientific and Research Engineering Appointments Policy and Procedures Updated to include the process followed when considering a staff reduction and a provision for Board of Trustees approval of level III appointments.
6-5
Scientific and Research Engineering Appointments Policy and Procedures Deleted, reference new 7-1.
5-10
Fundraising and Accepting Donations Policy and Procedure Retitled policy to include Accepting Donations. Procedures added for accepting donations and how it relates to Fundraising.
3-7
Academic Freedom and Responsibility Policy

New Policy.

4-5
Driving on UCAR Business Policy

Includes NSF vehicles within Company Vehicles and specifies Travel Policy 5-7 "Rental Cars" section 15, part C applies to rental of cars through private companies.

March 2011

Policy or Procedure
Revision/Updates
6-5
NCAR Scientific and Research Engineering Appointments Policy

Added procedure #7. Ladder-track Appointments and Transition Processes.

6-11
Leaves of Absence Procedures Added Project Scientist IV as eligible for Sabbatical.

February 2011

Policy or Procedure
Revision/Updates
4-8
Sustainability Policy Policy update and new procedure.
4-2
Facilities and Space Management Policy Title change, policy update with space planning links.

December 2010

Policy or Procedure
Revision/Updates
6-5
NCAR Scientific & Research Engineering Appointments Policy Added procedure for setting salaries.

November 2010

Policy or Procedure
Revision/Updates
6-5
NCAR Scientific & Research Engineering Appointments Policy Added Post Appointments Review (PAR) information.

October 2010

Policy or Procedure
Revision/Updates
6-5
NCAR Scientific & Research Engineering Appointments Policy Added reference to to the WMP and Appendix C
  Social Media Guidelines New guideline and link provided in Official Communications Policy 3-1

September 2010

Policy or Procedure
Revision/Updates
5-9
Property Management Policy

Minor revision includes requirement to contact DPA for disposal requirements.

1-3

Equal Employment Opportunities Adds possibility for job applicant complaint and explains HR follow up to a complaint.
6-5

NCAR Scientific & Research Engineering Appointments Procedures

Added description of "Up or Out " process

July 2010

Policy or Procedure
Revision/Updates
=
  Revisions to all policies and procedures to update NCAR authorities. Change from previous wording of Division or Program Directors to NCAR Associate Director or UCAR/UCP Program Director

March 2010

Policy or Procedure
Revision/Updates
3-5
Publication & Information Dissemination Policy Revision to NSF wording for papers in scientific and professional publications
6-5
NCAR Scientific and Research Engineering Appointments Policy Added Appointments Criteria previously located on the NCAR ARG site
-
Relocation Guidelines Added a partial relocation benefits option

 

Employee Recognition Awards Procedure

 

Added Diversity Award to Outstanding Accomplishment Awards

 

January 2010

Policy or Procedure
Revision/Updates
  Graduate Research Assistants Procedures

Deleted paragraph that refers to GRAs as not eligible for Education Assistance

November 2009

Policy or Procedure
Revision/Updates
  Postdoctoral Fellows Guidelines Removed using Visitor form for hire. (The normal OpenHire process to initiate hire will be used instead.)
6-5
NCAR Scientific and Research Engineering Appointments Policy

New procedures for "marking" and "stopping" the clock

October 2009

Policy or Procedure
Revision/Updates
1-6
Export Policy & Procedures New policy reflecting the formal practices that already exist as part of UCAR's export management.
3-5
Publication & Information Dissemination Policy & Procedures

- Revised to reflect UCAR's "open access" policy
- Information previously within policy, moved to create new procedures section

3-2
Intellectual Property and Technology Transfer Policy - Revised to reflect UCAR's "open access" policy
2-12
Whistleblower Policy New policy providing guidance and protections for reporting an unethical activity, questionable accounting or financial practice, or violation of law, regulation or policy.
5-4

Time Reporting/
Payroll Procedures

Inclement Weather Closure section provides new instruction for reporting of time.

September 2009

Policy or Procedure
Revision/Updates
6-12
Work and Family Policy

Provides for leave and information consistent with the new Colorado Parental Involvement Act.

June 2009

Policy or Procedure
Revision/Updates
6-14
Employee Recognition Awards Policy

- 2009 Request for Nominations Memo from Rick
- Addition of the High Altitude Observatory to the list of entities submitting nominations
- Changes/clarifications on the Outstanding Accomplishments Awards Criteria Checklists

6-5
NCAR Scientific & Research Engineering Appointments Policy - Includes Research Engineer levels I-IV as part of ladder track
- Restores UCAR Board approval required for involuntary termination of a Senior Scientist or Senior Research Engineer

April 2009

Policy or Procedure
Revision/Updates
5-7
Travel Policy - Definition of local travel
- Cash advance process
- Lodging expenses
- Baggage charges
- Personal and family airfare expenses

February 2009

Policy or Procedure
Revision/Updates
6-2
Employee Personal Records Policy Clarifies the breach of policy process.

January 2009

Policy or Procedure
Revision/Updates
5-6
Funding Proposals Policy Clarifies the UCP proposal process.

December 2008

Policy or Procedure
Revision/Updates
5-8
Acquisition of Goods and Services Policy In order to clarify the conflicts of interest that may arise with UCAR employees in the acquisition and contracting process, and to be consistent with applicable federal regulations, UCAR has revised the language in the fourth paragraph of Policy 5-8.

October 2008

Policy or Procedure
Revision/Updates
2-5
Research Misconduct Procedures Clarifies the 180 day time period in which to conclude an investigation and report to the cognizant federal agency.
5-7
Travel Procedures - Purchasing airlines tickets when using non-U.S. government funds
- Billable travel voucher process (for travel costs paid to a UCAR employee by UCAR, and billed to another organization for final payment)
- Allowable airline baggage charges
- Rental car costs

July 2008

New Policy Number
Policy
Former Policy Number
Notes
1. Corporate
1-1
Corporate Organization
1-1-1
Updated corporate information.
1-2
Policies Administration and Compliance
1-1-2
Re-titled; report suspected violations to manager, HR or UCAR Ethics Officer; no retaliation
1-3
Equal Employment Opportunity
1-1-21
Report incident to anyone in chain of authority and/or Director of HR
1-4
Classified Research
1-1-31
No change from new policy posted October 2007
1-5
Delphi Services
4-1-2
No change
2. Ethics and Conduct
2-1
Ethical Conduct
1-1-23
Added Ethics Officer information
2-2
Congressional and Agency Interactions and Lobbying
1-1-3
1-1-5 Lobbying part of this policy; added personal advocacy section
2-3
Conflict of Interest
1-1-4
Conflict of Interest Statement to be updated annually
2-4
Investigator Financial Disclosure
1-1-27
Rewritten: no substantive changes
2-5
Research Misconduct
1-1-26
No change
2-6
Workplace Conduct
1-1-20
Retitled and rewritten: environment of mutual respect and professionalism free from all forms of harassment, intimidation and violence. Employees should be aware of and abide by UCAR policies, procedures and guidelines and perform his/her duties to best of ability and per position description.
2-7
Sexual Harassment
1-1-25
No change
2-8
Anti-Fraud
1-1-24
Rewritten: provides definitions; provisions for employee reporting and protections; investigation and resolution
2-9
Drug-Free Workplace
1-1-12
Procedure-must notify HR Director or Vice President for F&A of a conviction
2-10
Consumption and Serving of Alcohol
1-1-19
No change
2-11
Human Subjects Research
1-1-28
New procedures put on HSR web page; UCAR access only
-
Lobbying
1-1-5
Deleted; part of 2-2
3. Distribution and Communication of Research and Resources - Revised Title
3-1
Official Communications
4-1-1
Minor edits
3-2
Intellectual Property and Technology Transfer
1-1-8
Shortened policy; created procedure
3-3
Archives and Records Management
4-1-6
Title change and a distinction between archiving for science purposes and legal records retention requirements, including when legal action pending. Added electronic records section with email retention guidance
3-4
Solicitation, Posting and Distribution of Materials on UCAR-Operated Premises
4-1-7
Minor edits
-
Scientific and Technical Publications
4-1-3
Deleted; part of 3-5
-
Copyrighted Materials
4-1-5
Deleted; part of 3-5
3-5
Publication and Information Dissemination
4-1-8
Integrates information from now deleted 4-1-3 Scientific and Technical Publications and 4-1-5 Copyrighted Materials
-
Networking and Telecommunications
5-1-4
Deleted
3-6
Access to and Use of Computer and Information Systems
1-1-15
Added disciplinary action for accessing inappropriate sites
-
Conference Sponsorship
1-1-11
Deleted
4. Environment, Site & Safety Physical Plant and Site Services - New Title
4-1
Inclement Weather and Other Official Closures
5-1-2
No change
4-2
Physical Plant and Space
5-1-3
No change
4-3
Facility Use
5-1-9
No change
4-4
Hazardous Travel and Risk Assessment
1-1-10
No change
4-5
Driving on UCAR Business
3-1-5
No change
4-6
Field Project Risk Assessment
1-1-13
No change
4-7
Health, Environment and Safety
1-1-17
Minor edits
4-8
Environmental Stewardship
1-1-22
No change
4-9
Smoking in the Workplace
1-1-14
Added no smoking within 15 ft of building entrances; when working in other’s facilities outside Boulder must comply with their regulations.
4-10
Radio Frequency Management
1-1-18
No change
5. Business and Financeial Services - Revised Title
5-1
Authority to Commit the Corporation
1-1-6
1-1-29 Signature Authority into this policy
5-2
Internal Auditing
1-1-7
Minor edits
5-3
Risk Management and Insurance
1-1-9
Minor edits
5-4
Time Reporting/Payroll
3-1-1
Removed shift differential; added exempt/non-exempt definition; describes how to complete timecard ; recording travel time for non-exempt staff
5-5
Funds Management
3-1-2
Policy describes responsibilities for reports and cash management; procedures were updated in June 2007
5-6
Funding Proposals
1-1-16
Rewritten to reflect current practices
5-7
Travel
3-1-6
Procedure for rental car insurance coverage specific to Hertz; new Fly America Act information.
10/01/2008 - Major changes to procedures pertaining to airline tickets, billable travel, airline baggage charges and rental car costs.
5-8
Acquisition of Goods and Services
3-2-1
Minor edits
5-9
Property Management
3-1-4
Minor edits
5-10
Fundraising
1-1-30
No change since June 2007 update
5-11
Corporate Investments & Unrestricted General Fund
3-4-1
No change
-
Signature Authority
1-1-29
Deleted; part of 5-1
6. Human Resources
UCAR Policy Statement on Human Resources - Removed
6-1
Use on Non-UCAR Staff
2-1-1
Minor edits
6-2
Employee Personal Records
2-1-2
Added protecting employee personal information and sensitive personal information; providing employment references.
6-3
Employee Search and Selection
2-1-3
Removed new employee Trial Period; added may re-employ a previous UCAR employee without a search process if for the same classification the individual already held through a competitive process; removed waiver requirement for using search process within 3 months for identical position; added reimbursement required for permanent resident fees if leave within one year from start of green card process; clarified financial support for visas or residency based upon lab/prog funding availability. Relocation moved to a guideline.
6-4
Special Appointments
2-2-3
Updated Visitor procedures; removed SOARS and Post Docs since not an “appointment;” created guidelines instead. Student Visitors "must" have home institution and professor collaborating w/ UCAR.
6-5
NCAR Scientific Appointments
2-2-1
Added when a reduction in staff, the sum of notice & severance always equals 1 year (Note: This policy belongs to NCAR)
6-6
Discipline
2-3-1
No change
-
Negotiated Agreements
2-3-4
Deleted
6-7
Termination
2-3-5
Added when involuntary termination due to misconduct or unsatisfactory performance normally ineligible for rehire.
6-8
Problem Resolution
2-3-6
Minor wording
6-9
Outside Employment
2-4-1
Added conflict of interested must be declared on form
6-10
Teaching
2-4-2
Minor edits
6-11
Scientific & Professional Leaves of Absence
2-4-3
Added Leave Without Pay information; clarified purpose and requirements of leaves.
6-12
Work and Family
2-4-7
Minor edits
6-13
Compensation and Benefits
2-5-1
Merit increases in Oct; when hired within two months of increase date ineligible for merit; PC approval needed when reclassification comparatio is equal to or more than previous c/r; should be fully performing new duties prior to reclassification request.
6-14
Employee Recognition Awards
2-5-2
Minor edits
UCAR Benefits Manual
Education Assistance Effective September 1, 2008. Clarifies application process and that up to 5 hours per week of paid time may be approved for class time only if the class occurs during the employee's normal work time and there are not options to attend the class during non work time.
New Guidelines
Student Assistant May not exceed 1,000 hrs in 12-month period; ineligible for benefits
Casual Emphasizes Casuals on occasional, as needed basis not to exceed 1,000 in a 12-month period. If previously on TIAA with UCAR, ineligible for Casual appointment, as individual must receive benefits (except for formal Retirees) so ineligible for Casual appointment.
Postdoctoral Fellows Extracted from appointments policy; specifies research self-directed
Relocation Extracted from Employee Search & Selection procedures
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