Official University Administrative Policy

Policy Name:

Performance Appraisals

Effective Date:

May 1 1992

Policy Number:

PER 2 13

Policy Applicability:

This policy applies to University Administrators and Staff

Policy Statement:

PERFORMANCE APPRAISAL

Each employee shall receive a written performance appraisal of their work performance at least annually. The employee's first line supervisor shall:

1. Provide and discuss written job descriptions, job performance factors and performance standards with the employee when the position is assumed.
2. Update and discuss job performance factors with the employee whenever there is a significant change in job duties.
3. Provide a progress report every two months during the provisional employment period to a provisional status employee. The supervisor shall also provide a written performance evaluation 30 days prior to the completion of the provisional employment period, based upon the job factors established for the position. If the employee's service is unsatisfactory, the employee should be terminated before the end of the provisional employment period. Employees retained beyond the provisional employment period will be granted regular status.
4. Conduct the performance evaluation in writing within 75 days following the evaluation period.

The second line supervisor shall signify concurrence with the overall performance rating, and certify it is consistent with the established performance evaluation standards of the unit. Copies of the evaluation must be submitted to the Human Resources Department.

When an employee's performance is first recognized as not meeting expectations and is not resolved through informal discussion, the supervisor should:

1. Engage the employee under the provisions of the disciplinary policies, PER 5.01; or
2. Implement a Performance Improvement Plan as described below, until the employee's performance improves or the employee is dismissed.

PERFORMANCE IMPROVEMENT PLAN (Not applicable to administrators)

Performance Improvement Plans, if applicable, shall be implemented when an employee's performance is first recognized as not meeting expectations and is not resolved through informal discussion, or an employee receives a "needs improvement" written evaluation.

During the performance improvement plan period an employee shall be evaluated at least once every 30 calendar days up to a maximum of 90 calendar days until:

1. The employee's performance has improved and is evaluated as at least meeting expectations; or
2. The employee is terminated under the provisions of the staff disciplinary process, PER 5.01.

The Performance Improvement Plan is designed to provide employees a reasonable amount of time to improve. However, employees remain subject to disciplinary action related to unsatisfactory performance and/or other violation(s) of university policies and procedures in accordance with PER 5.01, Disciplinary Action.

After the immediate supervisor completes a written summary of the areas which require improvement or an evaluation, he or she shall discuss with the employee. The employee will be provided an opportunity to sign the applicable document. Should the employee refuse to sign, a notation shall be made on the memorandum and/or evaluation. Employees shall be permitted to submit written statements of disagreement that shall be attached to the applicable document within 15 calendar days. A copy of the memorandum and/or evaluation shall be given to the employee and shall then be filed in the department with a copy forwarded to the Human Resources Department.

The Employee Relations Office must be notified whenever an employee receives a "needs improvement" performance evaluation.

Related Information:

Performance appraisals may be used for but are not limited to the following:

1. Establishing goals and objectives for job performance;
2. Informing employees of strong and weak points, training needs or expected improvements, and suggested methods for improvement;
3. Determining the employee's eligibility for performance pay increases;
4. Recognizing an employee's potential for promotion;
5. Serving as a basis for disciplinary action;
6. Assisting in determining the order of layoff and reinstatement; and
7. Conducting semi-annual or mid-year performance reviews.

Refer to the Performance Management Guide for assistance in preparing for and conducting performance evaluations.

Refer to the Redbook Sections 2.2.4 and 3.2.3 Review of Service specific to the Executive Vice President and University Provost, vice presidents to whom academic units report, and Deans.

Additional questions can be directed to Employee Relations at either 502-852-6536 or 502-852-6538 or by email.

Definitions:

http://louisville.edu/hr/policies/definitions

Official University Administrative Policy

Policy Name:

Administrator Medical Leave

Effective Date:

January 1985

Policy Number:

PER 4 22

Policy Applicability:

This policy applies to University Administrators

Policy Statement:

It is the policy of the University of Louisville to authorize the President or Provost to approve medical leave with pay for up to one-half year of base salary (six months for those on annual appointment; one semester for those on academic year appointment) for administrators. Justification for the medical leave must be documented by medical evidence satisfactory to the President or Provost. The approved leave shall be reported to the Board of Trustees for informational purposes only.

An administrator will be granted a second paid medical leave for a condition unrelated to the condition which was the basis for the prior leave, unless the person has been back to work for three months or longer. If the person has been back to work for less than three months and the medical condition is the same, a second paid medical leave will not be granted.

Definitions:

http://louisville.edu/hr/policies/definitions

Official University Administrative Policy

Policy Name:

Employee Documentation

Effective Date:

May 1 1992

Policy Number:

PER 1 17

Policy Applicability:

This policy applies to University Administrators Faculty Staff and Students

Policy Statement:

As a condition of employment, each employee shall present his or her Social Security card and shall execute tax forms required for payroll purposes. Each employee shall also provide the Human Resources Payroll Department with his or her mailing address and promptly notify the Payroll Department of any changes of address.

Official University Administrative Policy

Policy Name:

Sponsorship

Effective Date:

October 2013

Policy Number:

OCM 1 01

Policy Applicability:

This policy applies to University administrators faculty and staff

Policy Statement:

The university recognizes that many of its activities and programs provide potential sources of revenue or non-financial benefits through the creation of private-sector partnerships and sponsorship opportunities. It's also important to recognize that, as a public institution, the University of Louisville's reputation and brand must be protected and that activities and organizations associated with the university must align with the university's mission and pursuit of excellence and inclusiveness. The university has the right to and will refuse sponsorship from unacceptable sources, or entities wishing to communicate an unacceptable message.

All current or future sponsorship marketing agreements, inclusive of extensions and renewal of grandfathered agreements, must be communicated to, reviewed by and approved by OCM. OCM is the only department with authorized signatory authority on sponsorship agreements. Individual units or departments should not contract directly (unless a policy exception is granted) with a sponsor on behalf of the university.

Related Information:

Unrelated Business Income Tax policy

Brand Graphics policy - Note: Non-university entities may only use a university name, trademark, logo, or mascot with permission from the University of Louisville Office of Communications and Marketing or its exclusive sponsorship broker.

Department of Purchasing - Bids/RFPs; Policies

Public Information policy

Digital Media policy

Use of Grounds policy

Additional information, including sponsorship frequently asked questions, is available at https://louisville.edu/sponsorship.

Policy Reasoning:

The University of Louisville is a nationally recognized metropolitan research university with a brand that conveys excellence in educational, social, healthcare, cultural, community and economic development. As such, the brand has significant value for both the university community and for external entities seeking to partner with the university.

UofL has instituted a centralized sponsorship program to:

• Create added value for the institution and its community and ensure the university is realizing the maximum opportunity from every sponsorship agreement.
• Maintain a central repository of marketing sponsorships to avoid legal conflicts or agreements that devalue the institution. Units entering into independent sponsorship agreements without prior approval from OCM and/or Purchasing may violate existing, university-wide contracts or sponsorship agreements.
• Protect the university from misrepresentation of its name and harm to its reputation; and safeguard the integrity of the UofL brand. This includes protection of our students by vetting companies that want to directly market to our campus community; and ensuring sponsorship partners align with the university and its values.
• Provide guidance to university units and programs; help prevent conflict-of-interest issues; and ensure compliance with university policies.

Definitions:

Sponsorship marketing - a business agreement and marketing strategy in which there is a mutual exchange of value (e.g., tactical efforts in exchange for cash or barter). To sponsor something is to leverage a property, event, activity, person/people, or organization with the goal of meeting the sponsor's marketing objectives and goals. A sponsor is the individual or group that makes that marketing investment.

Gift or donation - a contribution received by an institution for either unrestricted or restricted use in the furtherance of the institution for which the institution has made no commitment of resources or services other than, possibly, committing to use the gifts the donor specifies. The contribution is a nonreciprocal transfer in that there is no implicit or explicit statement of exchange, purchase of services, or provision of exclusive information. If the donor receives benefits in return for the contribution, the amount of the gift recorded and reported is reduced by the fair market value of all benefits given. The institution has no obligation to report to the donor how the gift is used or invested, but institutions are not prevented from providing such reports as part of donor stewardship.

Advertising - "Includes messages containing qualitative or comparative language, price information, or other indications of savings or value; endorsements; and inducements to purchase, sell or use the products or services" [IRS publication 598 (01/2015), Tax on Unrelated Business Income of Exempt Organizations]. OCM's exclusive sponsorship broker works with non-university entities on sponsorship agreements where there is no arrangement or expectation sponsor will receive substantial return benefit other than the use or acknowledgement of the name and logo (or product lines) of the sponsor's trade or business; and works to ensure sponsorships do not incorporate "call to action" advertising in marketing elements associated with sponsorship.

Responsibilities:

Agreements that provide marketing access to university audiences en masse — including students, faculty, staff, alumni, and visitors — are managed and executed by OCM in partnership with the Department of Purchasing. OCM will be present on any department-specific Request for Proposals where sponsorship or marketing value could be a portion of agreement with the potential vendor, as determined by OCM and Purchasing. Anyone responsible for compliance of any type is responsible for notifying OCM of any prohibitions relative to sponsorship.

This policy is monitored by the Office of Communications and Marketing (OCM) in cooperation with the Department of Purchasing. Any exceptions to this policy must have prior approval from OCM. Such exceptions will be considered on a case-by-case basis.

Official University Administrative Policy

Policy Name:

Tuition Remission

Effective Date:

May 8 2008

Policy Number:

PER 7 02

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

A. Tuition Remission for Employees.

1. All regular/provisional 80% FTE or above employees are eligible to take up to two courses (not counting associated labs as separate courses) up to eight credit hours at the University of Louisville (UofL) tuition free each semester, i.e., spring semester, summer semester, and fall semester (including winter session); not to exceed 18 credit hours per year. These hours may not be accumulated. The individual must be a regular or provisional 80% FTE or above employee of UofL on the first day of class for the semester as determined by the Registrar to be eligible for this benefit.

2. All regular/provisional employees working at least 40% FTE but less than 80% FTE are eligible to take up to one course (not counting associated labs as separate courses) up to four credit hours at UofL tuition free each semester, i.e. spring semester, summer semester, and fall semester (including winter session); not to exceed nine credit hours per year. These hours may not be accumulated. The individual must be a regular or provisional 40% FTE or above employee of UofL on the first day of class for the semester as determined by the Registrar to be eligible for this benefit.

3. Contract faculty working at least 40% FTE are eligible to take up to one course (not counting associated labs as separate courses) up to four credit hours at UofL tuition free each semester, i.e. spring semester, summer semester, and fall semester (including winter session); not to exceed nine credit hours per year. These hours may not be accumulated. The individual must be a contract faculty working at least 40% FTE or above on the first day of class for the semester as determined by the Registrar to be eligible for this benefit.

4. Active duty military personnel assigned to a UofL ROTC Detachment shall be construed as regular/provisional employees, as provided in paragraphs 1 or 2 above, for the purpose of employee tuition remission benefits.

5. Employee tuition remission shall include 100% of in-state undergraduate, graduate, or professional program tuition at UofL, including any tuition differential that applies to distance education courses, but excluding course fees, graduation fees, or regular student fees. Effective Fall Semester 2011, employee tuition remission shall also exclude mandatory student fees bundled in tuition. Tuition remission may be used for credit courses offered during regular semesters (whether taken for credit or taken for audit), but may not be used for non-credit continuing education courses.

6. In order to maintain eligibility to receive tuition remission benefits in a succeeding semester, employees must remain in good standing with an overall GPA of 2.0 or higher.

If an employee fails to meet this performance standard, the employee must enroll in, pay for, and attain satisfactory performance (as above) to re-establish eligibility to receive tuition remission benefits. Withdrawals, which do not result in a refund of 100% of tuition paid, shall constitute unsatisfactory performance for the semester.

B. Tuition Remission for Dependent Children.

1. Emancipated children of regular, full-time faculty and staff (at 100% FTE) appointed prior to February 1, 1966 may take courses at UofL toward their first undergraduate degree tuition-free.

2. Dependent children of regular, faculty or staff at 80% FTE or greater may take courses at UofL toward their first undergraduate degree tuition-free provided that:

1. The employee was hired prior to July 1, 2011 and is a regular employee at 80% FTE or greater on the first day of class for the semester (with no continuous service requirement); or the employee was hired on or after July 1, 2011, is a regular employee at 80% FTE or greater on the first day of class for the semester, and has one year of continuous service on the first day of class for the semester.
2. The employee provides evidence that he or she is claiming the child for tax purposes or certifies in writing that the employee is providing more than 50% of the child's support.
3. If an employee hired prior to July 1, 2011 becomes permanently disabled, retires or dies, his or her children shall continue to be eligible for tuition remission benefits (regardless of length of service). If an employee hired on or after July 1, 2011 has five years of continuous service and becomes permanently disabled, retires or dies, his or her children shall continue to be eligible for tuition remission benefits.

3. For the purpose of tuition remission, dependent children shall be eligible for tuition remission through the end of the semester in which they attain the age of 26.

The Human Resources department will be responsible for verifying the eligibility of dependent children during the first semester in which the child is enrolled. The enrollment of a child under the tuition remission program who is subsequently determined to be ineligible shall be construed as misappropriation of university funds and the sponsoring employee will be subject to discipline, including dismissal, and the forfeiture of any tuition remission benefits previously received.

4. Dependent children tuition remission shall include 100% of in-state undergraduate tuition, but shall exclude course fees, graduation fees, or regular student fees. Effective Fall Semester 2011, dependent tuition remission shall also exclude mandatory student fees "bundled" in tuition and any tuition differential that applies to distance education courses.

5. Effective Fall Semester 2012, total tuition remission benefits for a dependent child (regardless of the sponsoring employee's hire date) shall be limited to 144 credit hours attempted (including credit hours transferred to UofL, if any).

Note: The children of military personnel assigned to a UofL ROTC Detachment are not eligible for tuition remission.

C. Tuition Remission for Faculty Spouses.

1. Spouses of regular status full-time (100% FTE) faculty members who were hired prior to July 1, 1978 and who have had continuous, regular, full-time employment since July 1, 1978 may take three credit hours at UofL tuition-free each semester. There is no tuition remission for spouses of regular, full-time faculty who were hired on or after July 1, 1978. Eligible faculty members as of July 1, 1992, will retain this benefit as long as their employment is at least 80% FTE or above.

2. If an eligible employee becomes permanently disabled, retires, or dies, his or her spouse is still eligible for the tuition remission benefit at UofL.

ADDITIONAL CONTROLLING PROVISIONS

As adopted by the Board of Trustees June 22, 1998, UofL expressly reserves the right to alter or abolish the Tuition Remission benefit at any time in the future by action of its Board of Trustees except to the extent of prior contractual obligations for tuition remission to:

A. Emancipated children of current full-time regular status faculty or staff (at 100% FTE) employed prior to February 1, 1966 for courses at UofL counting toward their first undergraduate degree (as provided in Paragraph B.1 of this policy);

B. Dependent children of current regular status faculty or staff who were employed at 100% FTE prior to July 1, 1978, and who continue to be employed at least 80% FTE, for courses at UofL counting toward their first undergraduate degree (as provided in Paragraph B.2. of this policy); and

C. Spouses of regular status faculty members who were employed at 100% FTE prior to July 1, 1978, who have been continuously employed since July 1, 1978, and who continue to be employed at least 80% FTE, may take three credit hours tuition-free each semester (as provided in Paragraph C.1. of this policy).

Responsibilities:

The President or the Vice President for Human Resources, as the President's designee, exercises authority to interpret and implement the Tuition Remission policy.

Official University Administrative Policy

Policy Name:

Ethical Considerations

Effective Date:

May 1 1992

Policy Number:

PER 1 16

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

All employees of the University of Louisville who are members of occupations or professions having established standards of conduct shall, in addition to any obligations and responsibilities imposed by this document, be bound by all such applicable standards of conduct.

Employees of the University of Louisville have an obligation to reveal any financial conflicts of interest which might arise between performance of duties to the university and outside interests. (The Redbook, Section 2.5.8.)

Related Information:

PER-1.03, Conflict of Interest

The Redbook, Section 2.5.8

Official University Administrative Policy

Policy Name:

Information Security Responsibility

Effective Date:

July 23 2007

Policy Number:

ISO 001 v2 0

Policy Applicability:

This policy applies to all University workforce faculty and student members including but not limited to faculty staff students temps trainees volunteers and other persons as deemed appropriate while conducting performing work teaching research or study activity using University resources and includes all facilities property data and equipment owned leased and or maintained by the University or affiliates

Policy Statement:

Each member of the university community is responsible for the security and protection of information resources over which they have control. Resources to be protected include networks, devices, software, systems, and data. The physical and logical integrity of these resources must be protected against threats such as unauthorized intrusions, malicious misuse, or inadvertent compromise. Activities outsourced to off-campus entities must comply with the same security requirements as in-house activities.

Policy Reasoning:

The university recognizes the role of information security and is committed to the protection and safeguarding of the confidentiality, integrity and availability of university information resources. In conjunction with the university's Information Management and Classification Standard, this policy provides a framework for the management and responsibility of information security throughout the university.

Responsibilities:

Policy Authority/Enforcement: The University's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with University Leadership, Information Technology Services, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the university and/or action in accordance with local ordinances, state or federal laws.

Official University Administrative Policy

Policy Name:

Server Computing Devices

Effective Date:

July 23 2007

Policy Number:

ISO 013 v2 0

Policy Applicability:

This policy applies to all University workforce faculty and student members including but not limited to faculty staff students temps trainees volunteers and other persons as deemed appropriate while conducting performing work teaching research or study activity using University resources and includes all facilities property data and equipment owned leased and or maintained by the University or affiliates

Policy Statement:

The University maintains enterprise class secured data centers for the housing of university servers. All servers used to store, process or transmit sensitive information must be registered with the Information Security Office.

All server computing devices must:

• Be maintained in an environment and manner designed to physically and logically restrict access to authorized users;
• Be used in a manner designed to maintain data, system and network integrity; and
• Have operating systems and other software maintained in the most up-to-date and secure manner reasonably possible.

Responsibilities:

Policy Authority/Enforcement: The university's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with university leadership, Information Technology, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the University and/or action in accordance with local ordinances, state or federal laws.

Official University Administrative Policy

Policy Name:

User Accounts and Acceptable Use

Effective Date:

July 23 2007

Policy Number:

ISO 007 v2 1

Policy Applicability:

This policy applies to all University workforce faculty and student members including but not limited to faculty staff students temps trainees volunteers and other persons as deemed appropriate while conducting performing work teaching research or study activity using University resources and includes all facilities property data and equipment owned leased and or maintained by the University or affiliates

Policy Statement:

Persons using university resources (users) are responsible for lawful and appropriate use of computing facilities, accounts, and devices. All users must abide by the University's Information Security Policies and Standards. University business must be conducted utilizing university-authorized systems.

Computing resources are for all users. Users must respect the usage rights of others that use UofL resources.

Computing accounts and facilities must not be used in any manner which could be disruptive, degrade the performance of or cause damage to university computing infrastructure, resources, or data and/or other users. Personal use should be kept to a minimum and in no case should a university account be used for non-university business purposes.

Policy Reasoning:

University user accounts and computing facilities are provided for persons who legitimately need access to university computing resources. This includes university faculty, staff and students. Other persons may qualify for a user account and access to computing facilities on a case by case basis. Accounts and facilities must be utilized in accordance with law and University policy.

Definitions:

Administrators

Individuals with administrative responsibility University wide or for University organizational units. The University Redbook (see http://louisville.edu/provost/redbook/chap2.html#SEC2.3.1) for more information.

Faculty member

1. Individuals employed by the University as faculty or other employees who teach courses or are engaged in academic research activities for the University.
2. Visiting faculty who are conducting academic research or teaching courses on a time-limited basis from another institution for the University.
3. An individual, who is teaching courses or conducting academic research activities for the University without salary and is under the control/supervision of the University. See also the University Redbook at http://louisville.edu/provost/redbook/chap3.html.

Sensitive Information

Information of a confidential or proprietary nature and other information that would not be routinely published for unrestricted public access or where disclosure is prohibited by laws, regulations, contractual agreements or University policy. This includes (but is not limited to) full name or first initial and last name and employee ID (in combination), identifiable medical and health records, grades and other enrollment information, credit card, bank account and other personal financial information, social security numbers, grant reviews, dates of birth (when combined with name, address and/or phone numbers), user IDs when combined with a password, etc. (see Information Management and Classification Standard).

Staff

The staff of the University of Louisville shall consist of all employees of the University who do not hold faculty appointments, are not full-time students enrolled in the University, are not graduate assistants at the University, or are not administrators as defined in Section 2.3.1 of the University Redbook (see http://louisville.edu/provost/redbook/contents.html/chap5.html).

Student

1. An individual taking a course at the University whether for credit or non-credit who is enrolled for course.
2. An individual who was enrolled at the University for a specific term (e.g., fall, spring, summer semester), who has not graduated, and who is not yet enrolled for the immediately subsequent term, provided such enrollment is still permitted, and provided further, that where the individual was enrolled at the University for the spring term, the immediate subsequent term shall be the University succeeding fall term. (e.g., (1) a student enrolled in the spring term, who does not graduate at the end of the spring term, may not enroll for the summer term; but will still be a student unless the individual fails to enroll for the succeeding Fall semester, and (2) a student who has completed all other degree requirements but is completing a dissertation/thesis.).
3. An individual who is admitted to the University or an academic program of the University but has not yet commenced the program of study. An admitted student will be included in the definition of student for a period of one-year following the date of admission to the University or an academic program of the University. See the University Redbook at http://louisville.edu/provost/redbook/chap6.html for more information.

User

Includes students, faculty, staff, administrators and other employees of the University of Louisville and its affiliated entities and any other individual having a computer account, email address or utilizing the computer, network or other information technology services of the University of Louisville.

Responsibilities:

Policy Authority/Enforcement: The University's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with University Leadership, Information Technology Services, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the University and/or action in accordance with local ordinances, state or federal laws.

Official University Administrative Policy

Policy Name:

Cost Sharing

Effective Date:

July 1 2004

Policy Number:

RES 2 02

Policy Applicability:

This policy applies to the University Community administrators faculty and staff

Policy Statement:

Committed cost share requires an approved transfer of funds, from a departmental general fund program or otherwise unrestricted source, to a cost share speedtype that corresponds to a related sponsor-funded grant. The cost share speedtype must also have a budget established that agrees with the cost share commitment.

Related Information:

Deans, Directors and Department Heads

Approval/provision of an unrestricted funding source to be used for cost sharing.

Institutional Officials

The Office of Sponsored Programs Administration (OSPA) is responsible for oversight of the appropriateness of the cost share speedtype provided; establishment of new Chartfield/speedtype.

Administrative Offices

Departmental administrative office is responsible for submission of related forms and the transfer of funds.

VIOLATIONS OF THIS POLICY (IF APPLICABLE)

If cost sharing is required by the sponsoring agency but not identified/requested and approved at time of proposal, the request may be denied or the proposal administratively withdrawn resulting in loss of funding. If cost sharing is committed but not required by the sponsoring agency and is not requested and approved at time of proposal, the request may be denied by the EVPRI resulting in additional financial burden for the department.

Definitions:

The definition of cost sharing appears in Chapter 3, Section 7 of the Research Handbook.

Official University Administrative Policy

Policy Name:

Human Subjects Protection Program Policy Manual

Effective Date:

September 1 2015

Policy Number:

HSPPO 4 01

Policy Applicability:

This policy applies to University Sponsors Researchers Research Staff Research Participants and Institutional Review Board

Policy Statement:

The University of Louisville has and follows written policies and procedures setting forth the ethical standards and practices of the Human Research Protection Program.

Related Information:

See Human Subjects Protection Program Policy Manual.

Policy Reasoning:

To comply with applicable federal and state laws and regulations and the Association for the Accreditation of Human Research Protection Programs (AAHRPP) standards.

Official University Administrative Policy

Policy Name:

Responsible Conduct of Research

Effective Date:

May 23 2007

Policy Number:

RES 5 01

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

It is the policy of the University of Louisville that research carried out under its auspices is distinguished by the highest standards of integrity and ethical behavior. The University of Louisville promotes responsible conduct by practicing high standards of ethics and requiring accountability in the development, execution, performance and dissemination of research results. This policy applies to faculty, staff, students and visiting scholars conducting research under the auspices of the University, hereafter referred to as researchers.

VIOLATIONS OF THIS POLICY

Failure of covered individuals to comply with this or any other research policy of the University of Louisville will result in the application of Administrative Sanctions for Violations of the University of Louisville Research Policies.

Related Information:

References: UNC-Chapel Hill, Kansas State, University of Alaska-Anchorage, City University

Policy Reasoning:

The University of Louisville is committed to the highest standards of responsible conduct in research, including the highest standards of legal and ethical conduct in its related business practices. The continued success and strong public image of the University of Louisville is dependent upon the responsible and ethical conduct of its administrators, faculty and staff. The purpose of this policy is to articulate this commitment. It is the responsibility of the University Community to foster and nurture a culture where integrity in the conduct of research and scholarly activity is the foremost aim. In addition, all Members of the University Community are responsible to ensure that their behavior and activity is consistent with this commitment, as well as with University policies and procedures, and applicable federal, state and local laws, and regulations.

Responsibilities:

Institutional Officials

Institutional Officials will foster a work environment that stimulates and challenges the development of abilities and pursuit of personal and professional growth while maintaining the highest ethical standards and the goals of the University of Louisville. It is the responsibility of institutional officials to promote and exhibit the highest ethical conduct in the performance of their responsibilities. Administration will also provide the tools for ethical conduct by disseminating to all of its researchers a clear statement of its policies and the consequences of violating those policies. It is the responsibility of the University and its officials to provide training and maintain records of training in the responsible conduct of research. The training provided shall be of sufficient quality and frequency to allow achievement and maintenance of certification.

Deans, Directors and Department Heads

Departments and other administrative units have the responsibility to provide information regarding accepted standard of professional integrity and quality, including aspects specific to their own disciplines. Notices sent from the Office of the Executive Vice President for Research, or designee, through the Deans, Directors and Department Heads should serve as an effective reminder to all researchers.

Researchers

• Conduct of Research: Researchers are responsible to ensure that their behavior and activity is consistent with this commitment, as well as with University policies and procedures, and applicable federal, state and local laws, and regulations.
• Publication of Research Findings: Research Integrity encompasses concern for the quality of published works, recognizing and citing the accomplishments of others, careful review of manuscripts, conferring of co-authorship only to those who have made a significant contribution and the ability and willingness of all authors to publicly defend published results.
• Training and Maintenance of Certification: All researchers who are required by their funding sponsors to maintain certification in the Responsible Conduct of Research must do so. The Institution and its officials are required to provide high quality training opportunities in a timely and efficient manner in order to assist researchers in meeting this responsibility.

Official University Administrative Policy

Policy Name:

Shift Differential

Effective Date:

May 1 1992

Policy Number:

PER 3 09

Policy Applicability:

This policy applies to University Staff

Policy Statement:

All classified employees working the second or third shift shall receive a shift differential. Shift differentials will be paid only to classified employees who are scheduled to work four or more hours after 6 p.m. and before 6 a.m.

Shift differentials will be assigned according to job classifications and must be included in determining pay for overtime compensation.

Definitions:

The second shift is any shift that regularly starts on or after 2 p.m. but before 10 p.m.

The third shift shall be any shift that regularly starts between 10 p.m. and 2 a.m.

Responsibilities:

Pay for shift premium is calculated by the Payroll Office.

Official University Administrative Policy

Policy Name:

Transfers

Effective Date:

May 1 1992

Policy Number:

PER 2 06

Policy Applicability:

This policy applies to University Staff

Policy Statement:

1. Department heads may reassign regular status employees by transferring them from one position to another in the same pay grade when it is in the best interest of the university. Such transfers must be pre-approved by the Vice President of Human Resources and will be made without regard to race, sex, age, color, national origin, ethnicity, creed, religion, diversity of thought, political viewpoint, social viewpoint, disability, genetic information, sexual orientation, gender, gender identity and expression, marital status, pregnancy, or veteran status.
2. A regular status employee, who meets the minimum qualifications of an available position, may apply for a transfer from one position to another in the same pay grade.
3. A regular status employee who is transferred to another position will serve a six-month qualifying period. During this period, the employee's performance is to be appraised every 60-calendar days for a six-month period. If during this six-month period of employment the employee receives an unsatisfactory appraisal, the employee will be appraised at least once every 30 calendar days for a maximum of 90 calendar days until his or her performance has improved and is evaluated as at least satisfactory or the employee is terminated.

Definitions:

A transfer occurs when a regular status employee is moved laterally from one position to another without a change in pay grade.

Responsibilities:

The final decision for accepting or declining a particular applicant is made by the hiring supervisor/unit head and is subject to review by the Human Resources Department to assure compliance with the affirmative action requirements.

Official University Administrative Policy

Policy Name:

Unlawful Discrimination

Effective Date:

May 1 1992

Policy Number:

PER 5 02

Policy Applicability:

This policy applies to University Administrators Faculty Staff and Students

Policy Statement:

This policy is obsolete. Please see PER 1.02 Sexual Harassment and PER 1.10 Reports of Bias, Discrimination, and Harassment.

Related Information:

PER-1.02 Sexual Harassment

PER-1.10 Reports of Bias, Discrimination, and Harassment

Official University Administrative Policy

Policy Name:

Electronic Funds Transfer EFT Receipts Identified and Unclaimed

Effective Date:

June 2 2008

Policy Applicability:

This policy applies to University Employees administrators faculty and staff

Policy Statement:

1. Departments are responsible for notifying Treasury Management when they are receiving an EFT deposit for the first time and must provide the Program/SpeedType code (hereinafter referred to as "SpeedType") and Account code to post the funds. If additional deposits are expected, the SpeedType and Account code initially provided will be used for all future deposits.
2. Authorization forms provided by the payor requesting bank account information to allow payments to be sent via EFT must be completed by Treasury Management who has sole authority for releasing bank account information.
3. In addition to any Authorization form required by the payor, departments must submit to Treasury Management a completed Request Remittance to UofL Via EFT form by email TREASMGT@louisville.edu.
4. Bank account information is not to be provided without prior authorization from Treasury Management.
5. Treasury Management will provide notification to University Accounting (hereinafter referred to as "UA") for any EFT posted by the bank the previous day or as soon as posting information is received from the department and include any applicable documentation.
6. UA will post each deposit to the SpeedType and Account code previously provided. See Procedures C. 5. for additional information.
7. Inquiries should be directed to the Treasury Department at (502) 852-8200 or email (preferred) TREASMGT@louisville.edu.

Official University Administrative Policy

Policy Name:

Budget Entries and Revisions

Effective Date:

November 11 2003

Policy Number:

BFP 012

Policy Applicability:

This policy applies to Lead Fiscal Officers and Unit Business Managers with Budget Responsibility

Policy Statement:

The Office of Budget and Financial Planning, Controller's Office and Office of the Executive Vice President for Research and Innovation have the responsibility of approving the initial budget load and any subsequent changes to the budget. In order to assign and detail responsibility of these changes to the respective area that should make them, the Finance Responsibility Matrix was created. The Finance Responsibility Matrix outlines the functional areas responsible for overseeing the initial load of the budget into PeopleSoft Financials and any subsequent revisions or adjustments. For the initial load of the budget, please refer to the Reviews, Approves Budget column for the functional area responsible for each program code grouping. Similarly, refer to the Reviews, Approves, Enters column under the Subsequent Changes heading for the unit responsible for maintaining budgets throughout the year.

As indicated by the matrix, only the functional area specifically designated can make manual entries into the system. In the event that correcting entries should be required, only the responsible office specified by the matrix should make these as well.

Related Information:

Finance Responsibility Matrix - University Reports Financials/Financials - Listings or Finance Responsibility Matrix (pdf)

Policy Reasoning:

To provide accountability and direction for budget loads, entries, and revisions by program group, fund code, and entry type.

Official University Administrative Policy

Policy Name:

Centers of Excellence Budgets

Effective Date:

September 8 1992

Policy Number:

BFP 002

Policy Applicability:

This policy applies to Deans Vice Presidents Center Directors Program Directors Lead Fiscal Officers and Unit Business Managers

Policy Statement:

The Council on Postsecondary Education (CPE) award for University Centers of Excellence will be budgeted in a separately identified general fund account. These accounts will serve as cost centers for recording all direct costs relating to the CPE award. Line item budgets will be prepared for each Center of Excellence. This will be accomplished by the program director during the preparation of the University's annual operating budget.

Departmental general funds, apart from the Council on Post-Secondary Education (CPE) award, supporting the Center of Excellence will be identified by the program director during the normal budgeting process. The budget for these line items will remain in departmental accounts, although they subsequently will be consolidated with the center award funds for financial reporting to the CPE. Similarly, restricted funds including gifts, grants, and contracts that directly relate to the Center will be line item budgeted in separately identified restricted fund accounts. Consistent with budget guidelines, these restricted funds will be considered a part of the Center's overall operating budget and included as such on financial reports.

Fringe benefit costs for personnel assigned to the Center will be budgeted and expended in accordance with the University's established practices. The President will entertain requests from units to use unexpended fringe benefit budgets from the CPE award.

Adjustments to the approved budget will be made through the budget adjustment process in accordance with established University policies. Program directors may reallocate funds within the Center account as programmatically justified. Transfers between expenditure categories (i.e., movement from salaries to current expenses) are permitted. Please note, however, that program directors are required to provide written justification for significant budget transfers in the progress report to the CPE.

Funds remaining at fiscal close will be carried forward into the new fiscal year as allocated fund balances. Program directors will be required to rebudget the fund balances that are carried forward. Overdrafts on Center of Excellence accounts will be deducted from the subsequent year's budget allocation.

Responsibilities:

It will be the responsibility of the program director to prepare progress reports to the CPE and coordinate them with their dean. Reports should be forwarded through the Office of the Provost to the Office of Budget & Financial Planning (BFP). BFP will be responsible for reviewing all financial reports and coordinating the final progress report with the Council staff. The President or Provost will approve all final reports.

As part of the progress report to the CPE, special consolidated financial reporting is required. It will be the responsibility of the program director to maintain cost information, for both general and restricted funds, for use in preparing the consolidated financial reports.

Official University Administrative Policy

Policy Name:

Financial Liquidity and Reserves

Effective Date:

July 19 2018

Policy Applicability:

This policy applies to University employees administrators faculty and staff

Policy Statement:

The ability of the University to meet its short and long term financial obligations is paramount to its mission. This policy establishes a formal process to budget, measure and monitor both Liquidity and Reserves of the University.

Policy Reasoning:

The purpose of the policy is to assure that the University maintains sufficient Liquidity and Reserves to meet expected and potential Cash needs over time, react to unforeseen adverse conditions and be able to make necessary strategic investments to further the University's mission.

Definitions:

• Liquidity - the ability of the University to meet its financial obligations when due through the use of its short term assets.
• Reserves - liquid balances and investments held by the University. Unrestricted gift funds held by the Foundation and external lines of credit may also be available to supplement the aforementioned minimum reserves and liquidity amounts.
• Cash - the liquid cash component of the University's balances, which includes cash, overnight, and short-term investments, including cash on deposit with the Commonwealth of Kentucky (subject to KRS 164A.555).
• 6 Month Rolling Average - the days Cash on hand calculation for each day in a six month average on a rolling basis.

Official University Administrative Policy

Policy Name:

Payroll and Other Expense Transfers

Effective Date:

December 1 2006

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

Payroll and other expense transfers must be processed within 90 days following the date of the original expense or pay-end date. Approval of non-payroll expense transfers for posting is contingent upon submission of supporting documentation to substantiate the propriety of the transfer. Documentation for payroll expense transfers must be retained with the originating department records for audit purposes. At minimum, the documentation supplied or retained must include dates and transaction references necessary to identify the original expenses and an adequate explanation to justify the requested transfer.

Payroll and other expense transfers requested after 90 days of the original posting or pay-end date will not be posted unless approved by a Dean or a Vice President.

The Controller's Office, Grants Management, and the Office of Industry Contracts reserve the right to reject all expense transfers requested more than 90 days after the incurrence of the original expense or pay-end date. In exceptional or extenuating circumstances, approval and posting will be contingent upon the circumstances and documentation supplied to justify the need for transfer. For example, detection of errors or omissions despite evidence that transactions were promptly reviewed and program balances were regularly reconciled may provide sufficient justification for posting. Transfers of expenses from sponsored programs intended to correct an error or to remove unallowable expenses or overcharges must be identified and submitted for posting when discovered.

Policy Reasoning:

The University abides by generally accepted accounting standards when recording and reporting financial transactions. Additional fiscal restrictions and reporting requirements may apply in the stewardship of funds associated with the fulfillment of government, corporate or other external contractual obligations.

It is the University's expectation that financial transactions will be recorded promptly and accurately when incurred. Generally accepted accounting standards, and notably government cost accounting standards, promote the consistent treatment of financial transactions. Expenses are to be charged directly in total or reasonably allocated to the appropriate program or function when incurred. See Timely Posting of Transactions Policy. The transfer or reclassification of expenses previously posted is discouraged and should be prevented whenever possible.

It is the University's expectation that all payroll and other expense transfers be posted within 90 days following the date of the original expense or pay-end date. Payroll and other expense transfers should be kept to a minimum by initially charging proper program accounts in a timely and accurate manner. Federal regulations regarding cost transfers can be found in OMB Circular A-21, Section C.4.b. The University's Research Handbook, Chapter 6.2 provides similar guidance regarding expenses related to sponsored programs.

University programs and account transaction activity should be reviewed and reconciled on a monthly basis to actual transaction balances appearing on official University Reports. The purpose of these regular reviews is to confirm that transactions posted to programs and account classifications are appropriate, complete and accurate. It is the University's expectation that errors and omissions will be detected and corrected in a timely manner by the parties responsible for initiating and authorizing the original transaction posting.

Responsibilities:

Deans and Vice Presidents
Approval by the responsible Dean or Vice President is required for payroll and expense transfers submitted more than 90 days following the date of the original expense or pay-end date prior to submission to the Payroll (payroll system transfers within the current fiscal year) or the Controller's Office (all non-payroll sponsored or non-sponsored program transfers) for approval and posting to the financial system.

Administrative Offices
Departmental administrative offices are responsible for providing availability of University Reports to those responsible for the regular review and reconciliation of programs and accounts. When expense transfers are required, the departmental administrative offices responsible for the fiscal administration of a program will initiate and submit the appropriate university forms with approval signatures and supporting documentation to the Controller's Office for final review and posting.

The Controller's Office is responsible for the final review and approval of non-payroll expense transfers submitted within 90 days of the original expense and payroll transfers that cannot otherwise be processed through the payroll system. The Controller's Office is responsible for the approval of expense transfers that include charges to sponsor and other programs and are submitted more than 90 days following the original expense or pay-end date. In certain circumstances, the Controller's Office will consider recommendations from the Office of Grants Management or the Office of Industry Contracts in their final review before posting or disapproval for posting.

Payroll is responsible for processing approved payroll system transfers submitted in accordance with the current payroll system requirements. Payroll transfers related to expenses from a previous fiscal year must be posted through the Controller's Office. Transfer requests must include proper signatures and supporting documentation for consideration.

VIOLATIONS OF THIS POLICY
Payroll and expense transfers submitted more than 90 days following the original date of the expense or pay-end date that do not include the required justification and signatures for review and approval will not be processed.

Chronic, recurring submissions of untimely payroll and expense transfers may result of loss of future spending authority.

Official University Administrative Policy

Policy Name:

Petty Cash Funds

Effective Date:

March 1 2001

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

Petty cash funds are available to enable departments to make small, emergency purchases where a purchase order is not cost effective or a procurement card cannot be utilized. Other uses include the establishment of change funds for departments that collect cash receipts on behalf of the university and require change to appropriately complete the cash transactions.

Petty cash reimbursements may not be used to circumvent current university procedures. It is the responsibility of the custodian and supervisor to confirm the expenditure is an appropriate charge and is in compliance with all applicable procurement policies and procedures.

Petty cash funds should not be used to pay subjects on a research grant. Instead, departments are required to use a prepaid card. For more information see the Prepaid Gift Cards procedure.

In lieu of establishing a departmental petty cash fund, an employee may be reimbursed through the Petty Cash Voucher Form. This form may be used by individuals seeking reimbursement for small out-of-pocket expenses made on the behalf of the university. This form cannot be used for amounts in excess of $50 and must be in compliance with all applicable procurement policies.

Any individual handling university cash is responsible for proper security and accountability. Only authorized employees may handle monies for university business. Employees are required to appropriately safeguard, account for and document all cash maintained on behalf of the university. The cash should be maintained in a secured and locked device.

Related Information:

Sole Custody

Cash handling operations must be subject to periodic supervisory review and management. To minimize the potential for mistakes or misappropriation of cash, the segregation of cash handling duties is required. The duties of collecting cash, maintaining documentation, preparing deposits, and reconciling records should be separated among different individuals. In departments where the separation of duties is not feasible, strict individual accountability and thorough managerial supervision and review is required. In particular, the responsibility for reconciliation of the fund should be segregated from the other custodial duties.

Safekeeping

Departments are responsible for the safekeeping of cash. Physical security is mandatory for every employee involved in cash handling. The following general guidelines should be followed to help maintain the integrity of those areas handling cash:

• Unauthorized persons are not allowed in areas where cash is handled.
• Doors should be locked at all times in areas where cash is handled. Safe doors should be kept closed during working hours and locked at times when it is not necessary to be in and out of the safe.
• Large sums of cash should be counted and handled out of sight of the general public.
• Individuals should keep working funds to a minimum at all times. Excess funds should be in a locked device or deposited using the department's regular deposit procedure.
• Cash should NEVER be unattended. This applies to cash registers, desktops, and cash drawers.
• If an employee leaves his or her workstation for any reason, regardless of how briefly, cash must be appropriately secured in a locked location.
• For overnight storage and during other periods when cash is not being used, it must be kept in a safekeeping device, either a safe or locked container.
• Under no circumstances should an individual keep university cash with one's own personal funds, deposit university funds in a personal bank account or take university funds to one's home for safekeeping.

Operating Guidelines

Funds used for Purchases

1. Adequate (original) receipts and documentation (vendor name, date, each item identified, W-9 & Non-cash Compensation form (if applicable), etc.) must be maintained to support all transactions made from the petty cash fund.
2. Expenditures must meet the legal requirements attached to the source of university funds used to establish the cash fund. Expenditures must meet the legal requirements attached to the source of university funds used to establish the cash fund.
3. The cash fund may not be used to circumvent university policies and procedures.
4. No single payment may exceed $50 dollars except with special written authorization from the Controller.
5. The following expenditures from cash funds are prohibited:

• Printing expenses.
• Payment to an individual for services rendered.
• Insurance premium expense.
• Office supplies and paper products.
• Items stocked in the Stockroom.
• Travel and Entertainment expenses (excludes parking fees and fuel reimbursements when a rental car is used for non-overnight travel).
• Cash advances.

Funds used for Making Change

1. Cash fund may not be used to make purchases.
2. Cash fund for one-time events are to be deposited along with any proceeds from the event. Follow the instructions for closure using the Petty Cash Requisition Form and deposit the funds.
3. Cash fund ongoing operations, such as cash register fund, is to be replenished to the original balance at the end of operations and stored in a secure place in accordance with Safekeeping guidelines.

Specific cash funds for designated grants are governed by the grant and the original established guidelines of the fund.

• Cash funds may be audited (unannounced) at random times throughout the year.
• Cash funds are not to be commingled with personal funds.
• The amount of cash on hand plus unreimbursed receipts must equal the amount of the authorized fund at all times.
• If the purpose of the fund ceases to exist or the custodian decides to close the fund, follow the instructions for closure using the Petty Cash Requisition Form and deposit the funds. Receipts are to be attached to the Petty Cash Requisition Form for funds disbursed. The Controller's Office reserves the right to close a petty cash fund or reassign the custodian at any time.

Petty Cash Fund Controls

The following petty cash fund controls should be exercised by the custodian:

1. Counting funds - Funds must be counted and the amount certified monthly (as part of the reconciliation process) and whenever they are transferred from person to another.
2. Documenting disbursements and reimbursements - Written or printed receipts or "paid" invoices must be maintained to support each transfer of funds (disbursement and reimbursement).
3. Accounting for overages and shortages - A supervisor must review and certify all overages and shortages. Overages are deposited with other cash receipts and shortages are documented as reconciling items in the fund. All overages and shortages should be reported to the attention of the Controller's Office, who can also help with instructions on reimbursing shortages.
4. Limiting access to funds - Access to petty cash funds must be limited to the person responsible for the fund. Two or more persons may not work from one fund.

Duties of Petty Cash Custodian

Each cash fund established is specifically assigned to one individual who is designated as the fund custodian. Only full-time or 80% employees are eligible to be custodians. This individual should have exclusive access to and control of the fund. In carrying out the duties assigned, it is the custodian's responsibility to understand and follow the procedures below:

1. Cash funds must be properly safeguarded. The custodian is responsible at all times for the appropriate and adequate safekeeping of these funds. The money should be kept in a secured and locked location and should not be commingled with an individual's personal funds or any other university funds. Only the custodian should have access to the keys or safe combination.
2. The custodian is responsible for keeping accurate records of the fund. Periodically, as monies are disbursed from the fund, a Petty Cash Requisition Form must be completed. This form identifies the amount disbursed, the name and signatory of the individual who received the money, the purpose, the date, and custodial approval.
3. Once a purchase has been completed, the individual must submit the original sales receipt to the custodian for reimbursement. The receipts should be maintained in a safekeeping area for proper accountability of the funds. Please note the sales receipt should always include the vendor's name. Adding machine tapes and scrap pieces of paper will NOT be accepted as proper documentation.
4. Custodians are required to maintain appropriate records and verify the cash fund on a daily, weekly, or monthly basis, depending upon the amount of activity involved and the dollar amount of the fund. The Petty Cash Reconciliation Log offers the recommended format for performing the reconciliation.
5. The petty cash fund is subject to audits, at all times, by the Controller's Office, Audit Services, External Auditors and State Auditors.
6. The custodian is responsible for the cash fund until all of the funds and/or receipts have been submitted to the Controller's Office and the fund is closed or turned over to a new custodian.
7. To transfer custodial responsibility on a departmental cash fund, the department should contact the Controller's Office before the change in custodian.
8. Controller's Office will periodically verify balances identified as petty cash funds in the general ledger against records and actual assets.

Overages and Shortages

Both overages and shortages should be noted and tracked by the custodian and be reviewed and certified by a departmental supervisor. Significant amounts should be immediately reported to the Department Head, the Controller's Office and Public Safety. Custodians are prohibited from making petty cash funds balance by covering shortages from personal funds or withdrawing excess petty cash funds to balance the reconciliation process.

When a shortage is found, the custodian should add that amount to the next Request for Replenishment with the description of "Cash Shortage". This will allow the petty cash fund to be brought to the correct level of funds and will cause the Controller's Office to record an expense to the program in the amount of the loss. The Controller's Office will monitor these requests and may take action to dissolve the petty cash fund if necessary.

Confirmation and Reconciliation of Cash Funds

Cash funds are to be made available at any time the Controller's Office, Audit Services, External Auditors or State Auditors desires to audit funds and reports. These audits may be unannounced.

Policy Reasoning:

The Petty Cash Fund policy was created to provide guidelines for the appropriate establishment, use, and accountability of such funds. The Controller's Office established associated procedures to encourage an effective administration and internal control of cash handling operations throughout the university.

Applicability

This policy is applicable to every university department, administrative office, and affiliated/related organizations involved in handling university cash. Employees with any type of cash handling function are expected to be familiar with the requirements of this policy.

Responsibilities:

The University of Louisville has delegated the authority and responsibility for establishing policies and procedures for all cash handling activities to the Controller's Office. In carrying out this duty, the Controller's Office is responsible for:

1. Establishing and enforcing policies and procedures governing the receipt, handling, custody, and disbursement of funds.
2. Requiring the establishment and maintenance of records accounting for funds received and paid by the university.
3. Performing periodic audits of departments with cash handling operations.
4. Establishing and authorizing banking accounts to be used for university funds.

Establishing and authorizing procedures for granting, maintaining, and determining departmental petty cash needs.

Official University Administrative Policy

Policy Name:

Taxation of Professional Exam Fees

Effective Date:

June 20 2014

Policy Applicability:

This policy applies to all University Employees administrators faculty and staff

Policy Statement:

In accordance with IRS rules and regulations, professional examination fees or any other costs paid on behalf of employees leading to a new license, certification, or skill are reportable as taxable fringe benefits to employees.

Related Information:

If a payment or reimbursement relates to maintaining an employee's existing license, certification, or skill, then the payment can be treated as a working condition fringe benefit under Internal Revenue Code (IRC) § 132(d) and thus excluded from an employee's taxable income. Examples of working condition fringe benefits include:

• Fees relating to medical, attorney, or Certified Public Accountant (CPA) license renewals.
• Professional society dues relating to the employee's current job duties.
• Fees for continuing education courses that enhance an existing skill or job duty.
• Certain periodic exam fees necessary to renew or maintain an existing certification, license, or skill.

Payments or reimbursements made to acquire a new license, certification, or skill are taxable to the employee. Examples include:

• Exam fees or any other fees paid to acquire an initial medical license or initial certification in a specialized area of medicine.
• CPA exam fees or amounts paid for an initial CPA license.
• Bar exam fees and incidental expenses in securing initial admission to the bar.
• Fees paid for professional examination review courses.

The examples above are not all-inclusive. Additional examples and guidance can be found in Treasury regulation § 1.162-5 and IRS Publications 529 and 970.

Policy Reasoning:

The purpose of this policy is to inform University departments of the potential tax issues surrounding the payment of exam fees or other professional certification expenditures made on behalf of employees.

From time to time, departments request payments for professional exam fees or other costs relating to professional certification or licensure on behalf of their employees. Such payments are made at the discretion of each department and are provided as either a reimbursement to the employee or are paid directly to the certifying body itself through either a Request for Disbursement or using a departmental procurement card.

While the nature and purpose of these fees can vary, the Internal Revenue Service (IRS) usually treats such payments as fringe benefits subject to taxation. It is a common misconception that payments for expenses relating to professional certifications can be provided to an employee free of tax if the department requires the employee to seek the certification or if the department is somehow benefited by it. According to the IRS, however, employer motivation is not the primary test in determining whether or not a taxable benefit has ultimately been provided to an employee.

Responsibilities:

Department - Identify expense subject to withholding and notify Payroll Services.

Payroll Services - Withhold on taxable fringe benefits.

Tax Department - Examine documentation of any taxable fringe benefit exclusion claims and determine if exclusion is appropriate.

Official University Administrative Policy

Policy Name:

Bid Protest

Policy Number:

PUR 25 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

Any actual or prospective bidder, offeror, or contractor who is aggrieved in connection with the solicitation or selection for award of a contract by the University of Louisville, may file a protest with the VP for Finance and Chief Financial Officer and/or designee within two calendar weeks after such aggrieved person knew or should have known the facts giving rise thereto.

Related Information:

An up to date posting of current awards can be found at Awarded Bids and Requests for Proposals.

Policy Reasoning:

KRS 45A.285; KRS 164A.555 to 164A.630

Responsibilities:

Bidder may file Protest via Certified Mail with the VP for Finance and Chief Financial Officer and/or designee within two calendar weeks after such aggrieved person knows or should have known the facts giving rise thereto. All protests must be in writing and must use the phrase "Bid Protest" in the letter. The VP for Finance and Chief Financial Officer and/or designee shall review all facts presented and render a determination in writing promptly to the aggrieved person.

The aggrieved person may appeal the determination in writing via Certified Mail within four calendar days to the VP for Finance and Chief Financial Officer who shall promptly issue a ruling in writing. A copy of such appeal must also be sent via certified mail to the VP for Finance and Chief Financial Officer and/or designee. The ruling of the VP for Finance and Chief Financial Officer shall be the final action on behalf of the University. Copies of the bid protest procedure are available on request from the University of Louisville, Department of Procurement Services.

Official University Administrative Policy

Policy Name:

Green Purchasing

Policy Number:

PUR 20 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The University of Louisville is committed to the stewardship of the environment and to reducing the University's dependence on non-renewable energy. These Green Purchasing policies and procedures support the University's commitment to sustainability.

Related Information:

http://louisville.edu/sustainability/operations/green-purchasing/#uofl-green-purchasing-policies

Policy Reasoning:

The goal of this policy is to reduce the adverse environmental impact of our purchasing decisions by buying goods and services from manufacturers and vendors who share our commitment to the environment. Green purchasing is the method wherein environmental and social considerations are taken with equal weight to the price, availability and performance criteria that colleges and universities use to make purchasing decisions.

Green Purchasing is also known as "environmentally preferred purchasing (EPP), green procurement, affirmative procurement, eco-procurement, and environmentally responsible purchasing." Green Purchasing minimizes negative environmental and social effects through the use of environmentally friendly products.

Green Purchasing attempts to identify and reduce environmental impact and to maximize resource efficiency.

Definitions:

Green Purchasing is the method wherein environmental and social considerations are taken with equal weight to the price, availability and performance criteria that colleges and universities use to make purchasing decisions. Green Purchasing is also known as "environmentally preferred purchasing (EPP), green procurement, affirmative procurement, eco-procurement, and environmentally responsible purchasing."

Official University Administrative Policy

Policy Name:

Damaged Goods in Transit

Policy Number:

PUR 29 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

Damaged Goods in Transit should be reported to the Department of Procurement Services immediately so they may notify vendors, request inspections, or file freight claims on a timely basis.

Policy Reasoning:

Documentation of items and timely recording of claim.

Official University Administrative Policy

Policy Name:

Personal Service Contract

Policy Number:

PUR 11 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

It is the policy of the University of Louisville to establish personal service contracts for professional services in accordance with the provisions of KRS 45A.690 - 45A.695. Examples of services that must be provided through a personal service contract include but are not limited to consultants, doctors, employee search firms, nurses, lawyers, engineers and architects.

Commodities, equipment and non-professional services are not to be procured via a personal service contract.

Related Information:

KRS 45A.095

Government Contract Review Committee of the Legislative Research Commission Policy 99-4

Personal Service Contracts

Policy Reasoning:

Compliance with KRS 45A.690 - 45A.695

Definitions:

Personal service contract is an agreement whereby an individual, firm, partnership, or corporation is to perform certain services requiring professional skill or professional judgment for a specified period of time at a price agreed upon.

Committee means the Government Contract Review Committee of the Legislative Research Commission.

Contracting body means one of the following: University of Louisville, University of Louisville Athletic Association, or University of Louisville Research Foundation which must be specifically identified on each contract.

Governmental emergency means an unforeseen event or set of circumstances that creates an emergency condition as determined by the committee by promulgation of an administrative regulation.

Personal Service Contract: A written agreement whereby an individual, firm, partnership, or corporation is to perform certain services requiring professional skill or professional judgment for an agreed upon price for a specific period of time. The agreement is for a specialized service not available through a routine service provider. The contractor requires a specialized knowledge in a particular field and often requires originality, creativity, and decision-making abilities. The agreement is intellectual and professional in nature and is signed by both parties.

Sub-award: An agreement written under the authority of and consistent with the terms of the Prime Award (grant, contract, or cooperative agreement) that transfers a portion of the research or substantive effort to another organization when such expertise is not available within the primary awardee's institution.

Responsibilities:

Procurement Services is responsible for processing of all Personal Services Contracts.

The Office of Sponsored Programs Administration (SPA), Clinical Contracts Division (CCD) and Office of Industry Engagement (OIE), are responsible for sub-awards, which are not personal service contracts, including the preparation, signing and non-fiscal management of sub-awards issued by the University. Additional information can be obtained by contacting management at 502-852-3788 (SPA), at 502-852-8359 (CCD), or at 502-852-7253 (OIE).

Official University Administrative Policy

Policy Name:

Establishing Bank Accounts

Effective Date:

December 10 1997

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

No bank account which in any way purports to be, or appears associated with the University or any affiliated corporation can be established or maintained without prior authorization of the Controller's Office. Prior authorization must come from either the Controller/Treasurer or the Assistant Treasurer; and must be in writing. Use of the University or affiliated corporation's taxpayer identification number for opening or identifying any bank account not authorized by the Controller's Office is prohibited.

Policy Reasoning:

Pursuant to Kentucky Revised Statute 41.070, all State agencies must receive prior approval to open a bank account from the Commonwealth of Kentucky, Office of the Comptroller, Finance & Administration Cabinet. Thus, opening of a bank account in the University of Louisville's name, including any and all acronyms, and/or the use of the University or its affiliated corporation's taxpayer identification number without the expressed permission from the UofL Controller's Office violates the aforementioned state statute.

Official University Administrative Policy

Policy Name:

Procurement and Record Keeping of Tax Free Alcohol

Policy Number:

PUR 34 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The University has obtained an Industrial Use Permit from the Department of the Treasury, Bureau of Alcohol, Tobacco, and Firearms to order Tax-Free Alcohol for the purposes of instructional research and patient care.

Related Information:

The department determines the need to use pure grain alcohol and sends a written request to Procurement Services to establish a storage area. Request must contain such information as exact location, type of cabinet and lock, capacity and name of person who will be custodian.

Policy Reasoning:

The University Stockroom distributes and uses the Tax-Free Alcohol in accordance with the Code of Federal Regulations, Title 27, Part 213, "Distribution and Use of Tax-Free Alcohol."

Responsibilities:

The department is responsible for keeping daily record of receipts and usages.

Official University Administrative Policy

Policy Name:

Recording Returns of Duplicate Incorrect or Defective Goods

Policy Number:

PUR 28 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

Returns to vendors shall be entered into PeopleSoft for any duplicate shipments, or incorrect or defective goods that are delivered to them.

Policy Reasoning:

Assure and document of error in shipment or defective merchandise.

Responsibilities:

Departments are responsible for processing a Return to Vendor in PeopleSoft for any duplicate shipments, or incorrect or defective goods that are delivered to them.

Official University Administrative Policy

Policy Name:

Supplier Code of Conduct

Policy Number:

PUR 17 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The University of Louisville is committed to conducting its contract administration and procurement business in an ethical, legal, and socially responsible manner. The University expects its suppliers to share in this commitment and; therefore, has established a Supplier Code of Conduct. All University suppliers must meet the minimum requirements in order to do business with the University.

Related Information:

Labor Practices

All suppliers to the University of Louisville are expected to adopt sound labor practices and treat their workers fairly in accordance with local laws and regulations. In addition, suppliers must comply with the following standards:

• Fair Trade Practices - Suppliers shall not engage in collusive bidding, price fixing, price discrimination or other unfair trade practices in violation of antitrust laws.
• Bribery, Kickbacks and Fraud - No funds or assets of the supplier shall be paid, loaned, or otherwise disbursed as bribes, "kickbacks," or other payments designed to influence or compromise the conduct of the University.
• Foreign Corrupt Practices Act - While laws and customs vary throughout the world, all suppliers must comply with foreign legal requirements and United States laws that apply to foreign operations, including the Foreign Corrupt Practices Act. The Foreign Corrupt Practices Act generally makes it unlawful to give anything of value to foreign government officials, foreign political parties, party officials, or candidates for public office for the purposes of obtaining or retaining business.
• University Policies and Procedures - Suppliers must comply with the University's published policies and procedures, including, but not limited to, the University's Conflict of Interest and Procurement Code of Ethics policies.
• Intellectual Property Rights - Suppliers shall respect the intellectual property rights of others, especially the University, its affiliates and business partners. Suppliers shall take appropriate steps to safeguard and maintain confidential and proprietary information of the University and shall use such information only for the purposes specified for use by the University. Suppliers shall observe and respect all University patents, trademarks and copyrights and comply with all requirements as to their use as established by the University. Suppliers shall not transmit confidential or proprietary information of the University via the internet unless such information is encrypted in accordance with minimum standards established by the University.

Export Sanctions and Terrorism Activities

All suppliers to the University of Louisville must abide by all economic sanctions or trade embargoes that the United States has adopted, whether they apply to foreign countries, political organizations or particular foreign individuals and entities. Suppliers should not directly or indirectly engage in or support any terrorist activity. Neither suppliers nor any of their affiliates, nor any officer or director of the supplier or any of its affiliates, should be included on any lists of terrorists or terrorist organizations compiled by the United States government or any other national or international body, including but not limited to: (i) the U.S. Treasury Department's Specially Designated Nationals List, (ii) the U.S. State Department's Terrorist Exclusion List, (iii) the United Nations List Pursuant to Security Council Resolution 1390 (2002) and Paragraphs 4(B) or Resolution 1267(1999) and 8(C) of Resolution 1333 (2000), and (iv) the European Union List Implementing Article (2)(3) of Regulation (EC) No. 2580/2001 on Specific Restrictive Measures Directed Against Certain Persons and Entities with a View to Combating Terrorism.

Unauthorized Solicitations

All suppliers to the University of Louisville must comply with all guidelines issued by the University relating to access to University facilities, offices and departments, and employees. No Supplier shall use the University's computer system, including its electronic mail system and internet site, for the purpose of sending unsolicited electronic mail messages to the University community. Suppliers are not permitted to use the University's mail system for unauthorized solicitation to employees. Suppliers must receive prior written authorization from the University's Contract Administration and Procurement Services Office to hold on-campus trade shows, exhibits, or product demonstrations.

Monitoring and Compliance

All suppliers to the University of Louisville must conduct periodic audits and inspections to ensure their compliance with this University Supplier Code of Conduct and applicable legal requirements. If a supplier identifies areas of non-compliance, the supplier agrees to notify the Contract Administration and Procurement Services Office as to its plans to remedy any such non-compliance.

The University or its representatives may engage in monitoring activities to confirm Supplier's compliance to this Supplier Code of Conduct, including on-site inspections of facilities, use of questionnaires, review of publicly available information, or other measures necessary to assess supplier's performance. Any University supplier or University employee that becomes aware of violations of this policy is obligated to notify the Contract Administration and Procurement Services Office. Based on the assessment of information made available to the University, the University of Louisville reserves the right (in addition to all other legal and contractual rights) to disqualify any potential supplier or terminate any relationship with any current supplier found to be in violation of this Supplier Code of Conduct without liability to the University.

Environmental Practices

All suppliers to the University of Louisville shall comply with all environmental laws and regulations applicable to their operations worldwide. Such compliance shall include but not be limited to, among other things, the following items:

• Obtaining and maintaining environmental permits and timely filing of required reports.
• Proper handling and disposition of hazardous materials.
• Monitoring, controlling and treating discharges generated from operations.

Occupational Health and Safety Practices

All suppliers to the University of Louisville are expected to provide their employees with a safe and healthy working environment in order to prevent accidents and injury to health arising out of, linked with, or occurring in the course of work or as a result of the operation of the supplier. Suppliers shall, among other things, provide:

• Occupational health and safety training.
• A system for injury and illness reporting.
• Medical treatment and/or compensation to injured/ill workers arising as a result of working for supplier.
• Machine safeguarding and other protective measures to prevent injuries/illnesses to workers.
• Clean and safe facilities.

Related Links:

Purchasing Policies

University's Conflict of Interest

Code of Ethics in Purchasing

Procurement and Contract Authority

University of Louisville Purchase Order Terms and Conditions

No Idling Policy

Policy Reasoning:

Compliance with Laws, Regulations and Published Standards

All suppliers to the University of Louisville must comply with all applicable laws, codes or regulations of the countries, state, and localities in which they operate. This includes, but is not limited to, laws and regulations relating to environmental, occupational health and safety, and labor practices. In addition, University suppliers must require their suppliers (including temporary labor agencies) to do the same. Firms should be registered and authorized to do business in the Commonwealth of Kentucky by registering with the Kentucky Secretary of State.

Official University Administrative Policy

Policy Name:

Vehicle Use

Effective Date:

2005

Policy Number:

RISK P 100

Policy Applicability:

This policy applies to the University Community administrators faculty staff students and volunteers

Policy Statement:

When driving, renting, leasing a university vehicle for university business the following policy will provide necessary information related to appropriate usage of the vehicle and the appropriate behaviors that accompany this privilege.

University vehicles or Long-term Leased Vehicles

To ensure appropriate insurance coverage is obtained for the vehicle, it is essential that departments contact Enterprise Risk and Insurance when a vehicle is purchased or leased on a long-term basis with the following information: year, make, and model of vehicle; date of acquisition; amount paid or value of vehicle; vehicle identification number (VIN); license number; and if leased, the leasing agent. When a vehicle is transferred to another department, transferred to surplus property, sold, or returned to the leasing agent, the department should notify Enterprise Risk.

Short-term Rental Vehicle

If departments or university organizations find it necessary to rent vehicles on a short-term basis from a rental agency, the vehicle should be rented in the name of the university. The rental agency may require the driver's name to be on the form, if this is the case, then write "University of Louisville / (driver's name)." Also, list the University of Louisville's Enterprise Risk and Insurance office address: 215 Central Avenue, Suite 205, Louisville, KY 40208, not your home address, on the contract.

The university carries automobile insurance coverage for the vehicle and the employee. Therefore, it is not necessary to purchase insurance offered by the rental agency. The insurance coverage provided by the university is only available on vehicles rented or leased in the university's name (as described above) and for approved university functions/business. When renting a vehicle for a short-term, a university automobile insurance identification card should be in the driver's possession. A copy of the current insurance card can be obtained via the Enterprise Risk and Insurance website or by contacting Enterprise Risk at 502-852-6926 or rskmgt@louisville.edu.

For procedures on how to rent a vehicle in the name of the university, please refer to Purchasing Policy 36.00 Vehicle Rental.

15 Passenger Vans

Please review the 15 passenger van guidelines prior to renting a 15 passenger van. Any questions, please contact Enterprise Risk at 502-852-6926 or rskmgt@louisville.edu.

Personal Vehicles Used for University Business

When an employee is using their personal auto for official university business, the employee's auto insurance is primary. The university's auto insurance would be excess only for liability. Physical damage to an employee's auto while driven on official university business, is not covered by the university's auto insurance. The university does not pay any out-of-pocket expenses for physical damage or any portion of an employee's deductible.

In general, when employees are traveling to an event, they should depart from their place of work. If the employee begins their travel from their home, the travel could be considered normal travel to and from work, which is excluded from the university's insurance coverage. There could be exceptions to this example: If the travel is directly to the event and is required by the university as part of the employee's employment. If you have any questions or need clarification, please contact Enterprise Risk at rskmgt@louisville.edu.

International Vehicle Use

If departments or university organizations find it necessary to rent vehicles for approved university functions/business on a short-term basis from a rental agency in a country other than the United States, the vehicle should be rented in the name of the university. The rental agency may require the driver's name to be on the form, if this is the case, then write "University of Louisville / (driver's name)."

Because of differences in insurance requirements in other countries, departments should purchase the insurance provided by the rental agency when renting a vehicle in a country other than the United States.

Driving in Mexico and Canada

When taking a university-owned vehicle into Mexico or Canada, a copy of the vehicle registration should always be kept in the vehicle. Please contact Inventory Control to obtain a copy of the vehicle registration.

Vehicles Used on Field Trips

For any field trip driver that has not had a Motor Vehicle Record (MVR) check done by the university within the past twelve (12) months, Enterprise Risk and Insurance should be contacted at least five (5) working days prior to the field trip to have an MVR check completed for all drivers. If a vehicle designed to transport sixteen (16) or more passengers is used, a Commercial Driver's License is required, see details below.

Automobile Insurance Identification Cards

A University automobile insurance identification card, which indicates proof of insurance, must be kept in the glove compartment of all university owned or long-term leased vehicles. If renting a vehicle for a short-term, a university automobile insurance identification card should be in the driver's possession. A copy of the current insurance card can be obtained at the Enterprise Risk and Insurance website or by contacting Enterprise Risk.

DRIVER REQUIREMENTS

General Standards

University employees, students and volunteers may be authorized to operate university vehicles for the purpose of conducting university business, provided they are at least 18 years old, have an appropriate and valid U.S. driver's license for the vehicle being driven, have reasonable experience driving the type of vehicle being used, and could reasonably be expected to operate the vehicle in a safe and prudent manner. Compliance with Kentucky law and the university's vehicle use policy are required for any driver to be allowed to use a university vehicle. Individual departments may impose additional standards, restrictions, or driver education or training requirements. This vehicle use policy is in addition to any requirements, standards, operating restrictions, or suspensions imposed by law. Drivers are to have in their possession a valid driver's license at all times. No one with a learners permit my drive a university vehicle or on university business.

Motor Vehicle Records Checks

Departments are required to submit a list of drivers with license information to Enterprise Risk and Insurance annually for those drivers who will have routine access to departmental vehicles or may drive their personal vehicles on university business. Enterprise Risk will have the university's insurance provider conduct an MVR check and Enterprise Risk will notify the department if someone is not insurable based on the Driver's Guidelines listed below. To add employees to their approved driver list, departments should have the driver complete the University Driver Form to Enterprise Risk for processing, review, and approval prior to allowing the employee to drive for University business.

Driver's Eligibility Guidelines

The following guidelines will be used to determine a driver's eligibility under the university's auto insurance policy. Drivers will not be eligible to drive for University business if:

Eligibility Matrix

Number of At-Fault Accidents

Number of minor violations

0

1

2

3

0

Clear

Acceptable

Borderline

Unacceptable

1

Acceptable

Borderline

Unacceptable

Unacceptable

2

Borderline

Unacceptable

Unacceptable

Unacceptable

3 or more

Unacceptable

Unacceptable

Unacceptable

Unacceptable

Any major violations

Unacceptable

Unacceptable

Unacceptable

Unacceptable

Major violations (within the last five (5) years of violation date) include:

• A violation in connection with a fatal accident.
• Any felony involving the use of an automobile.
• Driving under a suspended, revoked, or expired license.
• Driving under the influence of drugs or alcohol and/or the refusal to take a blood/breath test.
• Fleeing or attempting to elude the police; failure to stop and report an accident in which the driver was involved.
• Negligent vehicular homicide.
• Operating a motor vehicle without the owner's permission.
• Permitting an unlicensed person to drive.
• Reckless, negligent, careless driving or racing.
• Speeding in excess of 20 mph over the speed limit.

The following are not considered as a violation:

• Defective equipment (lights, brakes, etc.).
• Oversize or overweight.
• Seatbelt violations.

Borderline drivers include "borderline" situations as noted in the above chart and the following:

• Past suspensions with reinstatements shown on the MVR.
• Drivers 18-21 with one or more violations/accidents within the last three years.

If a university employee, student, or volunteer loses their license and they drive a university vehicle, rent vehicles for university business, or drive their vehicle on university business, they must notify their department supervisor and Enterprise Risk immediately.

Drivers from Other Countries

Drivers from other countries can only be approved to drive university-owned, leased, or rented vehicles if they have a valid US driver's license or a valid International Driver's License. This permit or license must always be carried when driving a university-owned, leased or rented vehicle.

Commercial Driver's License (CDL)

All drivers who are using a commercial motor vehicle are required to possess a current valid commercial driver's license (CDL). A CDL is required for:

• Any combination of vehicles with a gross vehicle weight rating of 26,001 pounds or more, if the gross vehicle weight rating of the vehicle being towed is more than 10,000 pounds;
• A vehicle with gross vehicle weight rating of 26,001 or more pounds;
• A vehicle that is designed to transport sixteen (16) or more passengers, including the driver; or
• A vehicle used in the transportation of hazardous materials which requires the vehicle to be placarded under Title 49, code of Federal Regulations, Part 172.500, sub-part F, as adopted by administrative regulations of the cabinet, pursuant to KRS Chapter 13A.

SAFETY ISSUES

Alcohol and Drug Use

No alcoholic beverages, prescription drugs that could impair someone's driving ability, illegal drugs, or controlled substances are to be used or consumed by the driver and/or passenger(s) of a University-owned, lease, or rented vehicles, including personal vehicles while being used on university business.

Seat Belt Use

Use of seat belts is required for all persons occupying the vehicle. It is the driver's responsibility to ensure that all persons are properly secured before the vehicle is put in motion.

Smoking

Smoking is not permitted in university-owned, leased, or rented vehicles.

Firearms

Other than those carried by university police, firearms are not permitted in any university-owned, leased, or rented vehicles.

Hazardous Materials

Hazardous materials should not be transported in University-owned, leased, or rented vehicles unless approved by the Department of Environmental Health and Safety.

Traffic Laws

The driver is required to obey all state and federal traffic laws pertaining to the safe operation of a vehicle. The drive is personally liable for any fines, traffic or parking violations received.

Driver Training

Drivers may be required to view a driver safety video.

VEHICLE MAINTENANCE

All university-owned vehicles are required to have an annual (semi-annual preferred) maintenance and safety inspection. The fluids, tire pressure, lights, and windshield wipers should be inspected at least weekly. Drivers should report any vehicle malfunctions to their supervisor immediately for corrective action.

BACK-UP ALARMS

All university-owned vehicles should be equipped with back-up alarms, including sedans. Departments that use vehicles for delivery purposes and vehicles that are used around campus must have the alarms installed.

Related Information:

Auto Claims Procedure

Policy Reasoning:

Provide the university community with a permissible usage of university owned, rented, or leased vehicles.

Definitions:

Motor Vehicle Record (MVR) check: is a report of your driving history, as reported from your state Department of Motor Vehicles. Information on this report may include Driver's License information, point history, violations, convictions, and license status on your driving record.

Field trip - is an activity organized by a university department for an approved university related purpose that requires use of a vehicle to provide group transportation to and/or from the field trip location.

Responsibilities:

University departments with university vehicles or department that rent or lease vehicles for university business.

Official University Administrative Policy

Policy Name:

No Idling

Effective Date:

November 22 2010

Policy Number:

PARK003

Policy Applicability:

This policy applies to all vehicles owned by the University of Louisville or its affiliates or operated by any employee or contractor of the university during the course of their job duties at the university

Policy Statement:

All vehicles should be turned off when not in use or when the driver leaves the vehicle for any length of time. Equipment should not be left idling more than 1 minute and should be turned off unless doing so would hurt its operation.

Related Information:

Exceptions:

• Vehicles at job sites requiring the use of emergency lights or other powered accessories to accomplish their assignment.
• Department of Public Safety vehicles are exempted during emergency and training situations.
• Inclement weather situations where the supervisor authorizes the use of the vehicle/equipment heater-defroster for the work crew's comfort when the temperature is below freezing or over 90 degrees. In these situations, vehicle may idle for 5 minutes for heating/cooling. At no time should the vehicle be left unattended.

Policy Reasoning:

Unnecessary idling poses a risk to people in the vicinity and to the environment. Engine emissions are increasingly connected to a wide variety of health complaints. Automobile exhaust leads to tropospheric ozone formation and other forms of air pollution. It also releases greenhouse gases to the atmosphere, a major contributor to global climate change. No-idling is a simple and cost-effective way to reduce emissions and protect health.

Vehicles idling get zero miles per gallon. Unnecessary idling wastes fuel and pollutes. Running an engine at a low speed also causes more wear and tear on the vehicle. Studies have shown that the break-even point of turning an engine off and restarting it as compared to leaving it on to idle is 30 seconds.

Responsibilities:

Drivers of vehicles should turn off their vehicles as soon as possible to reduce idling and harmful emissions. Vehicles should be turned off when unloading passengers or goods. Buses should not idle while waiting for students during field trips, athletic events or other events using buses. Engines of service vehicles should be turned off while making deliveries. Vehicles should be turned off while waiting at train crossings.

Where appropriate, signage shall be used to inform drivers of the no-idling policy.

Official University Administrative Policy

Policy Name:

Intellectual Property Policy

Effective Date:

July 23 2007

Policy Number:

ISO 003 v2 0

Policy Applicability:

This policy applies to all persons while conducting performing work teaching research or study activity or otherwise using university resources Scope Applicability also includes all facilities property data and equipment owned leased and or maintained by the University or affiliates

Policy Statement:

The University of Louisville respects the intellectual property rights of others and expects the same of the user community. Users must abide by applicable intellectual property laws and/or regulations, including but not exclusive to those pertaining to text, graphics, art, photographs, music, software, movies and games. Users must refrain from actions or access which would violate the terms of licensing and nondisclosure agreements.

Policy Reasoning:

To inform members of the University community of responsibilities related to intellectual property.

Responsibilities:

Policy Authority/Enforcement: The University's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with University Leadership, Information Technology Services, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the University and/or action in accordance with local ordinances, state or federal laws.

Official University Administrative Policy

Policy Name:

De Minimis Gifts

Effective Date:

September 5 2007

Policy Number:

FIN 1 8340

Policy Applicability:

This policy applies to University Employees administrators faculty and staff

Policy Statement:

Gifts provided by the University to employees are treated as taxable wages. Certain de minimis gifts or benefits may be provided free of tax.

Related Information:

Internal Revenue Code Sec. 132(a)(4)
IRS Publication 15-B
IRS ILM 200108042

Policy Reasoning:

The University must comply with Internal Revenue Service (IRS) withholding rules when compensating employees.

Definitions:

In general, a de minimis benefit is one for which, considering its value and the frequency with which it is provided, is so small as to make accounting for it unreasonable or impractical. This would include such items as:

• Occasional employee use of photocopier.
• Occasional snacks, coffee, doughnuts, etc.
• Occasional tickets for entertainment events.
• Holiday gifts, Gifts of Appreciation.
• Flowers, fruit, etc., provided under special circumstances.

In determining whether a benefit is de minimis, you should always consider its frequency and its value. An essential element of a de minimis benefit is that it is occasional or unusual in frequency. It also must not be a form of disguised compensation. The IRS has ruled that non-cash items (tangible gifts) with a value of $100 could not be considered de minimis and would need to be reported on a W-2 or 1099-Misc. form. In cases where an employee is presented with any form of cash payment as a reward/award, the payment should be made via the Payroll process.

Responsibilities:

Departments are encouraged to work with the Controller's Office when planning these transactions to ensure that they are handled in an appropriate manner. Blanket approval for recurring awards may be given.

Official University Administrative Policy

Policy Name:

Regular and Substantive Interaction in Online Courses

Effective Date:

July 1 2020

Policy Applicability:

This policy applies to University of Louisville employees and units developing offering and engaging in online programs courses and activities including courses marked Online Synchronous OS Online Asynchronous OA or other comparable designation The University of Louisville offers online courses which fall under the U S Department of Education s definition of distance education and this policy applies to all courses that are subject to the federal requirements for distance education

Policy Statement:

The University of Louisville (University or UofL) is committed to complying with all requirements regarding the operation of online education within states and U.S. territories. This policy addresses the Department of Education regulations concerning the regular and substantive interaction requirements for online courses. University online courses must be designed to facilitate regular and substantive interaction between instructors and students. The University requires instructors teaching online courses to have regular and substantive interaction with the students enrolled in those courses.

Training and Resources

The Delphi Center for Teaching and Learning will provide instructional design services and informational documents to assist instructors with course design.

Instructors teaching an online course will be sent a notice on annual basis to remind them of this policy and its requirements. Abiding by this policy is considered a condition of work for instructors teaching online courses.

Compliance

Units and employees are expected to comply with this policy when engaging in online courses/programs. Failure to comply could result in disciplinary action of employees, suspension of online courses, and/or financial loss of courses found in violation of this policy. Federal regulations related to online learning were used to guide this policy and any violation of this policy will be taken seriously.

Institutions failing to comply with regular and substantive interaction requirements could potentially lose eligibility for Title IV funds and could be required to return financial aid disbursed for courses found in violation.

Individuals should report violations of this policy to appropriate University leadership, including but not limited to, the Delphi Center for Teaching and Learning at deregs@louisville.edu, the University Integrity and Compliance at compliance@louisville.edu, or the University's Compliance and Ethics Hotline.

Related Information:

Higher Education Opportunity Act, Pub.L. 110-315, 122 Stat. 3078, codified as amended at 34 C.F.R. §600.2.

Academic Calendar and Awarding of Course Credit Hours Policy - see policy for more information related to regular and substantive interaction in online education

Policy Reasoning:

Per federal law, institutions must ensure that the online courses for which students use federal financial aid have "regular and substantive interaction between students and instructors."

The purpose of this policy is to inform units about the U.S. Department of Education regular and substantive interaction requirements and to eliminate potential university risks associated with violation of these regulations.

Definitions:

Distance Education: The United States Department of Education defines distance education as follows:

(1) Education that uses one or more of the technologies listed in paragraphs (2)(i) through (iv) of this definition to deliver instruction to students who are separated from the instructor or instructors and to support regular and substantive interaction between the students and the instructor or instructors, either synchronously or asynchronously.

(2) The technologies that may be used to offer distance education include:

(i) The internet;

(ii) One-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices;

(iii) Audio conference; or

(iv) Other media used in a course in conjunction with any of the technologies listed in paragraph (2)(i) through (iii) of this definition.

(3) For purposes of this definition, an instructor is an individual responsible for delivering course content and who meets the qualifications for instruction established by an institution's accrediting agency.

(4) For purposes of this definition, substantive interaction is engaging students in teaching, learning, and assessment, consistent with the content under discussion, and also includes at least two of the following:

• Providing direct instruction;
• Assessing or providing feedback on a student's coursework;
• Providing information or responding to questions about the content of a course or competency;
• Facilitating a group discussion regarding the content of a course or competency; or
• Other instructional activities approved by the institution's or program's accrediting agency.

(5) An institution ensures regular interaction between a student and an instructor or instructors by, prior to the student's completion of a course or competency:

• Providing the opportunity for substantive interactions with the student on a predictable and scheduled basis commensurate with the length of time and the amount of content in the course or competency; and
• Monitoring the student's academic engagement and success and ensuring that an instructor is responsible for promptly and proactively engaging in substantive interaction with the student when needed on the basis of such monitoring, or upon request by the student.

Responsibilities:

Instructors teaching online courses are responsible for complying with this policy and its associated federal regulations. Instructors teaching online courses are responsible for ensuring their courses are designed to facilitate regular and substantive interaction between instructors and students. Instructors may consult with the Delphi Center to ensure that their online courses meet the above regular and substantive interaction requirements.

Each department or academic unit is responsible for ensuring instructors who teach online courses in their department comply with this policy and its associated regulations.

The Delphi Center is responsible for creating and maintaining informational resources and trainings, as needed, covering regular and substantive interaction for instructors.

Official University Administrative Policy

Policy Name:

Operating Funds Investment

Effective Date:

December 16 2021

Policy Applicability:

This policy applies to the investment of operating funds and the minimum cash reserve of the University of Louisville and its affiliated corporations

Policy Statement:

Maintenance of adequate liquidity to meet the cash flow needs of the University is essential. Accordingly, to the extent possible, the University's funds will be structured in a manner that ensures sufficient cash is available to meet anticipated liquidity needs. Whenever practical, selection of investment maturities will be consistent with the known cash requirements of the University in order to minimize the forced sale of securities prior to maturity.

As indicated in the table below, Tier 1 will serve to meet the daily liquidity needs. The total of Tier 1 shall have a minimum of 45 days cash for day-to-day operating liquidity. When calculating the days cash on hand, expenses shall be based on the consolidated prior fiscal year average operating expense per day.

For purposes of the policy, the fund's assets shall be segregated into four categories based on expected liquidity needs and purposes: Tiers 1 through 4.

Tier 1 Portfolio

Assets categorized as Tier 1 shall be invested in permitted investments maturing in twelve (12) months or less. Because of the difficulties inherent in accurately forecasting cash flow requirements, a portion of the portfolio shall be continuously invested in readily available funds such as money market mutual funds, bank deposits or overnight repurchase agreements to ensure that appropriate liquidity is maintained to meet ongoing obligations. Also included in the Tier 1 Portfolio are investments managed by the Office of Financial Management at the Commonwealth of Kentucky and shall comply with Kentucky Revised Statute 42.500 and Kentucky Administrative Regulations (200 KAR 14:011 and KAR 14:091).The investment/return objective is principal preservation and liquidity.

Tier 2 Portfolio

The Tier 2 Portfolio shall be invested in permitted investments with a stated maturity of not more than five (5) years from the settlement date of purchase. The investment/return objective is principal preservation and enhanced return on investment.

Tier 3 Portfolio

The Tier 3 Portfolio shall be invested in permitted investments with a stated maturity of not more than ten (10) years from the settlement date of purchase. The investment/return objective is principal preservation and enhanced return on investment.

Tier 4 Portfolio

The Tier 4 Portfolio shall be invested in the external investment pools at the University of Louisville Foundation, Inc. The long-term investment/return objective is capital appreciation and principal preservation.

Related Information:

Repurchase Agreements: collateralized at 102% by U.S. Treasuries

Allowed

Allowed

Compensating balance arrangements with depository banks

Allowed

n/a

Shares of money market funds governed by SEC Rule 2a-7, each of which shall have the following characteristics:

•The mutual fund shall be an open-end diversified investment company registered under Federal Investment Company Act of 1940, as amended;

•The management company of the investment company shall have been in operation for at least five (5) years; and

•The mutual fund shall be rated in the highest category by a NRSRO

Allowed

Allowed

Shares of funds not governed by SEC Rule 2a-7

•Investment in the fund must be approved by the IAC

Not Allowed

Allowed

Obligations and contracts for future delivery of obligations backed by the full faith and credit of the U.S. or a U.S. government agency, including but not limited to:

•U.S. Treasury;

•Export-Import Bank (EXIM) of the U.S.;

•Farmers Home Administration (FmHA);

•Government National Mortgage Corporation (GNMA); and

•Merchant Marine bonds

Allowed, duration should be appropriate for Tier

Allowed, duration should be appropriate for Tier

Collateralized or uncollateralized certificates of deposit (CD), issued by banks rated in one (1) of the three (3) highest categories by a nationally recognized statistical rating organization (NRSRO) or other interest-bearing accounts in depository institutions chartered by this state or by the U.S., except for shares in mutual savings banks

Collateralized only allowed, duration should be appropriate for Tier

Allowed, duration should be appropriate for Tier

Bankers acceptances (BA) for banks rated in the highest short-term category by a NRSRO

Allowed, limited to the lessor of $25 million per name or 10% of the total Tier investments and have a maturity of less than 120 days

Allowed, limited to the lessor of $25 million per name or 10% of the total Tier investments and

duration should be appropriate for Tier

Commercial paper (CP) rated in the highest short-term category by a NRSRO

Allowed, amount limited to the lesser of $25 million per name or 10% of the total Tier investments and must have a maturity of less than 120 days

Allowed, limited to the lessor of $25 million per name or 10% of the total Tier investments and duration should be appropriate for Tier

Securities issued by a state or local government, or any instrumentality or agency thereof, in the U.S., and rated in one (1) of the three (3) highest long-term categories by a NRSRO. The maturity and credit restriction shall be waived for obligations issued by the Commonwealth of Kentucky or any entity within the Common-wealth of Kentucky

Allowed, amount limited to the lessor of $25 million per name or 10% of the total Tier investments; must have a maturity of less than 120 days; and be rated in the highest long-term category by a NRSRO

Allowed, duration should be appropriate for Tier

U.S. denominated corporate, Yankee, and Eurodollar securities, excluding corporate stocks, issued by foreign and domestic issuers, including sovereign and supranational governments, rated in one (1) of the three (3) highest long-term categories by a NRSRO

Allowed, amount limited to the lessor of $25 million per name or 10% of the total Tier investments; must have a maturity of less than 120 days; and be rated in the highest long-term category by a NRSRO

Allowed, duration should be appropriate for Tier

Asset-backed securities (ABS) rated in the highest category by a NRSRO

Not allowed

Allowed, duration should be appropriate for Tier

Obligations of any corporation of the U.S. government or government-sponsored enterprise (GSE), including but not limited to:

• Federal Home Loan Mortgage Corporation (FHLMC);

• Federal Farm Credit Banks;

• Bank for Cooperatives;

• Federal Intermediate Credit Banks; and

• Federal Land Banks;

• Federal Home Loan Banks (FHLB);

• Federal National Mortgage Association (FNMA); and

• Tennessee Valley Authority (TVA) obligations

Allowed, duration should be appropriate for Tier

Allowed, duration should be appropriate for Tier

Note Tier 4 investments shall be managed in accordance with Foundation Investment Policy.

Policy Reasoning:

The purpose of this Investment Policy is to set general guidelines to provide a clear understanding of the investment objectives for the University's operating funds. The policy outlines a philosophy that guides the management of the operating cash and investments toward the desired returns. It is intended to be sufficiently specific to be meaningful, yet flexible enough to be practical.

This investment policy is set forth in order to:

• Define and assign responsibilities.
• Establish a clear understanding of the investment goals and objectives for operating fund assets.
• Offer guidance and limitations regarding the investment of operating fund assets.
• Establish a basis of evaluating investment results.
• Manage the operating fund assets according to industry best practices and applicable laws.

The fund's investment objectives, in order of priority, are the following:

Safety of Principal

Safety of principal is the foremost objective of the investment program. Investments shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio.

Maintenance of Liquidity

The University's funds shall remain sufficiently liquid to enable the University to meet all operating requirements which might be reasonably anticipated, including but not limited to payroll, accounts payable, capital projects, debt service and any other payments.

Return on Investment

The University's funds shall be managed with the objective of attaining a market rate of return (or higher) throughout the budgetary and economic cycles, considering the University's risk constraints and cash flow characteristics of the portfolio.

Responsibilities:

Delegation of Authority

The Executive Vice President for Finance and CFO has delegated to the Treasurer the responsibility for the custody, investment and disbursement of University funds in accordance with applicable laws and established policies and procedures. The Treasurer shall oversee the management of investment activity in accordance with the approved investment policy and fulfill the fiduciary responsibility to the University. No person may engage in an investment transaction except as provided under the terms of this policy and the procedures established by the Treasurer.

Investment Advisory Committee

The Investment Advisory Committee (IAC) consists of the Treasurer, AVP Budget and Financial Planning, Assistant Treasurer, Director of Investments-Endowment and Gift Operations Strategies, Assistant Controller or Director of Accounting and Reporting and a Director level person to be determined. The committee will meet quarterly or as needed to review operating fund investments and to advise staff on investment allocations. Staff will prepare investment reports and make recommendations to the committee.

Treasury Staff

The Treasury Staff includes the Treasurer, the Assistant Treasurer, Director of Investments-Endowment and Gift Operations Strategies and employees in the Treasury Services department. Treasury Staff shall manage the daily operating fund investments and prepare analysis and recommendations to the IAC. Treasury Staff shall prepare assessments of investment balances and performance. When selecting investments to purchase for staff managed funds, as defined in Tiers 1, 2, and 3 above, a standard selection process shall be utilized. See Appendix 1 for more information regarding the selection process.

Treasury Staff may retain the services of a qualified investment manager(s) to invest funds pursuant to this policy. The Treasury staff will provide updates to the IAC on manager appointments, terminations, and the ongoing monitoring and evaluation of existing managers, at each meeting and at other times as requested by the IAC.

Safekeeping, Custody and Collateralization

The bank selected as the primary depository for the University will serve as the primary Custodian ("Custodian") for the University's bank deposits (Tier 1), operating fund investments (Tier 1, Tier 2 and Tier 3 managed by staff) and perform standard custodial functions, including security safekeeping, collection of income, settlement of trades, maintenance of collateral levels, collection of proceeds of maturing securities, and distribution of income. Other Custodians may be utilized when deemed appropriate based on the underlying fund(s) selected for investment. All cash deposits in excess of FDIC or NCUA insurable amounts and investments maintained by any financial institution shall be collateralized or have a FHLB Letter of Credit. Collateralized securities shall be purchased using the delivery versus payment procedure. Collateral shall be marked to market daily.

The Custodian(s) shall provide monthly account statements and other reports as requested by University Treasury Staff. Treasury Staff may also establish a collateral account with the Federal Reserve Bank in the name of the University of Louisville for collateral requirements.

Short-term and intermediate-term investments held by the Commonwealth for the benefit of the University are invested in the Commonwealth's investment pools and are held in the name of the Commonwealth by the Commonwealth's custodian. The low duration strategy investments managed by an external manager(s) (Tier 4 managed by external managers) are held in the University of Louisville Foundations name by the Foundation's endowment investment custodian / Money Managers.

Official University Administrative Policy

Policy Name:

Institutional Base Salary

Effective Date:

June 15 2006

Policy Number:

PER 3 11

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The Institutional Base Salary (IBS) shall be used for all internal salary studies, budget and analyses, cost projections and in making the following calculations:

1. Employee annual salary adjustments;
2. Employee benefits, including retirement, life insurance and other benefits calculated on a percentage of annual university salary; and
3. The university's annual operating budget, approved by the Board of Trustees.

For purposes of salary requests and payroll transactions on Sponsored Programs, the IBS shall be used. IBS may not be increased as a result of replacing university salary funds with Sponsored Program funds.

For purposes of official time and effort reporting on Sponsored Programs, the IBS shall be used exclusively. Further, the IBS shall be used as the denominator in calculating the proportion, or percent effort, of an employee's activity that is allocated to Sponsored Programs.

Faculty base salary is addressed in the Redbook Section 4.3.2 and shall not be reduced except in a fiscal emergency or under the most extreme circumstances.

No unit's X-pay, X-ben or supplemental pay policy can be in conflict with this policy.

Related Information:

All X-pay, X-ben, or supplemental pay shall be in accordance with the university's Additional and Supplemental Pay policy.

Policy Reasoning:

To establish the purposes for which Institutional Base Salary shall be used.

Definitions:

Institutional Base Salary (IBS)

IBS is defined as the annual compensation paid by the university for an individual's appointment (e.g., 9, 10, 12 month Faculty appointment), whether that individual's time is spent on research, instruction, administration, or other activities. The IBS does not include bonuses, one-time payments, or incentive pay.

Definitions for Administrators and Faculty:

1. Institutional Base Salary (IBS) includes base salary and supplemental pay, but excludes X-pay and/or X-ben.
2. Supplemental pay is pay that is in addition to base salary and is included in calculations for retirement or other benefits. Examples of when supplemental pay should be used include, but are not limited to, on-going administrative responsibilities, recognition as a university scholar, distinguished university scholar or endowed chair, and other extraordinary compensation arrangements where the supplemental pay can be reduced or eliminated as appropriate.
3. X-pay is pay for the assumption of teaching overload and/or additional duties on a time-limited, short-term basis and is excluded in calculations for retirement or other benefits that are a percentage of salary.
4. X-ben (to faculty) is pay for the assumption of research (e.g., summer research) that is performed outside of an individual's academic appointment, and/or an interim assignment on a time-limited, short-term basis and is included in calculations for retirement and other benefits that are a percentage of salary.
5. X-ben (for administrators) is pay for the assumption of an interim assignment and is included in calculations for retirement and other benefits that are a percentage of salary. Interim administrator assignments shall be for a limited duration, not to exceed four years, without a search to fill the position on a regular basis.

Definitions for Professional and Administrative (Exempt) Staff:

1. Institutional Base Salary is regular salary plus supplemental pay, but excludes X-pay and/or X-ben.
2. Supplemental pay is pay that is in addition to their regular salary and is included in calculations for retirement or other benefits. If the intent is for the position to perform additional duties for more than 12 months but within a project term with an end date, then supplemental pay should be used.
3. X-pay is pay for the assumption of teaching and/or additional duties of a higher level on a time-limited, short term basis, usually 12 months or less. X-pay is excluded in calculations for retirement or other benefits that are a percentage of salary.
4. X-ben is pay for the assumption of research and/or interim assignment (beyond or in addition to standard job duties as defined in the Job Description Form) on a time-limited, short-term basis and is included in calculations for retirement and other benefits that are a percentage of salary.

Sponsored Program

An externally funded activity that is governed by specific terms and conditions as outlined in a legal agreement or notice of award. Sponsored programs must be separately budgeted and accounted for subject to the terms of the sponsoring organization. Sponsored programs may include grants, contracts (including fixed price agreements), and cooperative agreements for research, training, and other public service activities. A sponsored program encompasses both the main sponsored account(s) and associated cost share and/or program income account(s).

Official University Administrative Policy

Policy Name:

Physical Examinations

Effective Date:

May 1 1992

Policy Number:

PER 2 14

Policy Applicability:

This policy applies to University Staff

Policy Statement:

1. Applicants for employment for certain positions will receive a physical examination after an offer of employment has been made. Positions requiring employment physicals are determined by the work requirements of the position.
2. In some positions, such as those working with animals, an annual physical examination may be required.

Responsibilities:

Examinations will be given at no cost to the applicant by the University Health Science Service or Family Practice Department of the School of Medicine. Appointments for these physical examinations will be arranged by Human Resources Department.

Official University Administrative Policy

Policy Name:

Jeanne Clery Campus Safety Clery Act

Policy Applicability:

This policy applies to the University and its related entities the University of Louisville Police Department University Police and designated Campus Security Authorities CSAs

Policy Statement:

I. Crimes Which Shall be Reported by Campus Security Authorities

A. The following crimes shall be reported immediately to the University Police:

1. Murder/Non-negligent Manslaughter.

2. Manslaughter by Negligence.

3. Sex Offenses - Forcible and Non-forcible.

4. Robbery.

5. Aggravated Assault.

6. Burglary.

7. Motor Vehicle Theft.

8. Arson.

9. Hazing.

B. Hate Crimes - In addition to the above-referenced crimes, crimes of larceny-theft, simple assault, intimidation, destruction/damage/vandalism of property, or any other crime involving bodily injury that manifest evidence that the victim was intentionally selected because of the victim's actual or perceived race, gender, religion, sexual orientation, ethnicity, or disability shall be reported at least annually.

C. VAWA (Violence Against Women Act) Offenses - Any incidents of Domestic Violence, Dating Violence, or Stalking shall be reported.

D. Incidents where students are referred for campus disciplinary action related to liquor law, drug law, or illegal weapons violations shall be reported.

II. Fires Occurring in On-Campus Student Housing Facilities Shall Be Reported to University Police

A fire is defined as "any instance of open flame or other burning in a place not intended to contain the burning or in an uncontrolled manner."

III. Geographic Definitions for Reporting Requirements

For the purposes of this policy, the geographic areas for reporting are defined as:

A. All buildings or property owned, leased, rented, controlled, or managed by the University of Louisville;

B. All public property, including thoroughfares, streets, sidewalks, and parking facilities, within the campus, or immediately adjacent to the campus;

C. All buildings or property owned, leased, rented, or controlled by a registered student organization including fraternities and sororities; and

D. Any other building or property owned, leased, or controlled by the University that are used in direct support of, or in relation to, the University's educational purposes and are frequently used by students. This includes University of Louisville Foundation property used for educational purposes.

IV. Cooperation with Other Agencies

The University Police shall make reasonable, good faith efforts to obtain the required statistics from local police agencies concerning campus crimes reported to those agencies.

V. Reporting Requirements

A. Timely Warning Reports

The University Police and/or Communications and Marketing will timely alert the campus community when a reported incident poses a serious or ongoing threat to the campus community. The timely warnings will be made in a manner that aids in the prevention of similar crimes.

B. Emergency Notification

The University Police and/or Communications and Marketing will immediately notify the campus community upon the confirmation of a significant emergency or dangerous situation involving an immediate threat to the health or safety of students or employees occurring on campus, utilizing the Rave system.

C. Missing Student Notification

The University has a policy designed to comply with the Higher Education Opportunity Act of 2008 for colleges and universities to establish a missing person policy for its on-campus residents. The policy is included in the University's Annual Security and Fire Safety Report (ASR).

D. Crime Log

1. The University shall make available to the public, in written form upon request, and on the World Wide Web, an easily understood daily crime log those records, by the date the crime was reported, any crime that occurred on campus. The log is maintained by the University Police. The log must include the nature, date, time, and general location of each crime, and the disposition of the complaint, if known. https://louisville.edu/police/crime-log

2. The University Police may withhold information required in the log only if there is clear and convincing evidence that the release of that specific information may jeopardize an ongoing criminal investigation or the safety of an individual, cause a suspect to flee or evade detection, or result in the destruction of evidence. This information shall be disclosed once the adverse effect is no longer likely to occur.

E. Fire Log

1. The University shall make available to the public in written form upon request, and on the World Wide Web, an easily understood daily fire log that records by date the fire was reported any fire that occurred in on-campus student housing facilities. The log shall include the nature, date, time, and general location of each fire. https://louisville.edu.police/fire-log

2. The University Police shall complete the Annual Fire Report and include in the University's ASR pursuant to the Clery Act.

F. Campus Security Authorities

Campus Security Authorities (CSAs) shall report to University Police any allegations of Clery Act crimes that they feel were made in good faith. It is irrelevant who is involved as complainant or respondent, if a crime occurred in a location described in III above. University Police will inform the Department of Human Resources (complaints against employees), or the Dean of Students Office (complaints against students) as needed. Reports can be made using the CSA Reporting Form: https://cm.maxient.com/reportingform.php?UnivofLouisville&layout_id=11

G. Dean of Students Office, Housing Office, and Department of Human Resources

Shall report to University Police any allegations of Clery Act crimes that were brought to their attention if made in good faith. It is irrelevant who is involved as a complainant or respondent if a crime occurred in a location described in III above.

H. Data Collection and Verification

The University Police will work annually to compile the necessary data for the ASR and reconcile data with the Campus Safety and Security Analysis Cutting Tool (CSSDACT).

Related Information:

Jeanne Clery Campus Safety Act (20 USC 1092(f))

Policy Reasoning:

The University of Louisville (University) is required by federal law to produce and distribute an annual security and fire safety report containing crime and fire statistics and statements of security policy to the University community, and the U.S. Department of Education. Failure to provide required information or inclusion of inaccurate information can result in fines up to $71,545 per violation. This policy implements the federal Jeanne Clery Campus Safety Act (Clery Act).

Responsibilities:

Under the direction of the President and Provost, the following offices are responsible for ensuring that the University maintains compliance with all requirements of the Clery Act.

A. The University Police are responsible for:

• Preparing and submitting Annual Security and Fire Safety Report pursuant to the Clery Act by October 1 each year. https://louisville.edu/police/clery-crime-reports
• Creating and posting the daily crime log available to the public. https://louisville.edu/police/crime-log
• Reporting any fire that occurs in an on-campus student housing facility pursuant to the Clery Act.
• Marketing the daily fire log available to the public. https://louisville.edu/police/fire-log
• Notifying the Communications and Marketing Office of the Annual Security and Fire Safety Report availability.

B. The Office of Communications and Marketing (OCM) is responsible for:

• Announcing the availability of the ASR to faculty, staff, students, prospective students, and prospective employees.
• Notifying the University community on how to obtain a paper copy of the ASR that will be included in the electronic circulation of the ASR.

C. The University Fire Marshal is responsible for following up with the U.S. Department of Education and Kentucky Council on Postsecondary Education regarding issues related to fires.

D. Student Affairs is responsible for maintaining records required by the Clery Act.

E. Each vice president and department head shall fully cooperate with University Police and the University Fire Marshal to ensure that the employees in their respective areas comply with the requirements of the regulation and this policy. They are also responsible for attending training regarding Clery Act reporting, identifying the applicable campus security authorities in their respective units, and providing them with information regarding roles and responsibilities of a reporter.

F. Federal law requires University employees that are defined as Campus Security Authorities (CSAs) to report all campus crimes and fires of which they become aware. A CSA is broadly defined as an individual having responsibility for campus security and officials having significant responsibility for student and campus activities. CSAs may include, but are not limited to:

• Vice presidents, deans, department chairs, and directors.
• Assistant or associate vice presidents, deans, and provosts.
• Athletic directors, coaches, and trainers.
• Housing directors and resident assistants.
• Coordinator of Greek affairs.
• Any faculty member responsible for supervising any activities or programs that include direct contact with students, outside of classroom (including faculty advisors to Recognized Student Organizations).
• University Police Officers, Security Officers, and contract security officers.
• Any faculty or staff employee that leads or participates in student travel experiences, international or domestic, sponsored or organized by the University.

Exceptions:

Pastoral counselors and professional counselors are not required to report when functioning within the scope of their official capacity. A pastoral counselor is defined as a person associated with a religious order or denomination and is recognized by that religious order or denomination as someone who provides confidential counseling. A professional counselor is defined as a person licensed or certified pursuant to Kentucky statute whose official responsibilities include providing mental health counseling to members of the University community. Pastoral counselor includes individuals who are not yet licensed or certified as a counselor but are acting under the supervision of a licensed or certified professional counselor. Medical professionals are not required to report under these acts.

Official University Administrative Policy

Policy Name:

Flex Year Positions

Effective Date:

May 1 1992

Policy Number:

PER 1 18

Policy Applicability:

This policy applies to University Staff

Policy Statement:

This policy provides exempt employees with flexible work schedules which are adapted to the cyclical work load and the needs of employees of the unit for greater cost effectiveness and improved morale.

Related Information:

Section PER-4.21, Personal Leave Without Pay

1. For each Flex-Year appointment, an annual work schedule, expressed in total workdays, will be predetermined prior to the Flex-Year appointment. Annual Flex-Year appointments may be no less than 195 days (9 months) or more than 239 workdays (11 months) in duration.
2. Exempt employees in Flex-Year positions will be treated as regular, full-time or regular, part-time employees. Full-time exempt employees in Flex-Year positions are regularly scheduled to work a 37.5 hour workweek during their period of appointment and are paid on a monthly basis. Part-time exempt employees in Flex-Year positions will include appointments of less than 37.5 hours per week, such as one-half time (50 percent FTE).
3. The appointment year for full-time Flex-Year appointments will normally be July 1 through June 30. Annual salary increases for full-time Flex-Year employees will be effective the beginning of the payroll period closest to the beginning of the fiscal year.
4. All exempt employees in Flex-Year positions will, at the time the position is created, agree upon (in writing) the specific period(s) of employment, including when the employee is scheduled to resume duties.
5. Employees in Flex-Year positions regularly scheduled to work 37.5 hours per week (a minimum of 1462.5 hours per year) during the period of their appointment will be permitted to enroll in all benefit programs provided other full-time employees. Part-time employees working at least 50 percent FTE, and part-time staff and regular employees working .40 FTE immediately prior to May 1, 1992, are eligible for benefits.
6. All newly hired, exempt employees in Flex-Year positions will serve a six-month provisional employment period, which shall not include the unworked portion of the year.
7. Following completion of the first year of a Flex-Year position, a reassessment of the effectiveness of the employment arrangements will be made by the unit and the employee. At that time, the position will either become a permanent Flex-Year position or be allowed to continue for one more year on a trial basis. If the decision is made by the department or unit to continue the Flex-Year position beyond the second year of the trial appointment, it will be considered by the department or unit as a permanent Flex-Year position. If the unit desires to continue the Flex-Year position but the employee desires to return to full-time, 12-month employment, or if a unit desires to reestablish to full-time the 12-month position but the employee desires to continue in a Flex-Year position, the Human Resources Department will assist the employee in attempting to secure comparable employment within the university.
8. Where there is mutual agreement between employee and unit for the employee to participate on a Flex-Year work schedule but where it is not possible for the position to be identified as a Flex-Year position, the employee will be eligible for a leave of absence without pay consistent with university policies (Section PER-4.21, Personal Leave Without Pay). Such authorized leaves without pay may be for personal convenience (such as extended vacation, travel, study, child care, etc.).

Definitions:

A Flex-Year position is a position established for a period of less than 12 months, or less than full-time, usually related to the support of academic programs.

Official University Administrative Policy

Policy Name:

Hours of Work and Flexible Scheduling Guidelines

Effective Date:

May 1 1992

Policy Number:

PER 4 02

Policy Applicability:

This policy applies to University Administrators and Staff

Policy Statement:

The university workweek begins on Monday and ends on Friday.

Official University Administrative Policy

Policy Name:

Separations

Effective Date:

April 22 1993

Policy Number:

PER 4 14

Policy Applicability:

This policy applies to University Adminnistrators Faculty and Staff

Policy Statement:

A. Resignations

A regular status employee should resign by writing the appropriate department head at least one full pay period (minimum of two weeks for classified staff, minimum of one month for professional/administrative staff) before the effective resignation date. A resignation shall constitute a break in service. An employee who submits a written resignation shall not have the right to appeal.

B. Abandonment of Position

An employee who is absent without authorized leave for three consecutive workdays may be deemed to have abandoned the position and to have resigned and shall not have the right of appeal. However, the employee shall have the right to petition the Provost/vice president/dean for a review of the facts in the case and obtain a ruling as to whether the circumstances constitute abandonment of position. Those who report directly to a dean may petition the Provost for a review of the facts in their case. Those who report directly to the Provost/vice president may petition the President. Any employee separated under conditions of abandonment of position shall be notified of the termination in writing by certified mail -- return receipt requested. Such notice shall include a statement as to the employee's right to petition for a review of the facts. It shall state that such petition must be made within seven calendar days from receipt of notice. The decision of the Provost/vice president/dean shall be final. For those who report directly to a dean, the decision of the Provost shall be final. For those who report directly to the Provost/vice president, the decision of the President shall be final.

C. Separation During Provisional Employment Period

An employee who is terminated during his or her provisional employment period shall not have the right of appeal.

D. Dismissal of Regular Status Employees

A regular status employee may be dismissed only for cause and normally, though not necessarily, only after at least one written warning pointing out areas of deficiency and establishing a reasonable time limit for improvement. Any dismissal of a regular status employee must be reviewed by the Employee Relations Office, Human Resources Department before any action is taken.

Prior to any dismissal of a regular status employee, a pre-termination meeting will be conducted in the Human Resources Department with a representative of the Employee Relations Office present. Normally, an employee will be provided approximately 24 hour written notice prior to the pre-termination hearing. In unusual cases, an employee may be terminated immediately and without notice.

Classified and professional/administrative employees shall have the right to appeal dismissal in accordance with the provisions of PER 5.04, Appeals.

E. Pay Upon Resignation / Termination

Upon resignation or termination, the employee's employment status will be terminated on the last day of work and benefits will be terminated the last day of the month in which the last day of work occurs. Employees who are eligible to accrue vacation leave will be paid in a lump sum for such leave on their last regular paycheck or the next available paycheck, as provided in PER 4.04, Vacation Leave.

F. Pay Upon Reduction in Force

Upon a reduction in force, the employee's employment status will be terminated on the last day of work. Medical insurance will continue through the end of the month of termination. All other benefits will terminate effective on the last day of work.

G. Pay Upon Retirement

Upon a qualifying retirement, employees may use a max of 44 days of accrued vacation leave toward their official last day of active employment or be paid out in a lump sum (or any combination of the two). One full month of medical insurance, at the active employee rate, will be continued following the retirement effective date.

H. Pay Upon Death

All Employees (Administrators, Faculty, and Staff)

1. Medical insurance for a family member of an employee who dies while on active service (if in effect on the date of death) will be continued for not less than 30 days following the date of death, to afford unnecessary disruption in medical insurance for surviving family members and to allow sufficient time to convert to COBRA coverage (if elected).
2. The appropriate unit head should submit a note to the Payroll unit indicating the death of an employee.

Classified and Professional/Administrative Staff

In the event of a staff employee's death, payment for vacation leave accrued up to the time of death shall be delivered to the employee's beneficiary or estate or as provided by law. It will be at the rate of pay at the time of death and by the department in which the deceased was last employed. Payment for up to 30 days of unused sick leave shall be made upon death to the beneficiary or estate or as otherwise provided by law.

Administrators and Faculty

The university will pay the salary of a deceased faculty member or administrator for an additional month after the month in which death occurs. This means that there will be a minimum of one month and a maximum of two months' salary being paid by the university after the death of a faculty member or administrator.

Official University Administrative Policy

Policy Name:

Authority of the Institutional Review Boards

Effective Date:

October 1 2004

Policy Number:

RES 4 02

Policy Applicability:

This policy applies to University of Louisville researchers research staff Institutional Review Board members or other individuals involved in human subject research activities reviewed by the University of Louisville Institutional Review Board

Policy Statement:

It is the policy of the University of Louisville that human research activities conducted under the oversight of the organization will be conducted in accordance with applicable federal law and regulations that include but are not limited to Federal Regulations 45 CFR 46, 21 CFR 50, 21 CFR 56, and 45 CFR 160 and 164, applicable Kentucky state statutes and regulations, the principles of The Belmont Report and local University Institutional Review Board (IRBs) requirements.

The University of Louisville authorizes the IRBs of the organization to review and have authority to:

1. Approve, modify (to secure approval), or disapprove all human research conducted by the organization;
2. Suspend or terminate research not conducted in accordance with the regulations, statutes and principles or IRB's requirements mentioned above or that has been associated with unexpected serious harm to subjects;
3. Observe, or to have a third party observe, the consent process;
4. Observe, or have a third party observe, the conduct of the research; and
5. Serve as the Privacy Board for the University of Louisville that approves waivers of authorization in accordance with the HIPAA Privacy Rule.

Research covered by this policy that has been approved by a University IRB may be subject to further appropriate review and approval or disapproval by officials of the institution. However, as per 45 CFR 46.112 and 21 CFR 56.112, those officials may not approve the research if a University of Louisville IRB has disapproved it.

Any IRB member or staff who believes that they have been subject to inappropriate influence should report this immediately to the IRB chair or the Director, Human Subjects Protection Program, who will report the attempt to influence to the Executive Vice President for Research and Innovation (EVPRI). The EVPRI will investigate, or have investigated, the attempt to influence and determine an appropriate response to the attempt based on penalties similar to those outlined in the University's Administrative Sanctions for Violations of University of Louisville Research Policies.

Related Information:

Human Subjects Protection Program Website: https://louisville.edu/research/researchers/compliance/irb.

Policy Reasoning:

This policy establishes the authority of the University of Louisville Institutional Review Boards (IRB).

Official University Administrative Policy

Policy Name:

Relationship to State

Effective Date:

June 2007

Policy Applicability:

This policy applies to the University of Louisville and its employees administrators faculty and staff

Policy Statement:

In financial matters, the University of Louisville, as an agency of the Commonwealth of Kentucky, must comply with applicable sections of:

a) Title VI, Financial Administration, Chapters 41 through 56, of the Kentucky Revised Statutes (KRS);

b) Model Procurement Code found in KRS 45A;

c) KRS 164A 550 - 630 (House Bill 622) known as the "University Management Bill", an act relating to financial management of state supported institutions of higher education; and

d) Regulations promulgated by the Finance and Administration Cabinet and Office of Kentucky State Treasurer.

Affiliated corporations, as defined by House Bill 622, are administered in accordance with policies and procedures that govern the University of Louisville. These affiliated corporations include, but are not limited to, the University of Louisville Research Foundation, Inc. and the University of Louisville Athletic Association, Inc.

Official University Administrative Policy

Policy Name:

ProCard Program

Effective Date:

January 1 1998

Policy Number:

Card 1 01

Policy Applicability:

This policy applies to University administrators faculty and staff

Policy Statement:

The Procurement Card (ProCard) is the University's credit card and must be used for purchasing certain goods costing less than $4,500.00 if accepted by the vendor and not restricted by ProCard policies. The cardholder, Procurement Data Entry Specialist, Delegate, and Program, Project, Gift, Grant (PPGG) Approver Responsibilities must comply with the established policies, procedures and responsibilities as found on the ProCard Website (https://my.louisville.edu/procard/policies-procedures/procard-policies-procedures-role-responsibilities-related-information) and shall be held accountable for use of the card. Purchasing must continue to execute contracts/departmental agreements prior to ProCard use.

Related Information:

Employee Usage Agreement

Anyone who uses a ProCard, as authorized by the cardholder, must complete an Employee Usage Agreement.

Department Cards

Both a department card and an individual card are assigned to a single employee/responsible party. This person controls access to the card and authorizes others to use it as necessary.

Violations of ProCard use and failure to adhere to University policies and procedures may result in suspension or revocation of a ProCard. Consequences of misuse could also result in disciplinary actions, up to and including prosecution and termination of employment. See Fiscal Misconduct Policy.

Types of ProCard Purchases:

Amazon Business

Suggested Uses

• For guidance as to the appropriate payment method based on the type of commodity or service you are procuring, refer to the Procure-to-Pay Grid.

Restricted Purchases

• A listing of restricted purchases can be found here.

Equipment Purchases

• The ProCard may be used to pay for equipment valued less than $5,000.

Laboratory Chemicals

• Each department is responsible for obtaining a Material Safety Data Sheet for every chemical ordered.

Alcohol/Entertainment Purchases

• The ProCard is the required method of payment for business meals, entertainment, and alcohol expenses.

Internet Purchases

• On-line purchases must be made with vendors using a Secure Sockets Layer (SSL) browser session.

Delivery of Goods

Goods purchased with the ProCard must be shipped for "desktop delivery" to the designated department or to Central Receiving.

Number of Cards

ProCards are limited to one (1) card per individual, unless the card will be attached to an externally sponsored activity. Refer to the Definition of Sponsored Activities.

Spending Limits

$4,500.00 is the default limit per transaction. The default monthly limit per card is $15,000.00.

Returns and/or Exchanges

The cardholder is responsible for working with the merchant/supplier for the return of incorrect, duplicate, or damaged merchandise purchased with the ProCard.

Amazon sales tax reimbursement

Review the instructions on the Procurement Card website for instructions on receiving a tax exemption on Amazon.com orders.

Sales Tax Exemption

University purchases are exempt from Kentucky Sales Tax.

Policy Reasoning:

The purpose of this policy is to establish uniform procedures, accountability, and controls for the University of Louisville's Procurement Card Program.

The University benefits by having a more efficient, cost-effective method of purchasing and payment for small dollar transactions. The ProCard program complements the existing purchasing and payment process. Use of the card does not replace current travel or competitive bid regulations, nor does it allow departments to bypass Purchasing policies and procedures.

Responsibilities:

Cardholder Responsibilities

The employee who has been issued a ProCard is accountable for all transactions on their card.

• ProCard Security/Possession- the ProCard is to be protected by the same safeguards that are applied to the security of a personal credit card.
• Receipt/Recordkeeping Responsibilities-Each cardholder should maintain files by billing cycle. Included in each electronic file should be itemized receipts/invoices/backup documentation.

Program, Project, Gift, Grant (PPGG) Approver Responsibilities

The PPGG approver's responsibility is to verify that purchases are appropriate for the funding source and are for the benefit of the university. The approver must not be a subordinate in the direct reporting line of the cardholder. Furthermore, the cardholder cannot be an approver of his/her own card.

The PPGG approver is required to review all ProCard transactions in Workday consisting of the itemized receipts, any backup documentation provided, and the reallocated to funding. This review must be completed by the end of each month.

Procurement Data Entry Specialist

The Procurement Data Entry Specialist's responsibility is to ensure all charges are allocated to the appropriate worktags and cost center, and upload receipts/backup documentation for all cardholder transactions in Workday Financials. Verification of transactions can be performed daily or weekly, but must be completed by the monthly cut-off date.

Delegate Responsibilities

If assigned to a card, the Delegate responsibilities in Workday are attaching receipts/backup documentation, adding a business purpose and completing the reallocation. Workday reconciliation and reallocation of transactions can be performed daily or weekly, but must be completed by the monthly cut-off date.

Financial Administration Responsibilities

The department's Financial Administrator/Partner ProCard oversight responsibilities are summarized below:

• Track active ProCards in the department using RPT543.
• Ensure all ProCard transactions are verified and approved within 60 days using RPT539 to identify pending reallocations.
• Use RPT547 to monitor transaction status and verify business purposes; check who is responsible for the next step.
• Cancel ProCards when employees terminate or transfer.
• Collaborate with the unit liaison to resolve ProCard-related issues

Official University Administrative Policy

Policy Name:

Surplus Donation Requirements

Policy Number:

INV 4 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

In accordance with KRS 164A.575 (7), University-owned property can be disposed of by donation to a nonprofit organization that is exempt from taxation under Section 501(c) (3) of the Internal Revenue Code, excluding religious organizations.

Related Information:

See Purchasing Policy 14.00 for a full explanation of disposal by donation.

Official University Administrative Policy

Policy Name:

Chemical Safety Lab Safety Manual

Policy Applicability:

This policy applies to University of Louisville employees and students while on University owned property and or worksites

Policy Statement:

Chemical Hazards

Compressed Gases

USE

Many laboratories require the use of compressed gas. If it is not possible to have gas piped into the laboratory, gas cylinders are needed. If they are used, they must at all times be firmly attached to stationary structures or otherwise secured.

TYPES

A variety of gases are used in laboratories, including those that are:

• Flammable -­ any gas for which flammable limits in air are reported;
• Toxic ­- any gas that has an LC50° less than or equal to 5000 ppm;
• Asphyxiant -­ covers all inert gases, toxicity caused by oxygen-­deficient levels;
• Oxidizer ­- gases that in the presence of an ignition source and a fuel, support and may vigorously accelerate combustion;
• Corrosive -­ most gases are not corrosive in the absence of water. However, since gases are released into moist air, the potential for corrosive hazard must be considered;
• Extremely cold -­ cryogenic liquids.

HAZARDS

If released into the laboratory, these gases may create hazards such as:

• Depletion of oxygen;
• Fire; and/or
• Adverse health effects.

DROPPED CYLINDERS

The most likely accident with a gas cylinder is that it will be knocked over or dropped. This may cause a painful injury to legs or feet. More serious consequences result if the valve is knocked off the cylinder. The gas is rapidly released and the cylinder becomes a potentially lethal and highly destructive projectile, which can pass through walls, doors, windows, etc. Personnel, even those in adjacent laboratories, may be harmed or killed if in the path of the cylinder.

SAFE PRACTICES

Follow these rules for the safe use of cylinders.

Always:

• Secure empty and full cylinders in racks or holders, or with clamping devices to prevent falling or rolling. Cylinders must be secured with devices that are non-combustible and will not melt in case of a fire. These securing devices include metal clamp stands, metal chains, and straps treated with flame retardant material. Materials such as rope and duct tape are not approved securing devices and should not be used.
• Check the label for proper contents before using a cylinder for any purpose. Color coding by suppliers may vary. The labels applied by the gas supplier to identify the container contents shall not be defaced or removed.
• Close valves and relieve pressure on the regulator when cylinders are not in use. Keep cylinders capped when not in use.
• Keep a minimal number of cylinders on hand.
• Store empty cylinders as if they were full. Remove empty cylinders from lab.
• Identify full and empty cylinders as such.
• Prevent sparks, flames, electrical apparatus, or circuits from coming into contact with cylinders.
• Use only regulators approved for the specific gas.
• Use only oxygen-­compatible threading compounds such as Teflon tape on valve threads for oxygen service.
• Protect cylinders from abnormal mechanical shocks, which may cause damage when cylinders are moved.
• When opening a cylinder valve;
  • Direct cylinder opening away from personnel, and
  • Open valve slowly.
• Remove the cylinder to open space out-of-­doors and away from any possible source of ignition if a cylinder develops a small leak at the valve, or if a leak occurs in any safety device
• Store flammable gases in well-ventilated areas away from oxidizers, open flames, sparks, and other sources of heat and ignition.
• Equip areas where corrosive gases are used with emergency showers/eyewashes. Provide the capability for prompt emergency medical treatment, including first aid.

• Direct cylinder opening away from personnel, and
• Open valve slowly.

Never:

• Move a gas cylinder UNLESS;
• You use an appropriate cart or hand truck,
• The cylinder cap is in place, or
• The cylinder is chained or otherwise secured to the cart.
• Store a cylinder in a hallway.
• Empty a cylinder by off-gassing it in a lab or hallway.
• Use oil, grease, or other lubricants on the regular valves or fittings.
• use oxygen as a substitute for compressed air.
• Lift cylinders by the cap, except with an approved cylinder cart designed for this purpose.
• Tamper with, attempt to repair, or replace safety devices on cylinder valves.
• Change a cylinder's contents by:
  • Refilling with a different gas;
  • Changing the cylinder's color; or
  • Changing the lettering on a cylinder.
• Use direct flames or heat lamps to raise the pressure of a cylinder.
• The cylinder for return to the manufacturer.
• Direct a gas stream toward any person. This could cause serious injury to the eyes or body.
• Force a valve connection that does not fit. Threads on regulator connections or other auxiliary equipment shall match those on the container valve outlet.
• Abandon a gas cylinder, unsecured, in a hallway or at a loading dock.

• Refilling with a different gas;
• Changing the cylinder's color; or
• Changing the lettering on a cylinder.

DEFINITION

A cryogenic material is any substance that must be cooled to a temperature of ­­130°C or lower to change from a gas to a liquid. Cryogenics have several distinguishing characteristics:

• They are extremely cold (­-120 to -270°C);
• Their primary cooling mechanism is vaporization (latent heat), and
• They have an extremely high expansion ratio (averaging 800:1) when their physical state changes from liquid to vapor/gas.

Because of these special characteristics, cryogenic materials must be handled with care.

METHODS

The most common cryogen used is liquid nitrogen. Additional cryogens commonly used are:

• Helium;
• Hydrogen;
• Argon;
• Oxygen; and
• Methane.

GENERAL PRECAUTIONS

Personnel shall be thoroughly instructed and trained in the nature of the hazards associated with cryogenics and how to avoid those hazards.

• Any employee using cryogenics should have a thorough knowledge of:
  • Procedures;
  • Operation of equipment;
  • Safety devices;
  • Properties of materials used; and
  • Use of personal protective equipment.
• Equipment and systems should be kept scrupulously clean.
• Mixing of gases or fluids should be strictly controlled to prevent the formation of flammable or explosive mixtures. Extreme care should be taken to avoid contamination of a fuel with an oxidant or the contamination of an oxidant with a fuel.
• Proper consideration should be given to the properties of the gas involved when venting storage containers and lines. Venting of large storage vessels should always be done outdoors to prevent an accumulation of flammable, toxic, or inert gas in the work area. Smaller, lab sized containers can be vented into a chemical hood system.

• Procedures;
• Operation of equipment;
• Safety devices;
• Properties of materials used; and
• Use of personal protective equipment.

STORAGE CONTAINERS

Cryogenic fluids are usually stored in properly insulated containers designed to minimize the loss of product due to boil-­off. Note: Boil­-off gases can freeze the skin or eyes faster than liquid or metal contact.

• A Dewar flask is the most common container for cryogenic fluids. It is a double-walled, evacuated container made of metal or glass, with a vacuum between the walls.
• Larger quantities of cryogenic fluid require double-walled metal containers of evacuated construction.
• Exposed glass should be taped to minimize the flying glass hazard if the container should break or implode.
• Liquids should be transferred from the metal Dewar vessels with special transfer tubes or pumps designed for that particular application.

HAZARD FACTORS

Cryogens present many hazards. All may be present concurrently and must be considered when introducing a cryogenic system or project:

• Ultra cold temperatures;
• Flammability;
• High pressure gas, resulting in over-­pressurization of containers and pressure vessels
• Displacement of oxygen/asphyxiation.

CRYOGENIC BURNS AND FROSTBITE HAZARDS

All cryogenics can cause cold burns or frostbite when in contact with human skin.

• Do not overfill containers.
• Never make direct contact with cryogenic liquids, uninsulated cryogenic pipes or equipment.
• Use tongs or isolate the hazard when appropriate.
• Stay out of the path of boil-off gases.
• Wear suitable personal protective equipment when handling any object that may be cold.
• Transfer or pour cryogens slowly to minimize boiling and splashing.
• Use a phase separator or special filling funnel when filling a Dewar or transferring cryogens.
• Ensure all secondary containers are secured when filling.
• Ensure that all Dewars are positioned so the pressure relief valves and rupture disks vent paths are directed away from personnel, critical equipment or designated work areas.
• Inspect and maintain cryogenic equipment, and remove equipment from service when it does not meet manufacturer's operating specifications.
• When hand­-carrying cryogen-­containing Dewars, ensure the Dewar is your only load (no books, coffee or other items). Watch carefully for people who may run into you, and ensure that the vessel is carried with both hands and as far away from you as possible.

FLAMMABILITY

Fire and explosion are hazards associated with cryogenics. The source and hazards are:

• Hydrogen, methane, and acetylene, where the gases themselves are flammable.
• Oxygen. Its presence will increase the flammability of ordinary combustibles. Keep all organic materials and other flammable substances away from contact with oxygen.
• Liquefied inert gases. Liquid nitrogen and helium can condense oxygen from the atmosphere, causing oxygen entrapment in unsuspected areas.
• Extremely cold surfaces can condense oxygen from the atmosphere.

HIGH-­PRESSURE GAS

The hazard from high-pressure gas is always present when cryogenic fluids are used or stored.

• Since liquefied gases are usually stored at or near their boiling point, there is always some gas present in the container.
• The large expansion ratio from liquid to gas causes a buildup of high pressure due to evaporation of the liquid.
• Ensure pressure relief devices are utilized and are sized for maximum possible back pressure. Inspect at regular intervals for leakage, frosting and dirt accumulation.

DISPLACEMENT OF OXYGEN/ASPHYXIATION

• Ensure an oxygen alarm is present in the work area when appropriate.
• Periodically test and calibrate the oxygen alarm. (Note: If an oxygen monitor alarm goes off while you are in the work area, evacuate the room immediately. If it goes off in another room, do not enter the room.)
• Use natural ventilation and chemical hoods where appropriate.
• Avoid transporting containers in enclosed spaces such as elevators.

MATERIALS

Materials for cryogenic service must be carefully selected because of the drastic changes in the properties of materials when they are exposed to extremely low temperatures.

Suitable materials are:

Metals such as:

• Stainless steel (330 and other austenitic series);
• Copper;
• Brass;
• Bronze;
• Monel, and
• Aluminum.

Proper soldering of metals is important.

Non-­metals such as:

• Dacron;
• Teflon; and
• Kel­F.

When dealing with non­-metals, chemical reactivity between the fluid or gas and the storage containers and equipment must be carefully evaluated.

Flammable & Combustible Liquids: Standard for Solvents in Laboratories

This standard is based on the 2000 Kentucky Fire Prevention Code that references NFPA 30 and NFPA 45. University laboratories are classified as Class B (Moderate Fire Hazard) and the following listed quantities comply with that classification. The following applies to laboratories with fire suppression systems (sprinklers). For non­-sprinklered laboratories, contact the University Fire Marshal at 502.852­.6111.

1. The total amount of solvents within the laboratory shall not exceed ten (10) gallons per 100 sq. ft.
2. The total amount of unprotected solvents within the laboratory shall not exceed five (5) gallons per 100 sq. ft.
3. Solvents in excess of the amounts listed in item #1 shall be in bulk storage rooms meeting NFPA 30.
4. Flammable solvents (i.e., flash point < 100°F) must not be stored in an ordinary refrigerator. Must use a flammable material storage refrigerator or explosion proof refrigerator.

Recommended Practices

• Glass containers should be limited to 1 pint in size whenever practical.
• Transferring of solvents should always be done in a laboratory hood or an approved bulk storage room.
• Rubber carboys should be used when carrying 1-­gallon glass containers of liquid.
• All 5­-gallon metal cans should be stored in an approved flammable liquid storage cabinet or in an approved bulk storage room.
• Glass containers not in use should be stored in flammable liquid storage cabinets.

The term "corrosive" refers to substances that rapidly attack skin, eyes, and other living tissue. Such chemicals commonly include strong acids or bases, dehydrating agents, and oxidizing agents.

Examples of corrosive chemicals are:

• Acids
  • Sulfuric
  • Nitric
  • Hydrofluoric (HF) Acid (An HF Guidance Document and an HF Emergency Response Procedure is provided at the end of this section, to give guidance on the safe handling and emergency procedures for HF Acid).
• Bases
  • Sodium Hydroxide
  • Ammonia
• Dehydrating Agents
  • Sulfuric acid
  • Sodium hydroxide
  • Phosphorus pentoxide
  • Calcium oxide
• Oxidizing Agents
  • Picric acid
  • Chromic acid
  • Perchloric acid
  • Peroxides
  • Nitrates
  • Nitrites

• Sulfuric
• Nitric
• Hydrofluoric (HF) Acid (An HF Guidance Document and an HF Emergency Response Procedure is provided at the end of this section, to give guidance on the safe handling and emergency procedures for HF Acid).

• Sodium Hydroxide
• Ammonia

• Sulfuric acid
• Sodium hydroxide
• Phosphorus pentoxide
• Calcium oxide

• Picric acid
• Chromic acid
• Perchloric acid
• Peroxides
• Nitrates
• Nitrites

HAZARDS OF PERSONAL EXPOSURE

Strong acids and bases may cause serious damage to the skin and eyes. Inhaling the vapors of corrosive chemicals can cause severe bronchial irritation or pulmonary edema.

If the eyes or body of personnel may be exposed to corrosive material, suitable facilities for quick drenching or flushing of the eyes and body shall be provided within the work area for immediate emergency use. Such facilities shall comply with ANSI Z358.1-­1990, "Standard for Emergency Eyewash and Shower Equipment." The emergency equipment must be located within 10 seconds walking time from the location of a hazard. Emergency eyewash/shower facilities must be clearly visible and unobstructed so that the unit is immediately available in case of a splash to the eyes/body. Lab personnel should be familiar with the location of this equipment so they can locate it readily in an emergency situation. The Physical Plant shall test the units monthly.

BOTTLED EYEWASH SOLUTIONS

An eyewash station must be able to deliver ample flushing to both eyes simultaneously at 4 liters per minute for a minimum of 15 minutes. Because bottled eyewash solutions cannot meet this requirement, they may only be used as a supplement to, but not a substitute for, plumbed eyewash stations. If a bottled eyewash is available, the wash solution must be replaced routinely (e.g. every six months) to keep bacterial growth in check. If this is not done they should be removed from the laboratory.

FIRST AID PROCEDURES

If exposure to a corrosive chemical occurs:

• Immediately remove any contaminated clothing;
• Wash the affected area with copious amounts of water; and
• Get first aid or medical help.

STORAGE GUIDELINES

To properly store corrosive chemicals, follow these guidelines:

• Strong oxidizers such as perchloric acid present fire and explosion hazards when in contact with organics. Store in glass containers in a metal tray, away from organic, flammable, dehydrating, or reducing agents.
• Separate acids from bases
• Separate acids from flammables
• Store all corrosives on a low shelf near floor level ­ avoid storage on the floor.

PROTECTIVE CLOTHING GUIDELINES

When using corrosive chemicals, follow this rule:

Always wear rubber apron, gloves, and safety goggles, or a face shield.

ACCIDENT PREVENTION GUIDELINES

Remember: When diluting an acid, add the acid slowly to the water to reduce the reactive effect.

A

Always

A

Add

A

Acid

To The Water

DO NOT:

• Mix concentrated acids and bases together; or
• Use corks or rubber stoppers with strong oxidizing agents.

INTRODUCTION

Hydrofluoric acid (HF) is a strong inorganic acid with special chemical properties that make it especially hazardous to laboratory researchers. Accidental exposures to HF can cause severe surface burns, deep tissue burns, and possibly lead to life-threatening systemic poisoning. Because of its physiologically aggressive properties, HF should only be used in a laboratory setting by laboratory personnel who are trained in its proper handling techniques, associated hazards, and emergency response procedures. A complete HF emergency response procedure is provided for guidance and training of employees who use HF acid. A down loadable PDF version of the HF emergency response procedure is also provided for posting near the chemical hood in which HF acid is used. This should be posted for quick reference in the event of an emergency.

USES

Uses for hydrofluoric acid are primarily in industrial chemical and manufacturing processes. These processes include refinery alkylation, fluorocarbon production, aluminum production, metal pickling, glass etching, semiconductor etching, and rare metal processing. Other uses of HF include mineral identification, metal cleaning, fabric rust stain removal, and laboratory experimentation.

CHEMICAL PROPERTIES

Hydrogen fluoride (anhydrous hydrofluoric acid) and its solutions (hydrofluoric acid) are clear, colorless, non­-combustible, highly corrosive, liquids. HF is known for its high level of corrosiveness. It readily reacts with glass, ceramics, concrete, rubber, and some metals. Even though HF is not a combustible substance, reactions of HF with certain metals may produce explosive hydrogen gas.

Hydrofluoric acid concentrations over 40% produce a pungent, acrid, irritating odor. Dilute HF concentrations (< 40%) do not produce significant odors or vapors unless heated.

TOXICOLOGY

Hydrofluoric acid is extremely corrosive to body tissues. Most HF exposures initially involve the skin, eyes, lungs, or mucous membranes.

Tissue exposures to HF concentrations greater than 50% produce immediate, severe, deep-seated, slow healing burns. Hydrofluoric acid burns differ from other acid burns because the fluoride ion is able to readily penetrate the skin, resulting in deep tissue layer destruction. On the skin, these burns present initially as painful areas of white discoloration that usually proceed to blister formation.

Exposures to HF concentrations less than 50% often do not produce immediate, detectable symptoms; however, as time passes, the exposed tissues may develop painful, red, and sometimes blistered areas. Skin exposures to HF concentrations between 20% and 50% typically do not show burn symptoms for 1 to 8 hours. Skin exposures to HF concentrations less than 20% may not show burn symptoms for up to 24 hours. Exposures to concentrations as low as 2% have been reported to cause symptoms.

Because the fluoride ion readily penetrates tissue, fluoride concentrations in the body can rapidly reach toxic levels as a result of hydrofluoric acid exposure. Systemic fluoride toxicity can result in various serious medical conditions such as abnormal mineral storage/utilization, enzyme inhibition, blood clotting defects, metabolic pathway interruption, and abnormal heart function. The ability of HF fluoride ions to bind calcium in body tissue can result in a potentially fatal condition called hypocalcemia. Hypocalcemia results when blood concentrations of calcium are markedly reduced.

As a note for the physiologically inclined, the severe throbbing pain classically associated with hydrofluoric acid burns is thought to be caused by irritated nerve endings. These nerves are irritated by increased levels of potassium ions entering the extracellular space to compensate for reduced concentrations of calcium ions that have been tightly bound by the HF fluoride ions.

WORK PRACTICES AND SAFETY

The specialized hazards associated with hydrofluoric acid warrant specialized work practices and safety procedures. Carefully reviewing and following these guidelines will help you in preventing accidents and reducing exposures. This information will also provide you with a clear plan of action if an accident involving hydrofluoric acid occurs in your laboratory.

1. Everyone who works in a laboratory where HF is used should know about its hazards and special emergency response procedures. This includes personnel who do not work directly with HF but will be working near areas where HF is used. Laboratory personnel who work directly with HF need to be additionally trained in its proper use and disposal.
2. Avoid working with hydrofluoric acid when working alone. It is important to have someone nearby who knows you are working with HF and knows what to do in case of an emergency.
3. Proper personal protective equipment (PPE) must be worn when working with hydrofluoric acid. Proper PPE for HF use includes:
   • Chemical splash goggles.
   • Closed toe shoes.
   • Long sleeved lab coat (no shorts or short skirts).
   • Acid resistant splash apron.
   • Neoprene gloves (best protection) or nitrile gloves (short duration protection only). Neoprene gloves will provide the best protection, but nitrile gloves may be used for short duration experiments or emergencies if changed frequently. Never use latex gloves with hydrofluoric acid for any reason because they do not provide effective protection.
4. Laboratories using hydrofluoric acid should have the Hydrofluoric Acid Emergency Response Procedure document posted and readily visible in areas where HF is used. This information sheet and an HF MSDS should also be available in the laboratory.
5. An emergency eyewash and shower must be nearby when working with hydrofluoric acid. Make sure you know where they are and that they are operational before starting any work with HF.
6. Have calcium gluconate gel on hand when working with HF. Be sure to check the gel expiration date before starting any work. Everyone who works in the laboratory where HF is used must know when and how calcium gluconate gel should be used. For further information on calcium gluconate gel, see the Emergency Response Procedure listed in the next section. If you need information on purchasing the gel, please contact the DEHS Laboratory Safety Coordinator at 852­2830.
7. Work with HF should always be done in a chemical hood. Be sure the hood is operating properly and has a current inspection sticker.
8. Hydrofluoric acid should be stored in chemically compatible, properly labeled containers and separated from alkalis, metals, oxidizers, cyanides, glass, reducing materials, and sulfides. Use only chemically compatible containers when using or storing HF (polyethylene, Teflon, etc). Remember that glass, metal, and ceramic containers are not compatible with HF. Secondary containers constructed of polyethylene are advised, especially during transport.
9. Hydrofluoric acid should be disposed of via the DEHS website at http://www.louisville.edu/admin/dehs. If you have questions concerning waste disposal call the Hazardous Waste Coordinator at 502.852.­2956.
10. In the event of a hydrofluoric acid spill:
    • Notify those in the immediate area that a spill has occurred.
    • Evacuate nonessential personnel from the spill area.
    • Turn off ignition and heat sources if safe to do so.
    • Attend to persons who may have been exposed to acid (see next section).
    • Notify your supervisor and Public Safety at 502.852.­6111.
    • Establish exhaust ventilation if safe to do so.
11. Because of the special hazards associated with hydrofluoric acid, medical personnel must evaluate anyone exposed to HF. See the Emergency Response Procedure listed in the next section for further information on properly handling personnel HF exposures.

• Chemical splash goggles.
• Closed toe shoes.
• Long sleeved lab coat (no shorts or short skirts).
• Acid resistant splash apron.
• Neoprene gloves (best protection) or nitrile gloves (short duration protection only). Neoprene gloves will provide the best protection, but nitrile gloves may be used for short duration experiments or emergencies if changed frequently. Never use latex gloves with hydrofluoric acid for any reason because they do not provide effective protection.

• Notify those in the immediate area that a spill has occurred.
• Evacuate nonessential personnel from the spill area.
• Turn off ignition and heat sources if safe to do so.
• Attend to persons who may have been exposed to acid (see next section).
• Notify your supervisor and Public Safety at 502.852.­6111.
• Establish exhaust ventilation if safe to do so.

Emergency Response Procedure for Hydrofluoric Acid

SKIN CONTACT

1. Move victim immediately under an emergency shower or other water source and flush affected area with large amounts of water. Remember to start flushing before removing clothing. Speed and thoroughness in washing is critical.
2. Carefully remove all contaminated clothing while continuing to flush affected area with water.
3. Continue to rinse affected, unclothed area for 5 minutes. While victim is being rinsed, someone should:
   • Contact Public Safety at 502.852­.6111.
   • State there has been a person exposed to hydrofluoric acid.
   • State their location.
   • Public Safety should arrange for subsequent transport to a medical facility.
   • Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.
4. Immediately after thorough washing, start massaging 2.5% calcium gluconate gel into the affected skin area. Neoprene or nitrile gloves should be worn (not latex) while applying the gel to prevent possible secondary exposures. Liberally apply gel often and massage the burn site continuously.
5. While affected areas are being treated with calcium gluconate gel, the victim should be thoroughly examined for other burn sites that may have been overlooked.
6. Medical personnel should see the victim for follow­up care as soon as possible. During transport to medical facility or while waiting for emergency response, continue massaging burn sites with calcium gluconate gel. Try to keep burned areas elevated while in transport.

• Contact Public Safety at 502.852­.6111.
• State there has been a person exposed to hydrofluoric acid.
• State their location.
• Public Safety should arrange for subsequent transport to a medical facility.
• Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.

EYE CONTACT

1. Move victim immediately to an emergency eyewash station and flush eyes gently with large amounts of water for at least 15 minutes. To aid in thorough cleansing, hold eyelids open and away from the eye while washing.
2. If the victim is wearing contact lenses, have the victim remove them if possible. Removal of contact lenses should not delay or interrupt flushing.
3. While victim's eyes are being flushed, someone should:
   • Contact Public Safety at extension 6111.
   • State there has been a person with an eye exposure to hydrofluoric acid.
   • State their location.
   • Public Safety should arrange for subsequent treatment or emergency response.
   • Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.
4. Medical personnel, preferably an eye specialist, should see the victim as soon as possible. During transport to medical facility, ice water compresses may be gently applied to the eyes.
5. Do not use 2.5% calcium gluconate gel in eyes.

• Contact Public Safety at extension 6111.
• State there has been a person with an eye exposure to hydrofluoric acid.
• State their location.
• Public Safety should arrange for subsequent treatment or emergency response.
• Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.

INHALATION OF VAPORS

1. Move victim immediately to an area with fresh air. Keep victim calm and comfortable.
2. While victim is breathing fresh air, someone should:
   • Contact Public Safety at extension 6111.
   • State there has been a person who has inhaled hydrofluoric acid vapor.
   • State their location.
   • Public Safety should arrange for subsequent treatment or emergency response.
   • Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.
3. Medical personnel should see the victim as soon as possible.

• Contact Public Safety at extension 6111.
• State there has been a person who has inhaled hydrofluoric acid vapor.
• State their location.
• Public Safety should arrange for subsequent treatment or emergency response.
• Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.

INGESTION

1. If the victim is conscious, have them immediately drink large amounts of water as quickly as possible. This may help to dilute the acid. Milk or an antacid tablet taken with water may also help in providing an antidote effect.
2. While the victim is ingesting water, someone should:
   • Contact Public Safety at extension 6111.
   • State there has been a person who has ingested hydrofluoric acid.
   • State their location.
   • Public Safety should arrange for subsequent treatment or emergency response.
   • Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.
3. Medical personnel should see the victim immediately because HF ingestion is a life-threatening emergency.

• Contact Public Safety at extension 6111.
• State there has been a person who has ingested hydrofluoric acid.
• State their location.
• Public Safety should arrange for subsequent treatment or emergency response.
• Obtain a hydrofluoric acid MSDS and send it with victim to medical facility.

NOTE: Because of the special hazards associated with hydrofluoric acid, it is important that the victim seek medical care even if the exposed area is small or the acid is dilute. Time is critical-do not delay medical treatment!

REFERENCES

1. Honeywell: Recommended Medical Treatment for Hydrofluoric Acid Exposure. pages 5­7, May, 2000.
2. Upfal M. & Doyle, C: Medical Management of Hydrofluoric Acid Exposure. Journal Occupational Medicine 32: 726­731, August, 1990.
3. Dr Luigi Parmeggiani: Encyclopaedia of Occupational Health and Science. page 1086, 1983.
4. National Academy Press: Prudent Practices for Handling Hazardous Chemical in Laboratories. pages 43­44, 1981.

Reactives

Reactivity of materials has been defined by state and federal statutes and has led to regulations regarding the storage and disposal of these materials. Definitions of reactivity include one or more of the following:

• Normally unstable and readily undergoes violent change without detonating; reacts violently with water;
• Forms potentially explosive mixtures with water;
• When mixed with water, generates toxic gases, vapors, or chemicals in a quantity sufficient to present a danger to human health or the environment;
• Cyanide or sulfide­-bearing waste which, when exposed to pH conditions between 2 and 12.5, can generate toxic gases, vapors, or chemicals in quantity sufficient to present a danger to human health or the environment;
• Capable of detonating or exploding when subjected to a strong initiating source or if heated under confinement; and
• Readily capable of detonation or explosive decomposition or reaction at standard temperature and pressure.

TYPES OF REACTIVE CHEMICALS

Chemicals that exhibit the characteristic of reactivity can be grouped as follows:

• Pyrophoric Chemicals ­- readily oxidized, will ignite spontaneously in air. Examples of chemicals that are considered to be pyrophoric include such diverse substances as silane, diborane, lithium hydride, white phosphorus, etc.
• Water-­Reactive Chemicals -­ react violently with water. Examples of chemicals that are considered water­reactive include the alkali metals, aluminum chloride, phosphorus pentachloride, phosphorus pentoxide, all hydrides, etc.
• Oxidizing Materials -­ react vigorously at ambient temperatures when in contact with reducing materials or may evolve oxygen at room temperature under slight heating. Examples of chemicals that are considered oxidizers include chlorates, permanganates, nitrates, peroxides, etc.
• Reducing Materials ­- react vigorously at ambient temperatures when in contact with oxidizing materials. They are compounds, which remove oxygen from other compounds or lower valence states, often with vigorous evolution of heat. Examples of chemicals that are considered reducers include all hydrides, all acetylides, alcohols, etc.
• Shock­-Sensitive Materials -­ explosive at standard temperature or if heated under confinement. Highly reactive chemicals with explosive properties require special storage, handling, and disposal procedures. Examples of chemicals that are considered shock­-sensitive include picrates, azides, polynitro compounds, peroxides, etc.

STORAGE OF REACTIVE MATERIALS

Use and storage of reactive chemicals requires expert knowledge and planning. It is recommended that the following sources be consulted for specific considerations: Prudent Practices in the Laboratory; Handbook of Reactive Chemical Hazards; Lab Safety's Chart of Safe Storage of Chemicals; and the Condensed Chemical Dictionary. These references are available by calling the UofL Lab Safety Coordinator at 502.852.2830.

SHOCK/HEAT SENSITIVE CHEMICALS

These highly reactive chemicals with explosive properties require special storage handling and disposal procedures.

Organic peroxides are a special class of compounds with unusual stability problems that make them among the more hazardous substances handled in the laboratory. Specific chemicals have a strong tendency to form peroxides on exposure to air. Their presence as a contaminant in a reagent or solvent may change the course of a reaction. The peroxides as a class are low­-power explosives, hazardous because of their great sensitivity to shock, sparks, heat, or friction. Some laboratory chemicals that are capable of forming explosive levels of peroxides include:

• Diethyl ether
• Methyl isobutyl ketone
• 2­propanol
• Tetrahydrofuran
• Dioxanes
• Acetaldehyde

Guidelines for the Safe Storage & Use of Peroxide-­Forming Chemicals

A wide variety of organic compounds spontaneously form peroxides by a free radical reaction of the hydrocarbon with molecular oxygen. Under normal storage conditions, formed peroxides can accumulate in the chemical container and may explode when subjected to heat, friction or mechanical shock. For this reason, it is imperative that all researchers learn to recognize and safely handle peroxide-­forming compounds.

Recommended storage limits and more specific guidance for common chemicals that can form peroxides are listed in Table 1. The chemicals listed in List A as "peroxide hazard on storage - without concentration" in the table can form peroxides that are difficult to detect and eliminate. These peroxides can come out of solution and form crystals or a gel in the bottom of the container. They are extremely unstable and can violently decompose with the smallest disturbance, sometimes even spontaneously. They can be hazardous even if not opened. Do not store these chemicals more than 12 months unless tests show that they contain less than 80 ppm of peroxides.

The chemicals listed in List B as "hazard due to peroxide concentration" can undergo explosive polymerization initiated by dissolved oxygen. This class of peroxide­-forming chemicals has a propensity for exploding when used experimentally in operations such as distillations. Do not store these chemicals more than 12 months unless tests show that they contain less than 80 ppm of peroxides.

The chemicals listed in List C as "autopolymerize as a result of peroxide accumulation" may explode when relatively small quantities of peroxides are formed. It is common to distill these peroxide­-forming solvents before use and this concentrates the dissolved peroxides and subjects them to heat and mechanical shock.

The chemicals listed in Table 2 represent other peroxide­-forming chemicals which cannot be placed into the other categories but nevertheless require handling with precautions.

Practices for Control of Peroxide-­forming Organic Materials

Inhibitors

Many methods can be used to stabilize or inhibit the peroxidation of susceptible chemicals. If it does not interfere with the use of the chemical and if available, peroxide scavengers (inhibitors) shall be added in small quantities, and peroxide­forming chemicals shall be ordered with inhibitor added.

Purchase

Ideally, purchases of peroxide-forming chemicals should be restricted to ensure that these chemicals are used up completely before they can become peroxidized. This requires careful experiment planning. Researchers should purchase no more material than is needed to complete an experiment within the chemical's safe shelf life.

Storage

Peroxide-­forming chemicals shall be stored in sealed, air­-impermeable, light­-resistant containers and should be kept away from light (light can initiate peroxide formation). Peroxide-­forming chemicals should be stored in their original manufacturer's container whenever possible. This is very important in the case of diethyl ether because the iron in the steel containers that the material is shipped in acts as a peroxide inhibitor.

Labeling and Shelf-­Life Limitation

Peroxides tend to form in materials as a function of age. Therefore, it is imperative that researchers are keenly aware of the age of their peroxide-­forming chemicals. Researchers must date each container upon arrival in the laboratory. Containers must be dated again when opened for the first time. An appropriate expiration date based on the information found in Table 1 should also be on the label.

Testing and Deperoxidation

When the date on the container expires, the peroxide-­forming chemical shall either be 1) tested for peroxide content or 2) assumed to contain excessive peroxides and disposed of as hazardous waste. The maximum allowable concentration of peroxide in chemicals is 80 ppm. If a value over 80 ppm is detected, the owner shall deperoxidize the chemical or dispose of it as hazardous waste. Materials which are older than the suggested shelf life but have been tested and have no detectable peroxides or peroxide concentrations less than 80 ppm may be retained but should be tested at least quarterly. All chemicals to be distilled must be tested prior to distillation regardless of age. Researchers should never test containers of unknown age or origin. Older containers are far more likely to have concentrated peroxides or peroxide crystallization in the cap threads and therefore can present a serious hazard when opened for testing.

The easiest method to test for peroxides is the use of peroxide test strips. These strips are simple to use and can be obtained from a variety of suppliers including Lab Safety and Fisher. For volatile organic chemicals, the test strip is immersed in the chemical for 1 second, then the tester breathes slowly on the strip for 15­-30 seconds or until the color stabilizes. The color is then compared with a colorimetric scale provided on the bottle. Test strips must be kept refrigerated and must have an expiration date on the bottle.

Management and disposal of old containers

Older containers of peroxide-­forming chemicals, or containers of unknown age or history, must be handled very carefully and should never be opened by researchers. Any peroxide-­forming chemical with visible discoloration, crystallization or liquid stratification should be treated as potentially explosive. Older steel containers that have visible rust may also be extremely dangerous. If any of these conditions are observed on a peroxide­-forming chemical container or if the origin and age are unknown, do not attempt to move or open the container. Contact DEHS to have the container inspected and if necessary disposed of properly.

Safe Distillation

• Eliminate the peroxides with a chemical reducing agent or pass the solvent through activated alumina.
• Add mineral oil to the distillation pot. This has the combined effect of "cushioning" any bumping, maintaining dilution and serving as a viscous reaction moderator in case the peroxides begin to decompose.

Carefully monitor the distillation process to ensure that it does not dry out completely, and then overheat. Distillation can concentrate peroxides, especially if taken to a dry state. Peroxides will be present mainly in the still bottoms.

Reducing Peroxides during Distillation

Small pieces of sodium metal can be added to the distillation vessel to reduce peroxides. Use benzophenone as an indicator for the presence of sodium metal (benzophenone in the presence of sodium metal forms a radical with a deep­blue color). When the blue color disappears, add more sodium metal.

Peroxide Forming Chemicals Storage Guide

The yellow crystals of picric acid, or trinitrophenol, are shock­sensitive and may readily detonate if the chemical is allowed to dry. Check containers of picric acid regularly to ensure the crystals remain moist with water and have not dried.

DO NOT ATTEMPT TO REMOVE THE LID OF A CONTAINER OF PICRIC ACID IF THE ACID IS DRY.

Contact with copper, lead, zinc, and other metals can form picrate salts that are much more shock­ sensitive than picric acid itself. Unstable salts may also be formed with concrete, ammonium, calcium, and bases.

Picric acid is a more powerful explosive than TNT and must be handled with extreme care. Call the Department of Environmental Health and Safety at 852­2956 for special disposal arrangements.

Perchloric acid is a very strong oxidizing agent that can undergo vigorous, self-­sustained decomposition or explosive reactions when catalyzed or exposed to heat. The majority of accidents involving perchloric acid are due to its mixture with organic material or to the formation of the anhydrous acid, which is extremely unstable and explodes upon contact with wood, paper, or organic solvents. Cold perchloric acid, at less than 70% HCLO4 by weight, is a less powerful oxidizing agent. As the percentage or the temperature increases, the oxidizing power of the perchloric acid also increases.

Combustible materials, such as wood or oil, contaminated with perchloric acid are highly flammable and dangerous. Such materials may explode spontaneously, upon impact, or when in contact with heat or flame.

Other perchlorates are also sensitive to heat and shock, such as heavy metal and organic perchlorates, hydrazine perchlorate, and ammonium perchlorate.

SPECIAL PRECAUTIONS FOR THE SAFE USE OF PERCHLORIC ACID

Whenever possible purchase the 60%­by­weight HClO4 grade. Perchloric acid should be stored on a non­metal surface away from:

• Combustible materials;
• Organic solvents;
• Metal hydrides;
• Alcohols;
• Sulfuric acid; and
• Acetic anhydride.

Inspect monthly for signs of discoloration that indicate development of the anhydrous form of perchloric acid. Call the Department of Environmental Health and Safety 502.852.2956 for immediate disposal.

Wear goggles and rubber gloves whenever perchloric acid is handled.

To avoid a violent reaction in procedures requiring perchloric acid for wet digestion, pretreat the sample with nitric acid to destroy oxidizable material.

Procedures involving heated perchloric acid require use of a special chemical hood, termed a perchloric acid hood. This type of hood:

• Is constructed of stainless steel;
• Has a duct wash down system; and
• Has no exposed organic coatings or sealing compounds.

At this time there is only one perchloric acid hood at the University that meet this specification, located in the Belknap Research Building in the research laboratory of Dr. Teresa Fan (Room 336). Procedures involving heated perchloric acid are prohibited in all other hoods. There are a few other hoods of stainless steel construction that may be labeled as perchloric acid hoods, but none of them have the required wash down system.

The azide group of chemicals represents one of the few commercially produced explosives containing no oxygen. When compounded with other materials, azides are shock­- and heat­-sensitive. Copper and lead azides are more sensitive primary explosives than nitroglycerine. Sodium azide reacts with copper, lead, brass, or solder to form these explosive combinations.

DO NOT POUR SODIUM AZIDE DOWN THE DRAIN. Metal plumbing presents an explosion hazard.

OTHER EXPLOSIVE CHEMICALS

In general, other compounds containing the following functional groups tend to be heat­ and shock­ sensitive:

• Acetylide;
• Diazo;
• Nitroso; and
• Organic nitrates.

Hydrogen and chlorine gases react explosively in the presence of light.

Hydrazine can explode in contact with iron rust.

The chemicals encountered in the laboratory have a broad spectrum of physical, chemical, and toxicological properties and physiological effects. The risks associated with the use of laboratory chemicals must be well understood prior to their use in an experiment. The chemicals used in the laboratory can be grouped among several different hazard classes. Many chemicals display more than one type of hazard. Highly hazardous chemicals require special written procedures to ensure safe use in the laboratory.

Basic Concepts of Toxicology

Toxicity is the potential of a substance to produce adverse reaction on the health or well­-being of an individual. Whether or not any ill effects occur depends on:

• The properties of the chemical;
• The route by which the substance enters the body;
• The dose (the amount of the chemical acting on the body); and
• The susceptibility of the exposed individual.

ROUTES OF ENTRY

There are four main routes of entry or means by which a substance may enter the body:

1. Inhalation;
2. Ingestion;
3. Absorption through the skin; and
4. Injection.

The most important route of entry is usually inhalation. Nearly all materials that are airborne can be inhaled.

DOSE-­RESPONSE RELATIONSHIP

When a toxic chemical acts on the human body, the nature and extent of the adverse reaction or injurious response depends on the dose received ­- that is, the amount of the chemical that actually enters the body and the time interval during which this dose was administered.

Two standardized measurements, the LD50 and LC50, serve to quantify and express the degree of toxicity of a substance.

LD50 ­ The quantity of a material that when ingested, injected or applied to the skin as a single dose will cause death of 50% of the test animals.

LC50 ­ The concentration of a substance in the air that causes death of 50% of the test animals.

ACUTE EFFECTS

Acute toxic effects are usually produced by a single large dose received in a short period of time (usually less than 24 hours), and involve immediate results of some kind, such as irritation, allergy, illness or death. Acute exposures are usually related to an accident.

CHRONIC EFFECTS

Chronic toxic effects are usually produced by long-­duration or repeated exposure to a substance. Damage to the body may not appear for many years since chronic toxins are known to have long latency periods. Carcinogens are considered to be chronically toxic substances.

ORGANIC SOLVENTS

Organic solvents are one of the most commonly encountered groups of toxic chemicals and constitute one of the major hazards in a laboratory. Most are highly volatile or flammable, such as ethers, alcohols, and hydrocarbons.

Chlorinated solvents such as chloroform are often non­-flammable but, when exposed to heat or flame, may produce carbon monoxide, chlorine, phosgene, or other highly toxic gases.

Inhalation of solvent vapors may cause bronchial irritation, dizziness, central nervous system depression, nausea, headache, or coma. Prolonged exposure to high concentrations of solvent vapors may result in liver or kidney damage. Skin contact may produce defatting and drying.

Ingestion of a solvent could result in severe physiological effects. In case of ingestion, call the Poison Control Center (502.589.­8222), or seek medical aid immediately.

With the following chemicals, the odor threshold is higher than the acceptable exposure limit:

• Chloroform;
• Benzene;
• Carbon tetrachloride; and
• Methylene chloride.

Certain solvents are known or suspected to be carcinogenic following prolonged exposure. See the section on Highly Hazardous Chemicals for special requirements for carcinogens. Examples of solvents that are known or suspect carcinogens include:

• Chloroform;
• Benzene;
• Carbon tetrachloride;
• Chlorinated ethers
• Methylene chloride; and
• Polyhalogenated hydrocarbons.

All volatile and flammable solvents should be used in a properly functioning chemical hood. Never use ether or other highly flammable solvents in a room with an open flame or other ignition source present. The safe handling of flammable materials is discussed in the section on physical hazards of chemicals later in this chapter.

IRRITANTS

Irritants are non-­corrosive chemicals that cause reversible inflammatory effects (swelling and redness) on living tissue by chemical action at the site of contact. A wide variety of organic and inorganic chemicals are irritants, and consequently, skin and eye contact with all chemicals in the laboratory should be avoided. Examples of irritants include: acetaldehyde, acetic acid, acrolein, ammonia, ethylene glycol, glutaraldehyde, sodium hydroxide, and xylenes.

A chemical allergy is an adverse reaction by the immune system to a chemical. Such allergic reactions result from previous sensitization to that chemical or a structurally similar chemical. Once sensitization occurs, allergic reactions can result from exposure to extremely low doses of the chemical. Allergic reactions can be immediate, occurring within a few minutes after exposure. Anaphylactic shock is a severe immediate allergic reaction that can result in death if not treated quickly. If this is likely to be a hazard for a planned experiment, advice on emergency response should be obtained. Allergic reactions can also be delayed, taking hours or even days to develop. The skin is usually the site of such delayed reactions, in which case it becomes red, swollen, and itchy.

It is important to recognize that delayed chemical allergy can occur even some time after the chemical has been removed. Contact with poison ivy is a familiar example of an exposure that causes a delayed allergic reaction. Also, just as people vary widely in the susceptibility to sensitization by environmental allergens such as dust and pollen, individuals may also exhibit wide differences in their sensitivity to laboratory chemicals. Examples of substances that may cause allergic reactions include diazomethane, dicyclohexylcarbodiimide, formaldehyde, various isocyanates, benzylic and allylic halides, and certain phenol derivatives.

Another allergen for lab personnel to be aware of is latex. Latex allergy can result from repeated exposures to proteins in natural rubber latex through skin contact or inhalation. Reports of work-related allergic reactions to latex have increased in recent years, especially among employees in the growing health-­care industry, where latex gloves are widely used to prevent exposure to infectious agents.

At least 7.7 million people are employed in the health-care industry in the U.S. Once sensitized, workers may go on to experience the effects of latex allergy. Studies indicate that 8 percent to 12 percent of health-care workers regularly exposed to latex are sensitized, compared with 1 percent to 6 percent of the general population, although total numbers of exposed workers are not known.

Symptoms include skin rash and inflammation, respiratory irritation, asthma, and in rare cases shock. In some instances, sensitized employees have experienced reactions so severe that they impeded the worker's ability to continue working in their current job.

Wherever feasible, the selection of products and implementation of work practices that reduce the risk of allergic reactions, such as those listed below, is recommended.

• Non­-latex gloves are recommended for tasks (such as food preparation, routine housekeeping, and maintenance) that are not likely to involve contact with infectious materials such as blood.
• Workers at high risk of allergic reaction should be screened periodically to detect symptoms early and control or eliminate latex exposure.
• Appropriate work practices should be followed. For example, workers should wash their hands with a mild soap and dry thoroughly after removing latex gloves. Areas contaminated with latex-­containing dust should be identified and cleaned, and ventilation filters and vacuum bags used in those areas should be changed frequently.
• Workers should be provided with education programs and training materials about latex allergy.
• Workers showing symptoms of latex allergy should consult a doctor experienced in treating the problem, and workers with a known allergy should avoid latex exposures, wear a medical alert bracelet, and follow their doctor's advice for dealing with allergic reactions.

Chemicals are considered highly hazardous for many reasons. They may cause cancer, birth defects, induce genetic damage, cause miscarriage, or otherwise interfere with the reproductive process. Or they may be a cholinesterase inhibitor, a cyanide, or other highly toxic chemical that, after a comparatively small exposure, can lead to serious injury or even death. Working with compounds like these generally necessitates implementation of additional safety precautions. Below are definitions of the classes of chemicals that are considered highly hazardous and descriptions of the safety precautions to consider when designing experiments involving them. Lab-­specific written standard operation procedures are required for all highly hazardous chemicals. A comprehensive list of highly hazardous chemicals can be found at this link.

HIGHLY HAZARDOUS SUBSTANCES AS DEFINED BY OSHA

The OSHA Lab Standard specifically lists three categories of chemicals as "particularly hazardous." They include select carcinogens, reproductive toxins, and substances with a high degree of acute toxicity.

Chemicals that are strongly implicated as a cause of cancer are termed carcinogenic. Substances defined by OSHA as select carcinogens fall into one of the categories listed below:

• OSHA Carcinogen -­ a chemical regulated by OSHA as a carcinogen; each has its own standard in subpart 2 of the OSHA General Industry Standards.
• Known Human Carcinogen -­ Classified as "known to be carcinogens", in the most recent Annual Report on Carcinogens issued by the National Toxicology Program (NTP), or listed under Group 1 "carcinogenic to humans" by the International Agency for Research on Cancer (IARC).
• Potential Human Carcinogen ­ Listed under IARC Group 2A "probably carcinogenic to humans" or Group 2B "possibly carcinogenic to humans", or classified as "reasonably anticipated to be a carcinogen" by NTP, and causes statistically significant tumor incidence in experimental animals under any of the following dosage criteria:
  • Inhalation exposure ­ chronic exposure (for a significant portion of a lifetime); 6­ 7 hours/day, 5 days/week; dose <10mg/m3.
  • Skin exposure ­ repeated skin exposure of <300mg/kg body weight per week.
  • Ingestion daily dose <50mg/kg body weight.

• Inhalation exposure ­ chronic exposure (for a significant portion of a lifetime); 6­ 7 hours/day, 5 days/week; dose <10mg/m3.
• Skin exposure ­ repeated skin exposure of <300mg/kg body weight per week.
• Ingestion daily dose <50mg/kg body weight.

Important! Remember that a chemical's lack of inclusion in one of these lists does not necessarily imply that it is free from carcinogenic activity. Substances such as ethidium bromide that are used extensively in research do not have a substantial industrial use and, consequently, have not undergone a rigorous analysis for carcinogenicity. Although ethidium bromide is a well-known, potent mutagen it is not included in any of the lists below. Laboratory staff are reminded to diligently research a chemical's toxicity and hazard potential rather than relying exclusively on its presence in a list.

Table 3 -­ OSHA Regulated Carcinogens and other select Carcinogens Used in UofL Laboratories

Chemicals of Unknown but Suspect Carcinogenic Potential

Most laboratories have a number of chemicals for which there is little epidemiological data regarding its carcinogenicity. Knowledge of a substance's general chemical classification can oftentimes aid the researcher in identifying underlying carcinogenic potential. While these compounds may not fall under the regulatory umbrella of an OSHA 'select carcinogen,' consideration should be given to implementing special precautions to keep exposures as low as possible.

For example, methyl chloromethyl ether is listed as a known human carcinogen by NTP. Consequently it falls under the OSHA select carcinogen designation and the special precautions for work with highly hazardous substances applies. The carcinogenicity of structurally similar compounds such as ethyl chloromethyl ether is not well established, however. The OSHA select carcinogen designation does not strictly encompass these compounds and the special precautions for work with highly hazardous substances may not apply. However, their close similarity to a well-established carcinogen should raise a red flag during the risk assessment process and special consideration should be given towards the need for incorporating additional safety precautions in the experimental design.

A table for delineating the various classes of carcinogenic compounds is provided for reference.

Table 4 - Classes of Carcinogenic Compounds. (PDF)

Chemicals that interfere in any way with the normal reproductive process are considered reproductive toxins. Adverse effects include reductions in libido, reduced fertility, embryo lethality, induction of chromosomal damage (mutations), malformations of the developing fetus (teratogenesis), and postnatal functional defects. Sometimes problems may become apparent only after a long latency period. The enormous number of chemicals, complexity of human reproductive biology, and the influence of other factors (i.e., smoking, diet, environment) makes isolating the effects of exposure to a given chemical very difficult.

Due to this uncertainty, a pregnant woman working in a lab should exercise caution when handling or working with any chemicals. Women should notify their supervisor when they become pregnant so the potential hazards in the lab can be assessed and appropriate protective measures can be taken. Embryo toxins damage the fertilized egg, embryo, or fetus in the early stages of gestation. These chemicals have their greatest impact in the first trimester of pregnancy. Because a woman often does not know that she is pregnant during this period of high susceptibility, women of childbearing potential are advised to be especially cautious when working with chemicals, especially those rapidly absorbed through the skin (e.g., formamide).

The Department of Environmental Health and Safety is available to assist staff in gathering information regarding the hazards of the chemicals with which they work. In consultation with the woman and her doctor, an assessment can result in one of three possibilities:

1. Continue to work in the lab without any change.
2. Continue to work in the lab with some changes to the type of work procedure performed, or to the work environment and protective equipment.
3. In rare instances, the doctor may recommend discontinuing work in the lab for the duration of the pregnancy.

Some changes that may need to be considered include:

• Examine chemicals used in the lab for possible teratogens and remove them from use or reassign work with these chemicals to another person.
• Take extra care to avoid exposure to and exercise caution whenever handling or working with any chemicals.
• Be especially vigilant about personal protective equipment. Use extra personal protective equipment if necessary.
• Perform all work with chemicals in a chemical hood, if possible, or using other suitable engineering controls.

Substances With A High Degree Of Acute Toxicity

Substances with a high degree of acute toxicity are those that can cause death, disability, or serious injury after a single, relatively low­level exposure. The following table denotes the OSHA­defined toxicity designations, for various routes of exposures. The criteria for "highly toxic" appears in bold letters.

Acute Toxicity Hazard Designations

OSHA Hazard Designation

Other Toxicity Rating [1]

Oral LD50

Skin Contact LD50 [2]

Inhalation LC50 [3]

Inhalation LC50

(rats, mg/kg)

(rabbits, mg/kg)

(rats, ppm for 1 hr)

(rats, mg/m [3]

for 1 hr)

Highly Toxic

Highly Toxic

< 50

< 200

< 200

< 2,000

Toxic

Moderately Toxic

50 to

500

200 to

1,000

200 to

2,000

2,000 to

20,000

Slightly Toxic

500 to

5,000

2,000 to

20,000

2,000 to

20,000

20,000 to

200,000

[1] Prudent Practices in the Laboratory: Handling and Disposal of Chemicals; National Academy Press, Washington, D.C., 1995

[2] LD50­ The amount of a chemical that when ingested, injected, or applied to the skin of a test animal under controlled laboratory conditions will kill one­half (50%) of the animals.

[3] LC50­ The concentration of the chemical in air that will kill 50% of the test animals exposed to it.

Lab specific SOP's providing detailed information relevant to safety and health considerations are required when laboratory work involves the use of highly hazardous chemicals. Find the LD50 on a material safety data sheet (MSDS) or in the Registry of Toxic Effects of Chemical Substances (RTECS). Compare the LD50 to the table above to determine if it is highly toxic, requiring a written SOP.

Many drugs and physiologically active compounds are, by this definition, considered highly toxic. Oftentimes researchers, particularly those with clinical duties in addition to their research activities, underestimate the toxicity of materials frequently encountered in clinical practice. It is important to remember, however, that a drug supplied in a ready-­to-use formulation presents a much different level of risk than the pure, undiluted compound that must be weighed or otherwise manipulated in order to prepare it for use. The hazards presented by drugs and other physiologically active compounds in the lab are more similar to those presented to pharmacists preparing drug formulations where considerable precautions are undertaken, than to those presented to clinicians dispensing pre­-formulated prescription medications.

For more information on preparing SOPs, see Written Safety Procedures ­ SOPs and SASPs on the DEHS website.

SELECT AGENTS

The Department of Environmental Health & Safety provides the University oversight of select agents as required by federal laws & regulation. As a consequence of the 9/11 terrorist attacks, legislation was passed by Congress and signed by the President on October 26, 2001, which affects the possession of biological agents and toxins with bioterrorism potential termed "Select Agents". The legislation entitled the USA PATRIOT Act extends previous laws that restricted the transport, but not the possession of these agents. Transfer, shipping or receiving of any select agent within or outside the University is prohibited without DEHS approval.

Due to ongoing national concerns regarding the security and possession of "Select Agents" additional legislation entitled the Public Health Security and Bioterrorism Preparedness and Response Act was passed and signed into law on June 12, 2002. The regulations became effective February 7, 2003 and included many new provisions with significant criminal penalties that extend to individuals for failure to comply. The Law requires that all persons possessing select biological agents or toxins register with the appropriate federal agency. For more information about Select Action Registration, see Biological Safety on the DEHS website.

Prudent experimental planning requires not only an accurate assessment of the risks involved, but also selection of appropriate work practices. General laboratory safety practices and procedures are usually sufficient for operations involving hazardous chemicals of mild to moderate risk. When highly hazardous chemicals are involved, however, it may be necessary to take additional steps to adequately reduce risk and protect the health and safety of laboratory workers.

The goal in developing and implementing these special precautions is to set up multiple lines of defense to minimize the risks posed by highly hazardous chemicals. Consider each of the following provisions when developing special procedures for highly hazardous chemicals; some or all of them may apply, depending on the particular circumstances in which the substance will be used. In some circumstances only select precautions may be necessary, such as when the total amount of an acutely toxic substance to be handled is a small fraction of the harmful dose. In other circumstances it may be necessary to implement a full array of precautions.

Substitution & Other Procedural Modifications

The most effective way to minimize the risk posed by highly hazardous chemicals is to reduce or eliminate their use or to alter the procedure in a way that reduces the risk that they pose. Whenever possible replace highly hazardous materials with less hazardous substitutes. If that is not possible try to modify procedures to minimize direct manipulation of hazardous materials. Diluent can be directly added to a container of known quantity to make a stock solution from which aliquots can be drawn or working solutions made, for example. Some highly hazardous materials can be obtained in a form or dilution that reduces the need for direct manipulation, another great risk reduction strategy. Acrylamide purchased in aqueous suspension is but one example. While still a highly hazardous material, the exposure potential, and thus the risk, is much less than when purchased as a powder that must be weighed out and transferred between containers.

Experiments utilizing substitution and similar procedural modifications are in need of fewer additional precautions as described below. It is vital that lab staff examine every experiment utilizing highly hazardous chemicals to determine if these types of modifications can be implemented as a first step in risk reduction. Consult with supervisors, colleagues, and reference documents for assistance in identifying suitable substitutes and other risk reduction strategies. DEHS can provide assistance in comparing risk levels associated with different materials and procedures.

Where use of highly hazardous materials cannot be avoided it is necessary to incorporate additional safety practices and procedures, including development of written SOPs. Listed below are some of the most common supplements to general laboratory safety that are used when working with highly hazardous materials. Selection of appropriate precautions is dependent upon the exposure potential inherent in a particular experimental situation. While all laboratory staff are responsible for conducting experimental procedures in a safe manner, the Principal Investigator is ultimately responsible for ensuring identification and implementation of appropriate precautions when dealing with highly hazardous materials.

Standards Operating Procedures (SOPs)

When working with highly hazardous chemicals it is necessary to develop lab­-specific written standard operating procedures (SOPs) relevant to safety and health considerations. The purpose of the SOP is to outline the risks associated with the highly hazardous chemicals in use as well as to describe the steps that lab staff will take to mitigate those risks. SOPs for highly hazardous chemicals can be substance specific or procedure specific, depending on the needs of a particular laboratory.

DEHS provides consultative services to ensure the nature of the hazard is well understood and appropriate controls are incorporated in written SOPs.

Designated Area

Confine operations involving highly hazardous materials to a designated work area in the laboratory. This designated area can be the entire laboratory, an area of the laboratory, or a device such as a chemical fume hood. Warning signs are used to clearly indicate which areas are designated and the nature of the hazard. Use of designated areas need not be restricted to highly hazardous materials, as long as all lab staff are aware of the nature of the substances being used, and the special precautions, laboratory skill and safety discipline required to work in the area.

Access Control

Limit access to laboratories where highly hazardous chemicals are in use to appropriately trained and authorized personnel. Depending on the materials and the circumstances of use, access control can be achieved by a combination of administrative procedures (such as prohibiting unauthorized visitors) and/or physical barriers (such as closing laboratory doors while highly hazardous chemicals are in use or storing highly toxic chemicals in locked cabinets).

Containment

Procedures involving highly toxic chemicals that can generate dust, vapors, or aerosols must be conducted in a hood, glove box, or other suitable containment device. These devices should be checked for acceptable operation prior to conducting experiments with highly hazardous chemicals. If experiments are to be ongoing over a significant period of time frequent checks of hood function or the installation of a flow-­sensing device with an audible or visual indicator of performance should be considered. Experiments conducted with highly hazardous chemicals may need to be carried out in work areas designed to contain accidental releases. Hood trays and other types of secondary containers should be used to contain inadvertent spills, and careful technique must be observed to minimize the potential for spills and releases.

Decontamination

Equipment used for the handling of highly hazardous chemicals may need to be suitably isolated from the general laboratory environment. Laboratory vacuum pumps used with these chemicals should be protected by high-­efficiency scrubbers or HEPA filters and vented into an exhaust hood. Decontamination, when appropriate, should be conducted in a designated hood.

A number of pharmaceuticals manipulated at concentrations appropriate for patient therapy may pose a risk to lab workers through acute and chronic exposure. While the literature establishing these agents as occupational hazards deals primarily with cytotoxic drugs, documentation of significant exposures from other hazardous drugs is rapidly accumulating. Many hazardous drugs are known human carcinogens, particularly the chemotherapeutic drugs. Chemotherapeutic agents have also been linked to adverse reproductive outcomes. The American Society of Hospital Pharmacists describes four characteristics useful in determining if a medication poses a hazard to workers:

• Genotoxicity.
• Carcinogenicity.
• Teratogenicity or fertility impairment.
• Serious organ or other toxic manifestation at low doses in experimental animals or treated patients.

While no consensus or standardized reference exists, a number of commonly used drugs considered hazardous by the above criteria are listed in the table below. Treat analogues and derivatives of these agents as hazardous medications unless information to the contrary is available. This is not an all-inclusive list. You should also consult the manufacturer's literature and package inserts for additional information. Since investigational drugs are, almost by definition, new drugs with little information regarding potential toxicity, it is prudent to handle them as hazardous medications as well.

In the laboratory the greatest risk of occupational exposures to hazardous drugs occurs during procedures involving manipulation of materials in their pure form, for example, when weighing out finely divided powders. Surface contamination is also a concern, both from small spills that occur during the weighing process and from aerosolization that occurs during the preparation and administration of injections. As many hazardous drugs are absorbed through the skin, unapparent surface contamination can be a significant source of exposure.

An additional exposure concern is presented when hazardous chemicals/drugs are administered to experimental animals. Many of these chemicals and/or their hazardous metabolites are excreted in urine or feces for the first 48 hours or longer following their administration. Bedding collected during this period is considered contaminated and must be handled in a way that reduces the generation of dust and limits the exposure of animal care personnel. Unless researchers can document that the chemical or its hazardous metabolites are not excreted in the animal model, they must develop a Special Animal Safety Protocol (SASP) for chemicals/drugs administered to the animals. For more information on preparing SASPs, see Written Safety Procedures -­ SOPs and SASPs on the DEHS website.

The first step in designing a safe operating procedure is to become familiar with the potential health and physical hazards of the chemicals involved. Once appraised of the hazards, the researcher must then select appropriate control strategies to assure safe use and disposal of the chemicals. Engineering controls such as chemical hoods are required for processes releasing airborne contaminants. If work practice and engineering controls do not reduce the hazard to a safe level, then personal protective equipment may be required. Lab workers must all plan for the possibility of accidental spills and releases.

The following general guidelines are to be used when handling any chemical. All personnel are responsible for knowing these general rules, plus any other rules that apply to the specific chemical with which they are working.

IMPORTANT PRECAUTIONS

ALWAYS:

• Know the locations of safety showers, and eyewash stations, as well as other emergency equipment. Know details of their operation.
• Conduct procedures that involve hazardous volatile chemicals or that may result in the production of aerosols or dangerous gases in a properly functioning chemical hood. If this is not feasible, call the DEHS Lab Safety Coordinator at 502.852.­2830 for a hazard assessment.
• Be alert to unsafe conditions, and call attention to them so that corrections can be made.
• Consider any unlabeled chemical solution hazardous until it is identified.
• Discard chemicals that have changed in color or appearance using approved disposal procedures.
• Allow only authorized personnel in the laboratory.
• Use mechanical devices for all pipetting procedures; never use mouth suction.
• Wash hands frequently ­ always before leaving the laboratory and prior to eating, smoking, applying cosmetics, etc.
• Remove gloves before leaving the laboratory. Do NOT wear gloves out of the lab into elevators or while typing on lab computers.

Protect the face, skin, and eyes at all times by wearing appropriate protective clothing and equipment to avoid direct contact with the chemical (i.e. chemical goggles, gloves, apron or lab coat, etc.). Remove these items before leaving the laboratory. Do NOT wear lab coats or other potentially contaminated protective equipment out of the lab into elevators, during lunch breaks, or launder lab coats at home.

The laboratory chemical hood is often the primary control device when using flammable and toxic chemicals in the laboratory. It is vital that lab personnel understand how chemical hoods work so they can use them properly and avoid exposure to hazardous chemicals.

Below is a safe operating procedure for chemical hood use which is also printable in a poster format. Following these basic steps will help ensure the hood is providing optimum protection. Lab personnel can print out one or more copies of the poster to be displayed on or near chemical hoods.

For a detailed understanding of chemical hoods the reader is directed to the "Chemical Hood User's Guide" on the DEHS website. This guide discusses the different types of chemical hoods and their advantages and limitations, and the differences between chemical hoods and biosafety cabinets, sometimes mistaken for chemical hoods. New laboratory workers and even experienced personnel will benefit from a thorough understanding of these important control devices.

Safe Operating Procedure for Chemical Hoods

• Confirm that the hood is operational. If fitted with a local on/off switch, make sure the switch is in the "on" position; check the airflow gauge if so equipped. In the absence of a gauge, observe the plastic "flow check ribbon" taped to the lower corner of the sash. Airflow can be visually assessed by noting that the ribbon is pulled gently into the hood. The most recent hood test data and optimum sash height are indicated on the yellow label affixed to the hood face. Never work with a malfunctioning hood; report problem hoods to Physical Plant Work Control. Advise DEHS of chemical hoods that malfunction repeatedly.
• Maintain operations at least 6" inside the hood face. Vinyl tape can be attached to the work surface to serve as a visual reminder. " Lower sash to optimum height. Optimum height is the sash height at which airflow is maximized without creating turbulence, generally 100 feet per minute. A yellow label placed on the hood face indicates the most recently recommended sash height. This does not apply to variable volume chemical hoods; these should be operated with the sash at or below the sash stop. With unattended or potentially explosive processes, conduct the operation behind a lowered sash or safety shield.
• Keep head out of hood except when installing and dismantling equipment.
• Keep hood storage to an absolute minimum. Keep only items needed for the ongoing operation inside the hood. Keep the back bottom slot clear at all times as it serves as an exhaust port for chemicals generated near the work surface. Raise large objects at least two inches off the hood surface to minimize air flow disruption.
• Minimize foot traffic around the chemical hood. A person walking past a chemical hood can create competing currents at the hood face, causing vapors to flow out. Other sources of competing air currents such as open windows and fans must also be avoided while using a chemical hood.
• Use extreme caution with ignition sources inside a chemical hood. Ignition sources such as electrical connections, Variac controllers and open flame can be used inside a chemical hood as long as there are no operations involving flammable or explosive vapors. If possible, ignition sources should remain outside the hood at all times.
• Replace hood components prior to use. Every component of a chemical hood, whether airfoil, baffle, or sash, plays a vital role in preventing the escape of hazardous materials from the hood. Any hood components removed to conduct maintenance or repair activities, or to set up experimental apparatus must be replaced prior to using the hood for contaminant control.

Personal protective equipment, or PPE, is designed to protect employees from injuries or illnesses resulting from contact with chemical, radiological, physical, electrical, mechanical, or other hazards. PPE includes a variety of devices and garments such as safety glasses, goggles, gloves, earplugs, coveralls, and respirators. Using PPE is often essential, but it should not be used as a substitute for engineering, work practice, and/or administrative controls to prevent exposure to hazards. Engineering controls involve physically changing the work environment. An example of an engineering control would be a chemical fume hood. Administrative controls involve changing how or when lab workers do their jobs, such as scheduling work and rotating workers to reduce exposures. Work practice controls involve training workers to perform tasks in ways that reduce their exposure to hazards.

DEHS has conducted a Hazard Assessment and Personal Protective Equipment Requirements for General Laboratory Operations. Print this Assessment and post in the lab. If other hazards are present, contact the Laboratory Safety Coordinator to conduct a more specific Personal Protective Equipment Hazard Assessment. Training on the use of PPE is covered during General Lab Safety training and during Lab Specific training by the Principal Investigator.

EYE AND FACE PROTECTION

Safety glasses with side shields that conform to ANSI standard Z87.1, at a minimum, are required for work with hazardous chemicals. Ordinary prescription glasses are not adequate protection. Contact lenses can be worn safely if appropriate eye and face protection is also worn. Although safety glasses can provide satisfactory protection from injury from flying particles, they do not fit tightly against the face and offer little protection against splashes or sprays of chemicals. Splash goggles should be worn if there is a potential for splash in any operation involving chemicals. Full face shields with splash goggles should be worn when handling large quantities of chemicals, explosive, or highly hazardous chemicals. If work in the lab could involve exposure to lasers, ultraviolet light, infrared light, or intense visible light, specialized eye protection should be worn. Consult the DEHS Laboratory Safety Coordinator or 502.852.­2830 for guidance.

HAND PROTECTION

Gloves appropriate to the hazard should be used. It is important that the hands and any skin that is likely to be exposed to hazardous chemicals receive special attention. Proper protective gloves should be worn when handling hazardous chemicals, toxic materials, materials of unknown toxicity, corrosive materials, rough or sharp­-edged objects, and very hot or cold objects. Before the gloves are used, it is important that they be inspected for defects.

The degradation and permeation characteristics of the glove material selected must be appropriate for protection from the hazardous chemicals being handled. Glove selection guides (available from most glove manufacturers) should be consulted. Some websites for glove manufacturer information on chemical resistance of glove materials:

Best Glove -­ https://www.showagloves.com/products

Ansell ­- http://www.ansellpro.com

You may also contact the Laboratory Safety Coordinator at 502.852.­2830 for guidance on proper glove selection.

Disposable latex gloves are very permeable to most chemicals. They are designed for use with biological hazards, and they should not be used for chemical protection. If latex gloves are used for biological hazards, be aware of latex allergy symptoms: skin rash, inflammation, respiratory irritation, and in rare cases, shock. Be sure to let your supervisor know if you have a latex allergy.

Gloves should be inspected before use, frequently during use, and replaced immediately if they are contaminated or torn. The use of double gloving may be appropriate in situations involving chemicals of high or multiple hazards. Hands should be washed after removing gloves. Always remove gloves before leaving the laboratory.

CLOTHING

Wear clothing that protects your skin. Wear long pants ­ no shorts or short skirts. Wear a lab coat for further protection. Lab coats should be worn with the front fastened and the sleeves completely down, not rolled up. The coat sleeves keep splashes and aerosols from contacting your forearm and wrist. Have a plastic or rubber apron available for working with strong caustics or corrosives. Shoes should completely cover your feet; do not wear open-­toed shoes, sandals or clogs.

REQUIRED USE OF RESPIRATORS

The primary method for the protection of laboratory personnel from airborne contaminants should be to minimize the amount of such materials entering the laboratory air. Engineering controls such as chemical hoods, biosafety cabinets, and local exhaust ventilation shall be used to contain and exhaust hazardous emissions. There should be very few instances in a laboratory when respiratory protection is necessary. Respirators may only be considered when engineering controls are not feasible or are inadequate to reduce exposures to acceptable levels. Use of respirators of any kind must be approved by DEHS. DEHS will perform a hazard assessment, including air monitoring if warranted.

Where respiratory protection is required to reduce potential exposure to acceptable levels, full compliance with the OSHA Standard for Respiratory Protection is mandated. See the UofL Respiratory Protection Program on the DEHS website for the requirements for respirator selection and use, medical approval, fit testing, training, and maintenance and care of respirators. Before using a respirator, employees must receive medical approval, training and fit testing.

VOLUNTARY USE OF FILTERING FACEPIECE RESPIRATORS (DUST MASKS)

There are times when lab staff may wish to use respiratory protection, even when exposures are below the regulatory exposure limit, to provide an additional level of comfort and protection. For example, dust masks are often worn as a precaution when weighing toxic powders, even though there is no quantifiable exposure. However, if a respirator is used improperly (dust masks are not appropriate for volatile chemicals) or not kept clean, the respirator itself can become a hazard to the worker. The PI is responsible for notifying DEHS of the voluntary use of filtering facepiece respirators to ensure the respirator does indeed protect against the contaminant of concern and does not in itself create a hazard. Voluntary use of dust masks in non-hazardous situations does not require medical evaluation or fit testing, but must be approved by DEHS. Every lab worker who uses a respirator on a voluntary basis must be provided with the basic advisory information contained in Appendix D of the OSHA Standard.

The quantities, types, and storage of chemicals are major factors in laboratory safety. A few basic rules will greatly reduce risks in the laboratory.

GUIDELINES FOR ORDERING

Always order the minimum amount of a needed chemical. A quantity of hazardous chemical not ordered is one to which workers are not exposed, for which appropriate storage need not be found, which need not be tracked in an inventory control system, and which will not end up requiring costly disposal when it becomes a waste.

Regularly check inventory and dispose of outdated or unnecessary chemicals out-­dated, expired and unknown chemicals should be promptly disposed. Avoid a stockpile of unused chemicals.

GUIDELINES FOR LABELING

• Labels on incoming containers of hazardous chemicals shall not be removed or defaced. Chemicals in containers with deteriorated or illegible labels shall not be used.
• Label all secondary storage containers with the following information:
  • Chemical identity.
  • Hazard warning (e.g. flammable, carcinogen, corrosive, etc.).
• Labels should be understandable to laboratory personnel, emergency response teams, and others, and should be resistant to fading from aging and chemical exposure.
• Transfer containers are not required to be labeled, but if not emptied at the end of each day, a container is considered a storage container and must be labeled.
• Peroxidizable chemicals should be dated when received and when opened. It is good practice to do so for all chemicals.

• Chemical identity.
• Hazard warning (e.g. flammable, carcinogen, corrosive, etc.).

It is also good practice to properly identify the contents of containers not usually thought of as storage containers, such as reaction vessels, and process equipment, if they will contain hazardous chemicals for more than brief periods of time.

STORAGE LOCATIONS

Every chemical should have a specific site for storage and should be returned immediately after use. Most vendors now include detailed hazard and storage information on the container label, including the NFPA diamond and hazard symbol codes. Read these carefully for storage instructions and follow those instructions accurately. Incompatible chemicals shall not be stored where a leak or container rupture might result in contact of the chemicals.

The following guidelines should be used when storing any chemical:

• Store flammable liquids in a flammable material storage refrigerator.
• Do not use a chemical hood as a storage area for chemicals and solvents. Segregate acids from bases.
• Segregate corrosives from flammables. Segregate strong oxidizers from EVERYTHING.
• Most organic reactives must be segregated from inorganic reactives (metals) Segregate reactives from ignitables.
• Do not store chemicals more than two containers deep so you can read labels without moving the other chemicals around.
• Do not store glass bottles on the floor where they can be bumped and broken.
• Do not store corrosives on high shelves in order to avoid injury if the chemical were to leak or spill from the container.
• Avoid storing chemicals on bench tops, except for those chemicals currently in use.

STORAGE SYSTEM

Most often, alphabetical order is not the best storage system for chemicals. This may place incompatible chemicals next to one another, or may cause large­sized glass bottles to be stored on a top shelf.

Retrieval of stored chemicals is best accomplished by maintaining a current chemical inventory. Such an inventory should denote:

• Name of chemical;
• Amount of chemical stored;
• Date received;
• Hazard profile (i.e. flammable or toxic); and
• Storage location.

Partial List of Incompatible Chemicals

INTRODUCTION

Incompatible chemicals are those that if inadvertently mixed, would produce toxic gases, explosive reactions, or spontaneous ignition. Such chemicals should never be stored or handled in a manner that might allow contact. DEHS has a chemical segregation guides available for many different classes of hazardous chemicals. While it may be consulted, always refer to each hazardous chemical's Safety Data Sheet (SDS) for a complete list of incompatible materials.

Definitions:

Solvent: any flammable or combustible liquid with a flash point below 200°F, including hazardous waste.

Unprotected Solvent: any solvent not in a flammable liquid storage cabinet or safety can.

Flammable Liquid Storage Cabinet: a metal cabinet meeting the design and construction requirements of NFPA 30 and having been tested and listed by Underwriters Laboratories (UL) or Factory Mutual (FM) Laboratories.

Safety Can: a metal can meeting the design and construction requirements of NFPA 30 and having been tested and listed by Underwriters Laboratories (UL) or Factory Mutual (FM) Laboratories. The safety can shall be a maximum 2­gallon capacity.

Bulk Storage Room: a room constructed to meet the requirements of NFPA 30.

Official University Administrative Policy

Policy Name:

Fiscal Misconduct

Effective Date:

October 22 2007

Policy Number:

ICO 1 03

Policy Applicability:

This policy applies to University Employees administrators faculty and staff

Policy Statement:

All university employees, including student employees, are responsible for proper conduct and handling of any university resources or fiscal matters entrusted to them in accordance with university policies and the law.

Related Information:

Duty to Report and Non-Retaliation Policy ICO-1.01

Reporting and Investigation Procedure ICO-1.01A

Policy Reasoning:

The university is committed to maintaining the public trust regarding the management and stewardship of university assets. The purpose of this policy is to promote employee awareness, to communicate the university's expectations of its employees regarding suspected fiscal misconduct, and to establish procedures for appropriate action in any case of suspected fiscal misconduct.

This policy applies to all university employees in fiscal matters of the university and its affiliated and related corporations. All supervisory personnel are expected to be aware of the policy as any suspected instance of fiscal misconduct must be promptly identified, reported, and investigated.

Definitions:

1) Fiscal misconduct: includes, but is not limited to:

1. Embezzlement or misappropriation of university funds, goods, property, services, or other resources;
2. Forgery or unauthorized alteration of financial documents or records;
3. Improper handling or reporting of financial transactions;
4. Authorizing or receiving compensation for goods not received or services not performed;
5. Authorizing or receiving compensation for hours not worked; and
6. Authorizing or receiving reimbursement for travel and related expenses not incurred or not authorized under university policy.

2) Suspected fiscal misconduct: a reasonable belief or actual knowledge that fiscal misconduct has occurred or is occurring.

Responsibilities:

Administrators, Supervisors and Managers

Employees with managerial or supervisory duties are responsible for creating an environment of fiscal integrity and for maintaining appropriate internal controls that assist in the prevention and detection of fiscal misconduct. Managers and supervisors should be familiar with the types of fiscal misconduct that might occur within their area of responsibility and be alert for indications of their occurrence.

Managerial and supervisory employees should not investigate or discuss the circumstances of the suspected fiscal misconduct except as may be directed by the person(s) having primary responsibility for the investigation.

Reporting

Audit Services has the primary responsibility for coordinating the initial assessment, investigation, and internal reporting of known or suspected fiscal misconduct. The University of Louisville Police Department, Office of General Counsel and VP for Legal Affairs, and other offices, including external law enforcement agencies, will be involved in these activities as may be appropriate to the circumstances.

Official University Administrative Policy

Policy Name:

Duty to Report and Non Retaliation

Effective Date:

April 22 2008

Policy Number:

ICO 1 01

Policy Applicability:

This policy applies to University Employees administrators faculty staff and student employees

Policy Statement:

A. Knowledge of or suspicion of misconduct, violations of law, or other wrongdoing must be immediately reported to university management, the University Integrity and Compliance Office, other university compliance officials, or the University Compliance and Ethics Hotline.

B. No employee shall engage in retaliation, retribution, or any form of harassment against another employee for reporting a compliance concern, ethical matter, or other questionable practice.

C. Employees cannot exempt themselves from the consequences of wrongdoing by self-reporting, although self-reporting may be taken into account in determining the appropriate course of action.

Any employee who violates this policy will be subject to disciplinary action, up to and including termination.

Related Information:

• KRS 61.102 - Reprisal against public employee for disclosure of violations of law prohibited
• KRS 205.8465 - Mandatory reporting of violations, Confidentiality, and Prohibition against discrimination or retaliation
• False Claims Act, 31 U.S. Code § 3730(h) - Civil actions for false claims, relief from retaliatory actions, http://www.gpo.gov/fdsys/pkg/USCODE-2011-title31/pdf/USCODE-2011-title31-subtitleIII-chap37-subchapIII-sec3730.pdf
• American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5) § 1553, Protecting State and Local Government and Contractor Whistleblowers, http://www.gpo.gov/fdsys/pkg/PLAW-111publ5/pdf/PLAW-111publ5.pdf
• Fiscal Misconduct Policy ICO-1.03
• Reporting and Investigation Procedure ICO-1.01A
• Employee Whistleblower Protection Notice

Policy Reasoning:

The University of Louisville is responsible for the proper use of its resources and the public and private support that furthers the realization of its mission. The university is committed to conducting its affairs in full compliance with the law and with its own policies and procedures. Such adherence strengthens and promotes ethical and fair practices and treatment of all members of the university community and those who conduct business with the university. All employees and any other individuals holding positions of fiduciary duty with the university are obligated to perform these duties in compliance with all applicable laws and university policies and procedures.

The purpose of this policy is to encourage and enable good-faith reports by university employees of observed or suspected misconduct or noncompliance with law or with university policies and procedures without fear of retaliation or retribution.

Definitions:

University Employee: Individuals who are administrators, faculty, staff, and/or student employees.

Official University Administrative Policy

Policy Name:

Campus Signage Policy

Effective Date:

March 3 2026

Policy Applicability:

This policy applies to University of Louisville employees including faculty staff and administrators students university recognized groups or organizations visitors and vendors when they are in facilities or on premises owned or controlled by the University of Louisville the University of Louisville Research Foundation or the University Athletic Association This policy excludes University of Louisville Health facilities or premises and university and affiliated campus housing facilities University of Louisville Health and university and affiliated campus housing facilities premises have their respective policies regarding the use and display of Signage which are tailored to the nature and operational needs of those facilities This policy excludes Signage required by federal state or local statutes and codes or other governmental regulatory bodies or official university Signage as approved by University Planning Design and Construction UPDC This policy is not intended to limit personal expression in employee offices and workspaces Personal expression items decorations or displays in individual employee offices or assigned workspaces is addressed in the Individual Workspaces and Offices section below

Policy Statement:

Viewpoint Neutrality

This policy shall be administered in a viewpoint-neutral manner consistent with the university's Viewpoint Neutrality Policy and the Campus Free Speech Protection Act (KRS 164.348). The approval, placement, and removal of Signage shall not be based on the political, social, or ideological viewpoint expressed by the Signage. Enforcement of this policy, including decision regarding removal of Signage, shall be based solely on viewpoint-neutral criteria such as location, size, duration, safety, compliance with state and federal laws, compliance with university policies and compliance with procedural requirements.

General Requirements

The proliferation of Signage can negatively impact the environment, create clutter, detract from the campus landscape, and mar the experience of individuals visiting our campuses. Members of the university community need to be mindful of the university and its surroundings when considering the display or use of any form of Signage and should strive to use sustainable materials and/or electronic media to reduce any negative environmental impacts.

A Vice President, Dean, or Vice Provost must approve of the Signage request for their unit/department prior to it being submitted to UPDC. UPDC must approve all Signage using consistent criteria and in accordance with the parameters outlined in this policy.

All Signage displayed on locations or other premises or facilities owned or controlled by the university, as specified in this policy's applicability section, must comply with the university's branding policy and meet the criteria specified in this policy.

Placement Restrictions

The placement of Signage must not:

• Impede the free movement of foot, bicycle, or vehicular traffic on campus.
• Be placed on any light or utility (electrical or telephone) pole, lines, or facilities.
• Be placed on traffic signs, emergency call boxes, painted surfaces, benches, planters, statues, outdoor artwork, utility boxes, newsstands, advertising dispensers, trees, shrubs, roadways, or outdoor steps, unless approved by UPDC and installed by the Physical Plant department or an approved university vendor as designated by UPDC.
• Be placed on sidewalks or walkways.
• Be placed on building roofs, exterior walls of campus buildings or structures, or over campus roads or roadways. Only Signage that meets the policy requirements, is approved by UPDC, and is installed by the Physical Plant department or by an approved vendor as designated by UPDC may be displayed in these areas.
• Be affixed to building walls, windows, doors, floors, columns, beams, elevators, or stairwells by use of screws, anchors, bolts, surface-damaging adhesives, paints, or stains.
• Contain language or images that violate laws, such as copyright, trademark, false advertising, the incitement of violence, or similar laws.

Temporary Signage - General Parameters

General parameters pertaining to all forms of Temporary Signage include:

• Temporary Signage may be displayed for up to thirty (30) calendar days, unless a longer period is approved by UPDC, except for chalking and yard signs, which may be displayed for up to seven (7) calendar days or until the end of the event. A unit representative is required to notify UPDC when approved signage is installed.
• Removal of Temporary Signage is the responsibility of the vice president or department head of the unit/department. They may work with Physical Plant to remove the posting of the Signage, as needed. If Temporary Signage is not removed after thirty (30) calendar days, or within the approved display period, the unit/department will be responsible for any costs associated with removal.
• In the event of a class being moved to a different room or building, Temporary Signage may be used in a visible location at the entrance to inform students of the new location.

• Temporary Signage that requires placing a spike, post, or base in the ground (including bow-shaped banners, feather flags, etc.) that exceeds twelve (12) inches must be installed by Physical Plant to avoid damage to underground utilities. Physical Plant must also install pole banners.

• The vice president or department head of the unit/department requesting Physical Plant to post Signage will be responsible for any cost to determine buried utilities and the cost for the installation. The proposed locations must be reviewed and approved by UPDC. Temporary Signage may not be placed at the oval entrance (including lawn) in front of Grawemeyer Hall. Placement of Signage at athletics facilities will require additional permission from the Athletics Department.
• Temporary Signage displaying business or commercial advertising are prohibited unless the display of the advertisement is part of a university-approved agreement.

Temporary Signage - Specialized Parameters

Vinyl Window Graphics

• Vinyl window graphics on exterior building windows may be used as a temporary means of conveying identification information, but not in lieu of Permanent Signage. Vinyl window graphics approved by UPDC may remain in place until Permanent Signage is fabricated and installed.

• The placement and display area of vinyl window graphics must be reviewed and approved by UPDC prior to placement.

Banners/Building Wraps

• Banners/building wraps may be used to celebrate university-recognized promotions or achievements of its students, employees, alumni, colleges, or units and must be approved by UPDC.
• Quality and design of banners (large format, printed on material, affixed to the vertical surface of a facility) must comply with the university brand identity and visual standards. The Office of Communications and Marketing (OCM) must approve the banner to ensure consistency with university branding prior to production and installation, with final approval by UPDC.
• Banners and building wraps must be installed by the university's Physical Plant department or by a vendor as designated by UPDC and shall be executed in a fashion so that it does not damage the building or building components, compromise building safety, and/or security requirements. The university department/unit listed on the request form will be responsible for payment of any costs associated with the installation, maintenance, repair for damages, or removal of the banners.
• Banners shall not be attached to light posts, signposts, trees or other plant materials, or to structures or art pieces not associated with buildings or university pedways, unless approved by UPDC.
• Banners shall not obstruct Permanent Signage, windows, doors, or ventilation.
• A banner may not display corporate logos or acknowledgments unless it is part of a university-approved agreement.
• Time of display shall not exceed thirty (30) calendar days from date of installation, unless a longer period is approved by UPDC.
• Building wraps on exterior building surfaces may be used as Temporary Signage.

Flyers

• Flyers are exempt from the pre-approval process.
• Flyers, including posters, handbills, or any other form of announcement, may not be posted in such a manner as to cause physical damage to any facility or natural campus feature.
• Flyers are not permitted on sidewalks, building exteriors, walls, painted surfaces, doors, windows, elevator cabs, fountains, fences, trees and shrubs, planters, poles, Permanent Signage, or any other facility feature.
• Flyers may be permitted on public bulletin boards and display cases designated for this purpose. All public-facing bulletin boards in all UofL facilities will post the purpose of the bulletin board in the lower right corner (e.g., This bulletin board is reserved for use of XYZ department for office communication only), along with the responsible department and telephone number and/or email address. Postings that do not align with or meet the stated purpose may be removed.
• For bulletin boards or display cases designated for public use in a facility, a notice should be posted in the lower right corner designating it for public use and should also contain the name of the department responsible and telephone number and/or email address. It should also contain a notice of regular (weekly/monthly) removal of all postings to allow for access for new postings on a regular basis. All flyers will be removed at the designated time (e.g., each Friday at 3:00 pm or the second Tuesday at 8:00 am). Only one flyer or notice about a particular event is allowed on a bulletin board. Duplicate notices will be removed.
• Surface-penetrating fasteners or surface-damaging adhesives (e.g., glues, construction adhesives, or duct tape) may not be used to display Temporary Signage of any kind. Flyers may be affixed to existing bulletin boards or other display methods designed for such purpose.

Chalking

• Chalking may be displayed on sidewalks using water-soluble chalk for up to seven (7) calendar days or until the end of the event.
• Chalking is not permitted directly in front of doorways, stairs, or ramps to any building.
• Chalking is not permitted under an overhang of a building, the side of a building, the sides of other vertical surfaces, or under ramps.
• Chalking is not permitted on the sidewalks around the Speed Art Museum and within 50 feet of any of the Residence Halls.
• Chalking using industrial chalk, spray chalk, paint or spray paint is expressly prohibited.
• Chalking that contains language or images that violate laws, such as copyright, trademark, false advertising, inciting violence, or similar laws is expressly prohibited.
• Chalking that does not comply with this policy may be removed at the discretion of an authorized university official(s).

Yard Signs

• Yard signs may be displayed on university campus grounds for up to seven (7) calendar days or until the end of the event. Yard signs shall only be placed and displayed in approved areas, such as mulch beds.
• Yard signs are limited to university-sponsored events, programs, or officially recognized university organizations. Yard signs supporting or opposing political candidates, political parties, or ballot initiatives are not permitted on university grounds, regardless of their source, consistent with the university's prohibitions regarding the use of university property for political campaign activity.
• Yard signs must not interfere with pedestrian traffic, present a potential tripping hazard, or interfere with vehicle/golf cart traffic or grounds maintenance vehicles.
• Yard signs should include the sponsor's name on the bottom portion of the sign.
• Yard signs that contain language or images that violate laws, such as copyright, trademark, false advertising, incitement of violence, or similar laws are prohibited.
• Yard signs that do not comply with this policy may be removed at the discretion of an authorized university official(s).

Individual Workspaces and Offices

Consistent with the university's Viewpoint Neutrality Policy, employees may display personal items expressing political, social, or ideological viewpoints in their individual workspaces. Such displays are considered personal expression and are not subject to the approval requirements of this policy. Employees who share workspace such as desks or cubicles should be considerate of others who use the space when displaying personal items. Personal items may need to be removed when other employees utilize the space and only displayed when the owner utilizes the shared workspace.

Personal items include, but are not limited to, buttons, photographs, artwork, decorations, and similar items that are the personal property of the employee. The display of personal items does not constitute use of university resources for the purposes of the Viewpoint Neutrality Policy.

Personal items may not include content that would violate the university's policies on sexual harassment, discriminatory harassment, or other applicable workplace conduct policies. Any restrictions on personal items under this provision must be based on existing university policy and applied without regard to political, social, or ideological viewpoint.

Employees in roles involving direct student evaluation, student services, or significant public interaction should be mindful that personal displays may be perceived by students or visitors. Nothing in this policy requires removal of personal items based on the viewpoint expressed, but employees are encouraged to consider whether prominent displays might affect perceptions of impartiality in the performance of their official duties.

Compliance and Enforcement

Failure to comply with this policy may result in the university removing Temporary Signage from the university campuses and/or loss of future privileges. Individuals, groups, or organizations will be responsible for costs associated with the installation or removal of Signage and/or any damages to university property caused by Signage. Gross or repeat violations of this policy are subject to appropriate sanctions and/or disciplinary action as defined in accordance with applicable university policies. UPDC is responsible for enforcement of this policy.

Enforcement decisions shall be based solely on viewpoint-neutral criteria, including but not limited to location, size, duration, method of installation, safety considerations, and compliance with the procedural requirements of this policy. Enforcement decisions shall not be based on the political, social, or ideological content or viewpoint of the Signage.

Related Information:

Branding Policy

HSC Signage Guidelines (log-in required)

UPDC Signage Guidelines

University Housing Policies

Use of Campus Grounds Policy

Policy Reasoning:

This policy serves to inform the university community of the criteria that must be met to use or display Signage on university campuses, protect the image and safety of the university and its facilities, and enhance the academic experience while maintaining a marketplace of ideas where the free exchange of ideas is celebrated.

Definitions:

Signage includes Permanent and Temporary Signage.

Permanent Signage includes, but is not limited to building name, wayfinding, street names, emergency Signage, legally required Signage, traffic control, and parking.

Temporary Signage is defined as postings on the interior and exterior of university buildings and other outdoor areas, including banners, vinyl window graphics, posters, or any other form of sign containing content that is non-permanent in nature.

Individual Workspace means an employee's assigned office, cubicle, workstation, or other designated personal work area.

Personal Items means items that are the personal property of the employee and are not provided by or purchased with university funds, including but not limited to buttons, photographs, artwork, posters, flags, and decorations.

Responsibilities:

UPDC is responsible for providing education and interpretation of this policy.

UPDC is responsible for enforcement of this policy.

UPDC is responsible for coordinating the approval of any Signage requests including location, type of installation, and brand compliance.

Official University Administrative Policy

Policy Name:

Equal Employment Opportunity

Effective Date:

May 1 1992

Policy Number:

PER 1 01

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The University of Louisville is an Equal Employment Opportunity employer. The University strives to provide equal employment opportunity on the basis of merit and without unlawful discrimination on the basis of race, sex, age, color, national origin, ethnicity, creed, religion, disability, genetic information, sexual orientation, gender, gender identity or expression, veteran status, marital status, or pregnancy. It is the policy of the University that no employee or applicant for employment be subject to unlawful discrimination in terms of recruitment, hiring, promotion, contract, contract renewal, tenure, compensation, benefits, and/or working conditions. No employee or applicant for employment is required to endorse or condemn a specific ideology, political viewpoint, or social viewpoint to be eligible for hiring, contract renewal, tenure, or promotion.

The University acknowledges its obligations to ensure affirmative steps are taken to ensure equal employment opportunities for all employees and applicants for employment.

Statement on Veterans and Individuals with Disabilities: The University prohibits job discrimination of individuals with disabilities, Vietnam era veterans, qualified special disabled veterans, recently separated veterans, and other protected veterans. This statement is intended to comply with the University's obligations under the Rehabilitation Act of 1973 and the Vietnam Era Veteran Readjustment Act of 1974.

Definitions:

NOTE: Vietnam Era Veteran denotes an individual who served in the Armed Forces of the United States during the period of August 5, 1964, and May 7, 1975.

Responsibilities:

University of Louisville administrators are responsible for taking steps to ensure compliance with this Policy.

Official University Administrative Policy

Policy Name:

Expenditure Authorization

Effective Date:

December 1 2005

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

All payment requests submitted or travel vouchers must include the following:

1. Payee Name, Address, and Vendor number (excluding employees and active students).
2. Department name, requestor name, phone number, and e-mail address.
3. Date.
4. Employee ID/Student ID number, if applicable.
5. Detailed description of the expense(s).
6. Amount(s).
7. Speedtype (valid number and appropriately funded) and account number for each expense.
8. Appropriate signatures (**See below).

**Signature Requirements:

Employee reimbursements:
1. Employee.
2. Speedtype authority.
3. Supervisor.
4. Department Dean/VP/Chair (entertainment expenses only).

Trade Supplier Payments:
1. Speedtype authority.
2. **Supervisor (if payment being made on behalf of specific employee or group of employees for dues, memberships, parking, registrations, etc.).

**The senior-most supervisor should approve the payment request in cases of group registrations, memberships, parking, etc. and should not be an individual who is included in the group.

Official University Administrative Policy

Policy Name:

Identity Verification of Students Enrolled in Online Courses

Effective Date:

December 14 2021

Policy Applicability:

This policy applies to University of Louisville online programs courses and activities including courses designated as Distance Education DE or other comparable designation The University of Louisville offers online courses which fall under the U S Department of Education s definition of distance education and this policy applies to all courses that are subject to the federal requirements for distance education beginning with the application for admission and continuing through a student s graduation transfer or withdrawal from study University of Louisville employees and students are responsible for complying with this policy

Policy Statement:

The University of Louisville (University or UofL) is committed to complying with all applicable requirements regarding the operation of distance education within states and U.S. territories. The University has established processes to confirm that a person who is enrolling in distance education courses at the University is the same person who enrolls at the University, completes examinations, and participates in, completes, and receives credit for the course.

The University meets the federal requirement by authenticating student identities through an individual secure login and password (i.e., User ID and password). The University uses a combination of course management system (learning management system "LMS") and student, financial, and human resources management system in conjunction with student code of conduct policies to ensure the integrity of its online learning system and to verify the identity of enrolled students. Required multifactor authentication (MFA) has been implemented across these university systems.

Secure Login and Password

Each student has their own assigned User ID and student-generated password to log into learning management systems. The User ID is not a secure credential and may be displayed at various areas in the learning management system. The password used to enter the system is a secure credential. Access passwords may not be shared or given to anyone other than the user to whom they were assigned for any reason. All users of the University's learning management systems are responsible for maintaining the security of passwords and any other access credentials assigned. The University provides information to its users, including students, regarding password security, academic integrity, privacy rights, and sensitive data security.

Associated Fees with Verification of Student Identity

The University is required, through federal regulations and SACSCOC, to notify students of any additional student charges associated with the verification of student identity at the time of registration or enrollment. Federal regulations also require the University to make readily available to enrolled and prospective students the cost of attending the institution (34 CFR § 668.43).

The University notifies all students of projected additional costs in the Schedule of Classes. Registration for classes at UofL is an electronic process, and bills are generated based on the student's course selections. Therefore, if any distance education course requires a proctored exam or has other associated fees, students are notified upon registration for the class. The Schedule of Classes indicates that a proctor, if needed, may charge the student a fee.

The Delphi Center for Teaching and Learning provides guidance that should be used as a reference for proctored examinations: https://louisville.edu/online/resources/exam-proctoring

The University may also authenticate student identities through a combination of the following methods:

• Proctored examinations (remote and/or in-person) http://louisville.edu/online/resources/exam-proctoring);
• Pedagogical and related practices that are effective in verifying student identity (faculty review, questioning students, etc.); or
• Other technologies approved by the University that have been shown to be effective in verifying student identification.

Pedagogical and Related Practices

As technology and personal accountability are not absolute in determining a student's identity, instructors are encouraged to design courses that use assignments and evaluations that support academic integrity. Changes in student behavior such as sudden shifts in academic performance or changes in writing style or language used in discussion groups or email may indicate academic integrity problems. Instructors are encouraged to use a variety of assessment instruments, and to routinely ask students to share, in appropriate ways, important ideas learned from texts and references, require research projects and paper assignments to be submitted in steps, and/or use websites or technologies that check for plagiarism.

New or Emerging Technologies

Third party vendors that provide robust identity verification or proctoring software services may be used as an option by the University or its academic units. Course instructors must use the identity verification or proctoring software approved by the University. Instructors may, with cause, request to use alternative identity verification or proctoring software. If alternate identity verification software is approved, instructors are responsible for informing the Academic Technology Committee of any new technologies being used to verify student identity so that published information on student privacy can be maintained appropriately, and so that the University can coordinate resources and services efficiently. Because technology and personal accountability may not verify identity absolutely or ensure academic integrity completely, instructors are encouraged, when feasible and pedagogically sound, to design courses that employ assignments and evaluations unique to the course and that support academic integrity.

In addition to the aforementioned policies and procedures, the UofL Student Code of Conduct applies to all students regardless of location and addresses the misuse of electronic resources. Further, the UofL Student Rights and Responsibilities document outlines for students the definition of academic dishonesty, which includes situations such as such as sending a substitute to take one's test, conducting research for another student, and other related situations.

Privacy Protection

The privacy of student education records is governed by FERPA. Any and all methods used by any University employee to access and/or verify student identity in distance education must protect the privacy of student information and be in compliance with FERPA, KRS 61.931-934, the University's information security policies, and the University's Privacy Statement.

Personally identifiable information collected by the University may be used, at the discretion of the institution, as the basis for identity verification. For instance, a student requesting a password to be reset may be asked to provide two or more pieces of information for validation to compare with data on file.

Compliance

Employees and students are expected to comply with this policy and associated University policies in promoting the academic integrity of its distance education courses, as explained in the University's catalog and Student Handbook under academic regulations. These policies are widely disseminated throughout the University.

Units and employees are expected to comply with this policy when engaging in distance education courses and programs. Failure to comply could result in disciplinary action of employees, suspension of distance education courses, and/or financial loss of courses found in violation of this policy. Federal regulations related to distance education were used to guide this policy and any violation of this policy will be taken seriously.

Individuals may report violations of this policy to the Delphi Center for Teaching and Learning at 852-4319 and deregs@louisville.edu, the University Integrity and Compliance Office at compliance@louisville.edu, or to the University's Compliance and Ethics Hotline.

Related Information:

UofL Procedures on Notification of Charges and Other Fees Associated with Verification of Student Identity

Federal Regulation:

34 §602.17(g): https://www.ecfr.gov/current/title-34/part-602/section-602.17#p-602.17(g)

SACSCOC

Distance Education and Correspondence Courses Policy Statement: https://sacscoc.org/app/uploads/2019/07/DistanceCorrespondenceEducation.pdf

KY Personal Information Security and Breach Investigation

In addition to the foregoing, the University of Louisville complies with applicable state law, such as KRS 61.931-934. KRS 61.931-934 is a data privacy law that imposes data security requirements, investigation requirements and breach notification requirements on governmental agencies and "nonaffiliated third parties" that do business with governmental agencies.

Policy Reasoning:

Per federal law and the Southern Association of Colleges and Schools Commission on Colleges' (SACSCOC) Principles of Accreditation, institutions offering online education (hereinafter referred to as distance education) must have processes to establish that the student who registers in such courses is the same student who participates in and receives academic credit.

The purpose of this policy is to ensure that the University of Louisville operates in compliance with the federal requirements concerning the verification of student identity in distance education. This policy provides awareness to University of Louisville employees of the regulations and requirements related to verification of student identity and helps to eliminate risks of non-compliance to the University of Louisville and its students.

Definitions:

Distance Education: The United States Department of Education defines distance education as follows:

(1) Education that uses one or more of the technologies listed in paragraphs (2)(i) through (iv) of this definition to deliver instruction to students who are separated from the instructor or instructors and to support regular and substantive interaction between the students and the instructor or instructors, either synchronously or asynchronously.

(2) The technologies that may be used to offer distance education include:

(i) The internet;

(ii) One-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices;

(iii) Audio conference; or

(iv) Other media used in a course in conjunction with any of the technologies listed in paragraph (2)(i) through (iii) of this definition.

(3) For purposes of this definition, an instructor is an individual responsible for delivering course content and who meets the qualifications for instruction established by an institution's accrediting agency.

(4) For purposes of this definition, substantive interaction is engaging students in teaching, learning, and assessment, consistent with the content under discussion, and also includes at least two of the following:

• Providing direct instruction;
• Assessing or providing feedback on a student's coursework;
• Providing information or responding to questions about the content of a course or competency;
• Facilitating a group discussion regarding the content of a course or competency; or
• Other instructional activities approved by the institution's or program's accrediting agency.

(5) An institution ensures regular interaction between a student and an instructor or instructors by, prior to the student's completion of a course or competency:

• Providing the opportunity for substantive interactions with the student on a predictable and scheduled basis commensurate with the length of time and the amount of content in the course or competency; and
• Monitoring the student's academic engagement and success and ensuring that an instructor is responsible for promptly and proactively engaging in substantive interaction with the student when needed, on the basis of such monitoring, or upon request by the student.

Responsibilities:

All Users of the University's learning management system (LMS) are responsible for any and all uses of their account. Users are responsible for changing passwords periodically to maintain security.

Students are responsible for providing accurate and true information about themselves in any identity verification process. The University requires students to follow University's policies regarding security, plagiarism, and other forms of academic dishonesty. When students receive their email account, they receive an email from Information Technology Services (ITS) that says, "Please ensure that you are familiar with the University's policies and standards located at https://louisville.edu/security/policies. Use of this account indicates the acceptance by you of these policies and standards, changes or modifications." University of Louisville student community members are expected to uphold and abide by the Student Code of Rights and Responsibilities.

Instructors teaching courses through distance education methods have the primary responsibility for ensuring that their courses comply with the provisions of this policy and its associated procedures and regulations. Instructors may consult with the Delphi Center to ensure that their distance education courses meet the above verification of student identity requirements.

Unit Heads (Deans and directors) are responsible for ensuring that academic awards, degree programs and instructors within their unit comply with the provisions of this policy and regulations.

The Delphi Teaching and Learning Center is responsible for interpretation of this policy, educating unit heads and other University leadership of this policy and any changes to it in a timely fashion. The Delphi Center shall, as requested, provide instructors with appropriate training to use pedagogical approaches and technology to promote academic integrity. The Delphi Center is responsible for creating and maintaining informational resources and trainings, as needed, covering verification of student identity for instructors.

Official University Administrative Policy

Policy Name:

Purchase of Pre Owned and Reconditioned Equipment and Products

Policy Number:

PUR 35 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The University may elect to purchase this type equipment or product provided a written determination is filed outlining the following:

1. The purchase is fully justified.
2. It is of proven value to the University.
3. Bona fide statements of the condition of the materials accompany the letter.
4. Independent appraisals of all equipment and/or other materials attesting to current market values accompany the request. Complete data and descriptions, model numbers, serial numbers, brand names, and accessories must also be included.

Related Information:

Items are still subjected to formal bidding.

Policy Reasoning:

Pre-owned, reconditioned, and demonstrator-type equipment and products may sometimes meet the needs of the University when available at current and fair market prices. Value analysis may also determine that "factory-seconds" products can meet this criterion.

Responsibilities:

Procurement Services shall review such requests, and if they are determined to be in the best interest of the University, with purchase costs(s) reasonable, may issue the authority for purchases under established policies and procedures.

Official University Administrative Policy

Policy Name:

Security Incidents

Effective Date:

July 23 2007

Policy Number:

ISO 006 v2 0

Policy Applicability:

This policy applies to all University workforce faculty and student members including but not limited to faculty staff students temps trainees volunteers and other persons as deemed appropriate while conducting performing work teaching research or study activity using University resources and includes all facilities property data and equipment owned leased and or maintained by the University or affiliates

Policy Statement:

The policy of the University of Louisville is to minimize both the frequency and the severity of information security incidents within the University environment. All users are responsible for and must maintain their university computing/mobile devices and data in as safe a manner as is reasonably possible. In the event of an incident, the standards outlined in this document as well as the related procedures must be followed.

Policy Reasoning:

Compromises in information security can include both electronic and hard copy information. Electronic compromises can potentially occur at every level of computing from an individual's small mobile device to the largest and best-protected systems on campus. Incidents can be accidental incursions or deliberate attempts to break into systems and can range from benign to malicious in purpose or consequence. Regardless, each incident requires careful response at a level commensurate with its potential impact to the security of individuals, sensitive information and the campus as a whole.

The accelerated pace of technological change and concurrent reliance on electronic information systems has greatly increased both the potential exposure of sensitive information to the world at large via electronic means and the motivation of some to exploit computing devices, computing infrastructure and software either for gain or to cause organizational difficulties. Governmental authorities, regulatory bodies and standards organizations have recognized this new reality and responded with laws, regulations and other measures to motivate organizations to take the steps necessary to minimize or prevent information security incidents before they occur.

This environment means that all persons within the University have an active role in preventing security incidents or in minimizing them if they occur.

For the purposes of this policy an "Information Security Incident" is any accidental or malicious act with the potential to:

• Result in misappropriation or inappropriate modification or disclosure of sensitive information;
• Affect the functionality or continuity of information technology including the infrastructure of the University;
• Provide for unauthorized access to university resources or information; or
• Allow university information technology resources to be used to launch attacks against either other internal resources or the resources and information of other individuals or organizations.

Definitions:

Users - Includes students, faculty, staff, administrators and other employees of the University of Louisville and its affiliated entities and any other individual having a computer account, email address or utilizing the computer, network or other information technology services of the University of Louisville.

Sensitive Information - Information of a confidential or proprietary nature and other information that would not be routinely published for unrestricted public access or where disclosure is prohibited by laws, regulations, contractual agreements or University policy. This includes (but is not limited to) full name or first initial and last name and employee ID (in combination), identifiable medical and health records, grades and other enrollment information, credit card, bank account and other personal financial information, social security numbers, grant reviews, dates of birth (when combined with name, address and/or phone numbers), user IDs when combined with a password, etc. Sensitive information does not include personal information of a particular individual which that individual elects to reveal (such as via opt-in or opt-out mechanisms) (see Information Management and Classification Standard).

Responsibilities:

Policy Authority/Enforcement: The University's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with University Leadership, Information Technology, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the University and/or action in accordance with local ordinances, state or federal laws.

Official University Administrative Policy

Policy Name:

Effort Reporting Alignment with Annual Workload Agreements

Effective Date:

December 1 2006

Policy Applicability:

This policy applies to University administrators and faculty

Policy Statement:

Department chairs will ensure that each faculty member's approved FWLA allocation of IBS to the categories of teaching, research, service, and other activities is adequately communicated and modified as necessary to align workload to committed effort. This would include notification to those individuals associated with the preparation of sponsored program proposal budgets and to those who establish the payroll distribution of committed effort to a related speedtype(s).

Faculty will compare their current FWLA allocations of IBS to the effort percentages resulting from the payroll distribution as presented on the University Effort Report. At minimum, this should occur semi-annually when required to certify effort.

The intended result is to ensure that the IBS distributed through payroll to sponsored programs reasonably reflects the effort expended on these projects and that the total allocation of effort on sponsored programs complies with the faculty member's FWLA.

Policy Reasoning:

The purpose of this policy is to establish the requirements necessary to ensure that faculty align their annual workload agreement (FWLA) with the allocation of effort committed to sponsored programs. Actual effort is certified via semi-annual Effort Reports that are produced through the actual distribution of payroll.

The University of Louisville requires each faculty member to present an annual work plan that is endorsed by their department chair for approval by the dean. The approved FWLA identifies the allocation of each faculty member's responsibilities (e.g., teaching, research, service, and other institutional obligations). The FWLA should identify and segregate any compensation and activities not included within the definition of Institutional Base Salary (IBS).

It is incumbent upon each faculty member not to commit effort to funded externally sponsored programs in excess of the allocations identified within the approved FWLA without obtaining prior approval to amend their work plan. This is intended to minimize the risk of committing effort in excess of the percentages of IBS allocated to teaching, research, service, and other activities per the FWLA.

Responsibilities:

Deans and Department Heads will ensure that FWLAs reflect an appropriate allocation of IBS to sponsored programs and other university responsibilities and provide the FWLA and IBS information to those who administer payroll, prepare proposal budgets and assist faculty with effort report certification. Tools such as spreadsheets or a similar mechanism created to track workload, committed effort and payroll distribution for faculty members over a period of time may assist in determining whether a change in the FWLA is required and guard against over committing effort when a sponsored program is awarded.

The OSPA Compliance Core will require semi-annual certified Effort Reports for University employees expending effort on a federally sponsored award during the reporting timeframe.

Official University Administrative Policy

Policy Name:

Pre Award Spending

Effective Date:

July 1 2004

Policy Number:

RES 2 05

Policy Applicability:

This policy applies to the University Community administrators faculty and staff

Policy Statement:

Prior to authorizing work and associated expenditures on an anticipated sponsored program the Principal Investigator or Project Director's supervisor must request that the Office of the Executive Vice President for Research and Innovation (EVPRI) establish a chartfield with associated speedtype.

Related Information:

This policy does not apply to agencies that prohibit pre-award spending. Pre-award spending on federal awards that do allow pre-award spending will be limited to 90 days prior to the actual start date of the award. Neither does this policy change the requirement that no subjects may be enrolled in clinical trials prior to Institutional Review Board (IRB) approval or, if a sponsored clinical trial, a signed agreement. Pre-award expenditures must meet the same guidelines of allowability, allocability and reasonableness as described in 2 CFR 200.

University of Louisville Pre-Award Guarantee Guidelines — Office of Sponsored Programs Administration

Policy Reasoning:

Often a Project Director (PD) or Principal Investigator (PI) wishes to begin a project prior to the award date but rather than requesting a speedtype in advance of the award, expenses are placed on an existing speedtype. This practice significantly increases the number of salary and expense transfers if work begins prior to the formal award notice and/or contract execution. This policy is to assure that costs incurred between beginning the work and formal notification of award or in advance of the award date do not require transfers but are posted originally to the correct speedtype.

Definitions:

Office of the EVPRI - Office of Sponsored Programs Administration (OSPA- Grants Division)

Responsibilities:

Deans, Directors, and Department Heads

Approval of establishing the pre-award Chartfield/speedtype and provision of an unrestricted funding source to guarantee pre-award spending.

Institutional Officials

OSPA representative is responsible for the establishment of new Chartfield/speedtypes.

VIOLATIONS OF THIS POLICY

Transfer of expenditures may not be authorized by the OSPA if no request for pre-award spending has been requested and approved prior to the date of expenditure.

Official University Administrative Policy

Policy Name:

Conflict of Interest

Effective Date:

May 1 1992

Policy Number:

PER 1 03

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

This policy is obsolete. Please see Conflict of interest policies administered by the Conflict of Interest Program.

Related Information:

http://louisville.edu/conflictofinterest/policies

Official University Administrative Policy

Policy Name:

Discipline

Effective Date:

February 3 1993

Policy Number:

PER 5 01

Policy Applicability:

This policy applies to University Administrators and Staff

Policy Statement:

DISCIPLINE (Staff)

The University of Louisville may impose discipline whenever job performance or personal conduct issues need improvement. Effective performance consists of meeting job performance expectations, while maintaining appropriate work-related behaviors.

The university is committed to providing staff employees an opportunity to demonstrate improvement and progressive discipline, when a reasonable person would expect progressive discipline. However, the university reserves the discretion to impose immediate (non-progressive) discipline, as it deems appropriate, for job performance that has a material adverse impact on the department or for unacceptable personal conduct that is disruptive to the work environment or adverse to the university's interests.

Disciplinary Actions

1. Disciplinary actions may take the form of (1) a written warning, (2) final written warning or suspension without pay, or (3) reduction in salary, demotion in grade, or termination.
2. The specific action taken will depend on the nature of the offense, the circumstances surrounding the offense, and the employee's previous record. In all instances, both for job performance and personal conduct, the university reserves the right to take such action as it deems appropriate, as determined by the employee's disciplinary authority.
3. Placing an employee on administrative leave with pay or requiring an employee to use his or her paid leave for any reason does not constitute a disciplinary action.
4. Issuing a letter of instruction, a performance improvement plan, or attendance improvement plan (which serves to clarify performance expectations) does not constitute a disciplinary action.

Note Regarding Staff Grievances & Appeals: Oral clarification of expectations, letters of instruction, performance improvement plans, and attendance improvement plans are not disciplinary actions and are not subject to grievance or appeal. Written warnings and suspensions without pay are subject to internal review in accordance with the Grievance Policy (PER 5.03). Reductions in salary, demotions in grade, and terminations are subject to external review in accordance with the Staff Appeal Policy (PER 5.04). See Redbook Section 2.3.2 for Grievances of Administrators.

Issuance and Effective Duration of Disciplinary Actions

1. Disciplinary action shall customarily be taken within 15 workdays following the date on which the last alleged infraction that led to the disciplinary action was discovered by the university, unless the university determines that further investigation or review is required to determine an appropriate course of action, provided notice of such investigation or review is conveyed to the employee within the initial 15 workdays. If the university determines that such an investigation or review is necessary, disciplinary action shall customarily be taken within 15 workdays following the completion of the investigation or review. Initiating a disciplinary action beyond the customary 15 workdays requires the prior approval of the Director of Employee Relations & Compliance.
2. A written warning shall be of no further effect 12 months after the date of the warning, provided that no additional written warning or other disciplinary action was issued for the employee for any reason during that 12-month period.
3. A final written warning and suspension without pay shall be of no further effect after three years, provided that no additional disciplinary action was issued for the employee for the same reason during the three year period.
4. A reduction in salary or demotion in grade is a permanent change in the employee's status, as of its effective date.
5. Copies of all written disciplinary actions shall be conveyed to Human Resources and made a part of the employee's official personnel record.

DISCIPLINARY STANDARD

The standard for management decision making with respect to imposing discipline or corrective action shall be that management engaged in an appropriate fact-finding process (relevant to the circumstances) prior to making a disciplinary decision and that the decision to impose discipline is reasonable (given the facts known to the manager at the time the decision is rendered).

DISCIPLINARY AUTHORITY

The authority to impose discipline is exercised by the employee's department head or director provided such individual serves at least two levels removed from the employee. Otherwise, the authority is exercised by the next higher level (above the department head or director) in the chain of command or the employee's Executive Vice President (regardless whether the EVP is two levels removed from the employee).

Delegation of Authority & Approval Required

1. An employee's 1st line supervisor exercises delegated authority to issue written warnings or place an employee on administrative leave with pay (pending an investigation of alleged wrong doing), without prior approval.
2. Prior approval of the employee's 2nd line supervisor shall be required to suspend an employee without pay or to recommend a reduction in salary, demotion in grade, or termination for cause.
3. Prior approval of the employee's disciplinary authority, with the concurrence of the Director of Employee Relations and Compliance as to policy compliance, shall be required for a reduction in salary, demotion in grade, or termination for cause.

No Re-hire List

Employees who are terminated for cause under the provisions of this policy may be determined to be ineligible for rehire; provided that the employee receives notice of being determined ineligible for rehire at the time of termination and has the opportunity to respond.

Examples of terminations that could result in a terminated employee being determined to be ineligible for rehire include, but are not limited to: (1) multiple terminations for unsatisfactory job performance or unacceptable personal conduct (including resignations in lieu of termination) or (2) any termination for personal conduct that includes personal dishonesty, falsification, misappropriation of funds, theft, possession or sale of a controlled substance on university premises, violent conduct, harassment, or any other act or omission that in the university's judgment would reasonably preclude re-employment. Employee Relations staff in Human Resources maintain No Rehire lists.

TERMINATION OF ADMINISTRATORS

In termination of the administrative services of any individual serving at the pleasure of the Board, the following rules apply:

1. Administrators with faculty rank and faculty with administrative functions retain their position in the faculty in whatever rank and tenure status they hold at the time of their termination as administrators.
2. Administrators without faculty rank and with more than fifteen years of service to the University, if terminated in one position, may expect that every effort will be made by the University to provide for their continued service in another position which can make good use of their abilities and previous experience, though not necessarily at the same grade level as they have had in their immediate past position.
3. Administrators without faculty rank and with less than fifteen years of service will normally be separated from the University, but a transfer to another function is possible if a suitable arrangement can be worked out.
4. Nothing in the above provisions restrains the Board of Trustees from terminating the services of any administrator in any and all capacities in the University if such termination is for cause as defined in Section 4.5.3.A of the Redbook.

Note: This policy does not apply to staff who are under contract with the University of Louisville Athletics Association, Inc.

Related Information:

PROGRESSIVE DISCIPLINE (STAFF)

Progressive discipline consists of a clarification of performance or personal conduct expectations by management; followed by three distinct opportunities for an employee to demonstrate improvement, prior to termination for cause. [Examples provided below]

1. Clarification of Expectations, followed by 1st opportunity to improve. Examples of Clarification of Expectations include but are not limited to:
   1. Oral clarification of expectations.
   2. Letter of instruction.
   3. Performance improvement plan.
   4. Attendance improvement plan.
2. Written Warning, followed by 2nd opportunity to improve.
3. Final Written Warning or Suspension without Pay, followed by 3rd opportunity to improve.
4. Termination for Cause, if progressive discipline has not brought about satisfactory job performance or acceptable work-related behavior, subject to a pre-termination conference (See PROCEDURES section).

1. Oral clarification of expectations.
2. Letter of instruction.
3. Performance improvement plan.
4. Attendance improvement plan.

Progressive and immediate discipline for both job performance and personal conduct include (but are not limited to) the examples outlined below and are offered for illustrative purposes only:

Examples where Progressive Discipline
Is Appropriate for Job Performance

Examples where Immediate Discipline
May be Imposed for Job Performance

I. Job Performance (Progressive)

II. Job Performance (Immediate)

I.A. Unsatisfactory job performance (related either to
quality or quantity of work).

II.A. Insubordination.

I.B. Negligence resulting in incidental loss of
productivity or property, but no injury to other persons.

II.B. Gross negligence resulting in material
loss of productivity or property or injury to
other persons.

I.C. Failure to follow university policies & procedures, including college, school, division, or departmental
guidelines or work rules.

II.C. Willful disregard of university policies &
procedures, including college, school,
division, or departmental guidelines or work rules.

Examples where Progressive Discipline
Is Appropriate for Personal Conduct

Examples where Immediate Discipline
May be Imposed for Personal Conduct

III. Personal Conduct (Progressive)

IV. Personal Conduct (Immediate)

III.A. Time and attendance problems; excessive
absences or tardiness, unauthorized absences, or
abuse of sick leave.

IV.A. Walking off the job during an assigned
shift.

III.B. Failure to safeguard university property or funds,
including failure to make timely disposition or report
of loss, with limited adverse impact to the University.

IV.B. Failure to safeguard university property
or funds, including failure to make timely
disposition or report of loss, with significant
adverse impact to the University.

III.C. Inappropriate or unauthorized use of university
property or resources.

IV.C. Use of university property or resources
for personal gain or political advocacy.

III.D. Misuse of information technology resources,
including excessive personal use (even if during
own time).

IV.D. Intentional disruption of university computer
systems, unauthorized alteration, disclosure, or
destruction of university computer systems or
material, improper access to university computer
files and systems. Any pornographic use.

III.E. Presence at work under the influence of drugs
or alcohol, with no loss of property or threat to the
safety of others. Valid for first offense only.

IV.E. Presence at work under the influence of
drugs or alcohol that results in loss of property
or threat to the safety of others. Any multiple
offense under the influence at work. Any
possession, sale, or use of controlled substances
at work.

III.F. Discourteous treatment of other employees,
students, or the public

IV.F. Hostile, offensive, or intimidating behavior
of any kind. Harassment of any kind.

III.G. Negligence in filing complete and accurate
records of hours worked and leave taken.

IV.G. Personal dishonesty of any kind, including
knowingly furnishing false, misleading, or incomplete
information or reports to the university.

III.H. Unauthorized (but unintentional) release of
confidential information. Failure to safeguard
confidential information.

IV.H. Intentional release or any personal use
of confidential information in an employee's
custody because of his/her job.

IV.I. Theft of university property, embezzlement,
or intentional misuse of procurement cards,
regardless of amount.

IV.J. Failure to maintain credentials required
to perform the work of the position.

IV.K. Willful abuse of work time; excessive or
unauthorized breaks, surfing the web, or
willfully sleeping on the job during work hours

IV.L. Personal conduct of any kind that is
disruptive to the work environment or which
is adverse to the interests of the University.

IV.M. Violation of local, state, or federal law.

IV.N. Intentional acts or failures to act in
the workplace or in the scope of employment
that contribute to the harm of or the
unacceptable risk of harm to individuals
or property.

IV.O. Any act or omission that in the
university's judgment is deemed to be
adverse to the interests of the University.

Policy Reasoning:

The university promotes a culture where staff employees and supervisors may engage in constructive conversations regarding job performance or work-related conduct with a shared objective of improving unsatisfactory job performance or correcting unacceptable work-related behaviors. The goal of progressive discipline is to promote improved job performance or to correct unacceptable personal conduct.

Definitions:

http://louisville.edu/hr/policies/definitions

Official University Administrative Policy

Policy Name:

Employee Assistance Program

Effective Date:

May 1 1992

Policy Number:

PER 1 19

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

PROGRAM GOAL STATEMENT

The objective of the Faculty/Staff Employee Assistance Program is to reduce problems in the workforce and to retain valued employees. We recognize that problems of a personal nature can have an adverse effect on an individual's job performance. It is also recognized that personal problems can be dealt with most successfully when identified early and referred to appropriate care. Responsibility for the resolution of personal problems that may affect performance rests with the individual. The Employee Assistance Program (EAP), however, provides assistance through special arrangements with an outside counseling resource. The program deals with the broad range of human problems such as emotional/behavioral, family and marital, alcohol and/or drug, financial, legal, and other personal problems.

All levels of management should be aware of this resource and encourage faculty and staff with performance problems to use this resource when appropriate to assist in resolving performance problems related to personal problems.

The program provides problem assessment, some short-term counseling, and referral through an independent, private service provider agency under contract to the university. Costs for services of this provider are covered by the university. Costs of other services including those provided on a referral basis by others which are not covered by insurance or other benefits, are the responsibility of the faculty or staff member.

Related Information:

PROGRAM GUIDELINES

The guidelines for the use of this program are as follows:

A. The program is available to all permanent faculty, staff, and administrators of the university no matter what their rank, job title or responsibilities. The program is also available on a self-referral basis. The individual should contact the service provider under contract to the university.

B. A faculty or staff member's participation in the program will not adversely affect promotion, disciplinary, or performance decisions of the university.

C. All records and discussions of personal problems will be handled in a confidential manner. These records will be kept by the designated counseling resource and will not become a part of the faculty's, staff's, or administrator's personnel file.

D. Individuals with performance problems are to be encouraged to seek assistance from the service provider to determine if personal problems are contributing to the unsatisfactory performance. If performance problems are corrected, no further action will be taken. If performance problems persist, the individual will be subject to normal corrective procedures, regardless of program participation or non-participation.

E. Absences due to participation in the Employee Assistance Program are to be handled in accordance with established personnel policies pertaining to the use of annual and sick leave, personal time, and leaves of absence.

F. This program does not alter or replace existing administrative policy or contractual agreements, but serves to assist in their utilization. The university expressly reserves the right to cancel this program at any time.

CURRENT SERVICE PROVIDER

The current service provider under contract with the university to assist permanent faculty and staff is Anthem EAP, which can be reached at 1-800-865-1044 or AnthemEAP.com.

Official University Administrative Policy

Policy Name:

Viewpoint Neutrality

Effective Date:

June 26 2025

Policy Applicability:

This policy applies to all members of the University community including but not limited to members of the Board of Trustees administrators faculty staff and students

Policy Statement:

As provided in Section 2.5.1 of the University Redbook, The University of Louisville Board of Trustees affirms the belief that "Membership in the academic community imposes on students, faculty, staff, administrators, and trustees of the University an obligation to adhere to standards of academic honesty, to respect the dignity of others, to acknowledge their right to express differing opinions, and to foster and defend intellectual honesty, freedom of inquiry and instruction, and free expression both on and off the campus." (UofL Redbook Sec. 2.5.1)

The University of Louisville does not discriminate on the basis of an individual's political or social viewpoint. Moreover, the University supports and promotes intellectual diversity within the University. No individual shall be required to endorse or condemn a specific ideology, political viewpoint, or social viewpoint to be eligible for hiring, contract renewal, tenure, promotion, admission, or graduation.

Members of the University community will not require any individual to support, condone, or condemn a specific ideology or viewpoint as a condition or factor of admission hiring, promotion, contract renewal, appointment, tenure award, or graduation. The University specifically prohibits discrimination on the basis of an individual's political or social viewpoint and/or the application of any ideological or political litmus test in student admissions decisions, employment decisions, promotion decisions, academic evaluations, appointment considerations, or degree conferrals.

Authority for Official University Statements and Positions

Official University Statements

Only the President has the authority and responsibility to issue Official Statements and communicate official positions on behalf of the University. The President may designate this authority in writing to specific individuals for narrowly defined purposes, occasions, and circumstances. All Official Statements and Positions must adhere to University neutrality standards and shall be expressly limited to matters directly related to the University's mission, operational objectives, or legal obligations.

Board of Trustees Statements and Communications

The Chair of the University of Louisville Board of Trustees has the sole authority and responsibility to speak and/or issue statements on behalf of the Board of Trustees. The Board and the Board Chair shall adhere to the principle of Institutional Neutrality and shall not make any Official University Statement on political, social, or cultural matters that are not directly related to the University's mission, operational objectives, or legal obligations.

University Constituency Groups

Nothing in this policy shall be construed to constrict the ability of the Student Government Association, the Staff Senate, and the Faculty Senate, as core University stakeholders and essential participants in shared governance, to pass resolutions or otherwise represent their constituencies as long as they communicate that they are speaking for their specific constituency group and not on behalf of the University.

Free Speech and Personal Expression

Nothing in this policy is intended to impede the members of the University community in the exercise of their rights to free speech and the provisions of this policy should be interpreted consistent with the Campus Free Speech Protection Act, KRS 164.348, particularly as it relates to the rights of students. Subject to the guidelines of this policy, members of the University community have the freedom to participate in public service, political activity, and advocacy work in their private time and in their individual capacity.

Any expression made by a member of the University community as a private individual shall not give the impression of or purport to represent the University or any of its schools, units, departments, or affiliated organizations. Members of the University community shall observe the following guidelines in any public expression of their views as a private individual:

1. University e-mail accounts, social media accounts, or web addresses will not be used when issuing statements in a private capacity.
2. The University marks, logos, name, or associated images will not accompany private messages.
3. University web sites, signature lines, stationary, e-mail accounts, social media accounts, or web addresses shall not reference a private site, account, initiative, organization, or logo.
4. University logos, backdrops, signature lines, or stationary shall not be used for statements made in a private capacity.
5. When speaking at professional or academic meeting or conference, members of the University community shall clearly note that they are speaking in an individual capacity and do not represent the University.

Political Activity

While the University of Louisville fully respects the right and responsibility of University faculty, staff, and administrators to engage as private citizens in the political process on the local, state, and national level, the University prohibits the use of University resources or property to support or oppose a particular candidate or ballot initiative.

Examples of Impermissible use of University resources or property include, but are not limited to:

• Engaging in political activities on University property during regular University business hours or at official, University-sponsored events
• Engaging in political activity in an official capacity or when conducting instructional responsibilities
• Sending campaign correspondence using University stationary, computer, or electronic mail systems
• Using a University e-mail distribution list to campaign for or against a particular candidate, political party, or ballot initiative
• Using University equipment to create, copy, or distribute material to support or oppose a particular candidate, political party, or ballot initiative
• Using a University office, building, telephone, computer, e-mail address, web-conferencing service account, or meeting space to support or oppose a particular candidate, political party, or ballot initiative
• Unless specifically authorized by the University President, giving the appearance of speaking or campaigning on behalf of the University when supporting or opposing a particular political candidate, political party, or ballot initiative.

Academic Freedom

This policy upholds and respects the University's commitment to academic freedom. Nothing in this policy shall be construed to constrict academic inquiry, classroom discussion, academic research, or academic debate within an appropriate educational or instructional context.

This policy shall be published in the University REDBOOK, student handbook, and faculty handbook and shall also be displayed on a prominent, publicly accessible page of the University's website.

REMEDIES AND ENFORCEMENT

Allegations of non-compliance with this Policy should be submitted to the University's Integrity and Compliance Office for appropriate routing and review.

Persons found to have violated the provisions set forth in this policy will be subject to disciplinary action and penalties as set forth in applicable University of Louisville Policies, including University HR Policies, the Faculty Accountability Policy, and the Code of Student Conduct. These penalties may include, but are not limited to, suspension, demotion, termination, or in the case of students, dismissal.

Related Information:

KRS 164.2896

The Redbook, Section 2.5.1

Definitions:

Institutional Neutrality

The University's commitment to refrain from taking an official position on political, cultural, or social matters that are not directly related to the University's mission, operational objectives, or legal obligations.

Official University Statement or Position

Any formal press release, resolution, social medial post, e-mail message, or public communication issued on behalf of the University of Louisville that purports to or gives the impression of representing the University or its Board of Trustees on any matter.

Political Activity

Supporting or opposing any partisan political party, candidate, ballot initiative, or activity. This definition includes campaign activity in favor of any candidate for local, state, or national office, including oneself. For purposes of this policy, this definition shall not include promoting or opposing a candidate for Student Government, Faculty Senate, Staff Senate, or the University Board of Trustees. This definition shall not include activities authorized and initiated by the Office for External Relations.

University Property

Any real or personal property owned in which the University has a legal interest; any property, leased, or in any way controlled by the University.

University Resources

Any tangible or intangible University property, including, but not limited to, equipment, materials, supplies, devices, printers, copiers, software, licensing agreements, or human resources.

Official University Administrative Policy

Policy Name:

HIPAA Privacy Policy

Effective Date:

July 1 2015

Policy Number:

HPR 1 01

Policy Applicability:

This policy applies to University Employees administrators faculty and staff

Policy Statement:

The colleges, schools, departments, and administrative business units of the University that have been designated to be within the Health Care Component of the University's Hybrid Covered Entity are required to comply with the requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA) by:

1. Adhering to the University of Louisville HIPAA Policy Manual (available on the Privacy Office website). Members of the Health Care Component may develop HIPAA privacy policies and procedures specific to the University area involved, provided that the policies and procedures are at least as stringent as the University of Louisville HIPAA Policy Manual.
2. Ensuring that all Workforce members of the Health Care Component know and understand the University of Louisville HIPAA Policy Manual, as well as the Health Care Component's policies and procedures, as applicable, and where to access them.
3. Ensuring that appropriate online and area-specific training are provided to all Workforce members who may have access to Protected Health Information.

Related Information:

• HIPAA Privacy Regulations and Guidance, U.S. Department of Health and Human Services website: http://www.hhs.gov/ocr/privacy/index.html.
• Privacy Office website: http://louisville.edu/privacy.
• University Policy and Procedure Templates: http://louisville.edu/policies/policy-resources.
• 
  

Policy Reasoning:

The colleges, schools, departments, and administrative business units of the University that have been designated to be within the Health Care Component of the University of Louisville's Hybrid Covered Entity are responsible for complying with the requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA). Such compliance promotes a culture that adheres to the requirements of the regulations and values and protects the privacy of the Protected Health Information within its possession.

Definitions:

Covered Entity means:

1. A health plan.
2. A health care clearinghouse.
3. A health care provider who transmits any health information in electronic form in connection with a transaction covered by HIPAA.

Hybrid Covered Entity means:

A single legal entity that is a Covered Entity whose business activities include both HIPAA covered and non-covered functions. The entity is permitted to place areas which engage in activities regulated under HIPAA into a health care component. The areas inside the health care component must follow HIPAA regulations; however, the areas which are outside the health care component are not bound by HIPAA regulations. The current designated health care component can be found on the Privacy Office website at http://louisville.edu/privacy.

Protected Health Information means:

All "individually identifiable health information" held or transmitted by a Covered Entity or its business associate, in any form or media, whether electronic, paper, or oral.

"Individually identifiable health information" is information, including demographic data, that relates to:

•The individual's past, present or future physical or mental health or condition;

•The provision of health care to the individual; or

•The past, present, or future payment for the provision of health care to the individual, and that identifies the individual or for which there is a reasonable basis to believe it can be used to identify the individual.

Protected Health Information excludes individually identifiable health information:

1. Covered by the Family Educational Rights and Privacy Act, as amended (20 U.S.C. l 232g);
2. In employment records held by a Covered Entity in its role as employer; and
3. Regarding a person who has been deceased for more than 50 years.

Workforce means:

Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for a Covered Entity or Business Associate, is under the direct control of such Covered Entity or Business Associate, whether or not they are paid by the Covered Entity or Business Associate. For purposes of this definition, the University includes students as part of its Workforce.

Official University Administrative Policy

Policy Name:

International Travel

Effective Date:

August 10 2021

Policy Applicability:

This policy applies to University of Louisville employees administrators faculty and staff students and other persons traveling internationally on University of Louisville business

Policy Statement:

The University of Louisville (University) is committed to the health and safety of individuals traveling abroad for University educational or business purposes. The University requires all employees, students, and other persons traveling internationally on its behalf to comply with the conditions outlined in this policy.

All employees, students, and other persons traveling on University business are required to receive the Provost's Office approval prior to departure. All employee travel requests, with complete itinerary, should be submitted in UofL's Travel Registry no less than twenty (20) working days prior to departure. Instructions to complete a travel request can be found on the Faculty & Staff International Travel webpage. Student non-credit travel should be submitted in UofL Travel Registry no less than twenty (20) working days prior to departure. Student credit-bearing travel should be entered in the Office of Education Abroad Cardinals Abroad Portal. Once approved, a traveler will receive approval via email with travel insurance information.

The grid below identifies the correct portal and current travel restrictions based on Department of State (DOS) Travel Advisories.

Type of Travel

Registration Portal

DOS Level 1

DOS Level 2

DOS Level 3

DOS Level 4

Student (non-credit)

Travel Registry

Routinely Approved

Routinely Approved

Risk Mitigation Statement Required for Provost's Approval

Prohibited

Student (credit-bearing)

Cardinals Abroad Portal

Routinely Approved

Routinely Approved

Risk Mitigation Statement Required for Provost's Approval

Prohibited

Employees (Administrators, Faculty, & Staff)

Travel Registry

Routinely Approved

Routinely Approved

Risk Mitigation Statement Required for Provost's Approval

Risk Mitigation Statement Required for Provost's

Consideration

Other Persons

Travel Registry

Routinely Approved

Routinely Approved

Risk Mitigation Statement Required for Provost's Approval

Prohibited

DOS Travel Advisories

Level 1 - Exercise Normal Precautions

Level 2 - Exercised Increased Precautions

Level 3 - Reconsider Travel*

Level 4 - Do Not Travel*

*Countries with DOS Level 3 and Level 4 Travel Advisories require the completion of a Risk Mitigation Statement in the Travel Registry.

Travelers who do not receive Provost's Office approval prior to departure may not be reimbursed for any out-of-pocket expenses incurred.

No student, employee, or other person traveling shall be required to participate in an international activity under University auspices.

Securing University Devices and Data

Any person traveling internationally on behalf of the University who intends to take University devices or data or access such information while abroad must adhere to Information Technology Services (ITS) and the Office of Research Integrity's (ORI) requirements and review the University's Information Security policies on how to safeguard the University devices and data. Questions regarding the information security policies may be directed to isopol@louisville.edu. Technical questions should be directed to the ITS Helpdesk or your Tier 1.

Any person who intends to travel with or gain access to University research data while abroad shall comply with ORI Clean Laptop Program procedures.

Traveling to Office of Foreign Assets Control (OFAC) Sanctioned Countries

When traveling to countries on the Office of Foreign Assets Control's (OFAC) Sanctions List, employees must receive approval from the Office of Research Integrity. The employee or student must contact the ORI to obtain appropriate government licenses, complete necessary forms or agreements, and complete required training prior to approval for travel being granted.

Policy Compliance

Failure to comply with this policy will result in individuals not receiving approval for international travel, will result in the University not approving reimbursement requests related to such travel, may result in increased personal and financial risks to the individual traveling, and may result in individuals being subject to disciplinary action in accordance with University policy.

Interim Policies Necessitated by Extraordinary Circumstances

In any situation involving a Travel Advisory, Travel Health Notice or Travel Health Warning (the special conditions that caused the advisory, notice, or warning to be issued) may warrant additional or different University interim policies and precautions. In such a case, the Executive Vice President and University Provost has the authority to establish such interim policies and precautions in consultation with University officials as deemed appropriate under the circumstances. In the case of any conflicts between the interim policies and precautions and this policy, the interim policies and precautions will take precedence over this policy.

Related Information:

CDC Travel Health Notices

Zurich Travel Insurance

UofL Controller's Travel Policy

Policy Reasoning:

The University of Louisville supports and encourages its employees and students to participate in international travel activities and promotes opportunities for international study and research. The purpose of this policy is to protect students, employees, and other persons traveling abroad on University of Louisville business and to reduce risks associated with international travel.

Official University Administrative Policy

Policy Name:

Vehicle Purchase

Policy Number:

PUR 18 00

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

The purchase of either a new or replacement vehicle shall have approval from the Vice President for Finance/CFO before the purchases of any such vehicle may proceed.

All vehicles (new and used) purchased by the university must be flex fuel compatible to meet Department of Energy requirements. Exceptions include: emergency response vehicles, vehicles over 8500 GTW, and grounds equipment.

All vehicle titles must list the University of Louisville as the owner. All purchases made in foreign countries will require contacting their titling agency to assure the vehicle can be titled to the university.

Policy Reasoning:

All purchases of vehicles shall be in compliance with KRS 45A.

Official University Administrative Policy

Policy Name:

Establishment and Review of Centers and Institutes

Effective Date:

May 5 2025

Policy Applicability:

This policy applies to all University of Louisville units and individuals with responsibility for managing establishing and or approving an organizational structure identified with the terms Center or Institute or that otherwise functions in such a manner to meet the criteria as set forth in this policy This policy does not apply to entities defined as Administrative Centers This policy is intended to work in conjunction with the Service Center Policy Transfer of F and A Costs Recovery Indirect Funds Policy and Endowment and Similar Funds Management Policy

Policy Statement:

Delegated Authority

The Executive Vice President and University Provost (Provost), the Executive Vice President for Research and Innovation (EVPRI), and the Executive Vice President for Health Affairs (EVPHA) are hereby designated as the University administrators responsible for managing the approval and review processes for all Centers and Institutes at the University and for establishing the regulations and procedures to which such Centers and Institutes must comply.

These three individuals serve as the Centers and Institutes Executive Council with delegated authority to collectively recommend Centers and Institutes to the BOT Academic and Student Affairs Committee for approval, closure, or other actions related to the operation of a Center or Institute at the University. Furthermore, the Centers and Institutes Executive Council has delegated authority for establishing the regulations and procedures to which all Centers and Institutes governed by this policy must comply to remain in operation, which includes the funding mechanisms available to support the operations of Centers and Institutes. Actions of the Centers and Institutes Executive Council must be unanimous. If a unanimous decision cannot be made, the matter will be decided by the University President.

The Centers and Institutes Executive Council has sole and final authority for determining the processes they utilize to make their recommendations to the BOT Academic and Student Affairs Committee regarding the approval and continued operation of Centers and Institutes. The Provost will appoint a representative from the Office of Academic Planning and Accountability (OAPA) to serve as an ex officio member of the Centers and Institutes Executive Council. The ex officio representative from OAPA will be responsible for administering all procedures for the establishment, review, and closure of Centers and Institutes as set forth by the Centers and Institutes Executive Council.

Covered Entities

This policy specifically governs University Research Institutes, University Research Centers, and University Community Engagement Centers as defined by this policy. Organizations meeting these definitions as set forth in this document, whether they utilize "Center" or "Institute" in their organizational name or not, must be approved by the BOT Academic and Student Affairs Committee, according to the BOT By-Laws. Additionally, the Centers and Institutes Executive Council must provide their recommendation for the BOT Academic and Student Affairs Committee's consideration. The Centers and Institutes Executive Council has sole and final delegated authority from the BOT for determining whether an organizational structure at the University qualifies as a University Research Institute, University Research Center, or University Community Engagement Center under this policy.

Generally, newly established organizational entities should not utilize "Center" or "Institute" in their name unless they meet the definition of a Center or Institute as defined by this policy. If a newly established organization uses "Center" or "Institute" in its name, it will be subject to the requirements and criteria outlined in this policy and the review process outlined in the associated procedures. If the organization is designated an Administrative Service Center under this policy, the organization must receive approval from the senior administrator of the Headquartering Unit and the Centers and Institutes Executive Council to use the name "Center" or "Institute."

Operational Requirements

All Centers and Institutes designated under this policy must comply with the following requirements. The Centers and Institutes Executive Council may grant exceptions to these requirements.

1. Industry and Government Sponsored Programs

a. The Office of Research and Innovation supports the EVPRI who acts as the primary institutional administrator for industry and government-sponsored programs.

2. Academic Programs

a. Centers and Institutes cannot house and/or offer academic programs, nor award official academic credentials. All University issued academic credentials must be conferred by the BOT upon a recommendation by the faculty of the academic departments in compliance with The Redbook, Section 3.3.2.

3. Advisory Boards

a. University Research Institutes are required to have an advisory board.

b. Unless required by an external funding agency and pre-approved by the Centers and Institutes Executive Council, all advisory boards are non-governing and designed to expand the expertise and societal engagement of the Center or Institute.

c. Advisory boards are appointed by the director and approved by the Centers and Institutes Executive Council upon a recommendation from the senior administrator of the Headquartering Unit.

4. Supervision and Appointment of Director

a. The Centers and Institutes Executive Council must approve the appointment, removal, and other personnel-related actions of all directors of Centers and Institutes upon a non-binding recommendation from the senior administrator of the Headquartering Unit. Such actions shall be conducted in accordance with applicable University policies and procedures.

b. All directors report to the senior administrator or designee of the Headquartering Unit with an indirect reporting line (i.e., dotted line) to the Provost, who consults with other members of the Centers and Institutes Executive Council if the Provost determines an individual needs to be removed from their directorship or otherwise have a change in status in their role with the Center or Institute.

c. Unless an exception is granted, the director of a Center or Institute must be one of the following:

i. Tenured or tenure-track faculty member,

ii. Long-standing term faculty member with five (5) or more years of service to UofL, or

iii. Staff member with five (5) or more years of service to UofL.

Exceptions must be approved by the senior administrator of the Headquartering Unit, the academic dean of the unit in which the faculty/staff member is employed if not from the same unit in which the Center or Institute is Headquartered, and the Center and Institute Executive Council.

5. Centers and Institutes By-Laws

a. All Centers and Institutes must have a set of By-Laws approved by the Centers and Institutes Executive Council and the Headquartering Unit. These By-Laws must address the following:

i. Definitions for core and affiliated faculty with minimum expectations of faculty effort for each category.

ii. Minimum number of faculty for a Center or Institute to remain operational.

iii. Processes for contributing to core and affiliated faculty evaluations, appointments, and other personnel actions not governed directly by the academic unit's personnel policies.

iv. Processes for Center or Institute decision-making and enfranchisement of core and affiliated faculty and staff not governed by the academic unit's By-Laws.

b. Academic and administrative units may establish By-Laws to address the requirements in 5.a for all Centers and Institutes Headquartered in the unit.

c. Centers and Institutes By-Laws may not contradict Headquartering Units' Personnel Policies or By-Laws or the UofL Redbook.

6. Center or Institute-Funded Faculty and Staff Effort

a. Centers and Institutes may have staff, faculty, and post-doctoral students dedicated to their operation. These individuals' employment may be contingent upon the continued operation of the Center or Institute. Any personnel-related matters shall be conducted in accordance with applicable University policies and procedures. These individuals should expend effort toward the operation of the Center or Institute commensurate with the percentage of funding for their positions from the Center or Institute's budget. If they are faculty, such effort should be reflected in their AWP. For any personnel not supported with Center or Institute funding, the senior administrator funding the individual's position must provide a letter of commitment, and the appointment must be approved by the Centers and Institutes Executive Council.

7. Centers and Institutes Closure Requirements

a. Centers or Institutes that are closing must file an official closure of operations plan. The closure of operations plan must address how to utilize any remaining endowment or similar funds in compliance with the Endowment and Similar Funds Management Policy. Additionally, the closure of operations plan must include a transition plan for any Center or Institute funded faculty and staff, as defined by this policy. This personnel transition plan may include a reduction in force plan in accordance with the Reduction-In-Force (RIF) Policy, as necessary.

b. The closure of operations plan must be approved by the Centers and Institutes Executive Council after first being reviewed by the senior administrator of the Headquartering Unit and the Centers and Institutes Approval and Review Committee. The senior administrator of the Headquartering Unit and the Centers and Institutes Approval and Review Committee provide the Centers and Institutes Executive Council with a non-binding recommendation to ensure minimal institutional impact due to the closure. The Centers and Institutes Executive Council has sole authority to approve the plan. The Centers and Institutes Executive Council recommends the Center or Institute for closure to the BOT, which must approve any closures.

Related Information:

Centers and Institutes Establishment, Review, and Closure Procedures: https://louisville.edu/policies/policies-and-procedures/pageholder/pro-establishment-review-and-closure-of-centers-and-institutes-procedures

Centers and Institutes Guidelines:

The University of Louisville Board of Trustees By-Laws: https://louisville.edu/president/boards/board-of-trustees/governance/bylaws

Service Center Policy: https://louisville.edu/policies/policies-and-procedures/pageholder/pol-service-center

Transfer of F and A Costs Recovery (Indirect) Funds Policy: https://louisville.edu/policies/policies-and-procedures/pageholder/pol-transfer-of-f-and-a-costs-recovery-indirect-funds

Endowment and Similar Funds Management Policy: https://louisville.edu/policies/policies-and-procedures/pageholder/pol-endowment-and-similar-funds-management

Reduction-in-Force (RIF) Policy: https://louisville.edu/policies/policies-and-procedures/pageholder/pol-reduction-in-force-rif

Policy Reasoning:

The University of Louisville (the "University") Board of Trustees' (BOT) By-Laws state that the BOT Academic and Student Affairs Committee "shall consider all recommendations for academic centers, institutes, degree granting programs and other academic entities" (BOT By-Laws, p. 7). The University recognizes the importance of organizational structures specifically identified as Centers and Institutes to fulfill the University's research and service mission. Furthermore, given the public prominence of these organizational structures as well as the funding and resource mechanisms available to them, the University aims to clarify the types of organizational structures that require approval and regular review under these provisions of the By-Laws. Finally, this policy clearly delegates authority to the appropriate University administrators to manage the approval and review of Centers and Institutes and to establish and revise operational procedures and guidelines for such entities.

Definitions:

Center or Institute: An organization meeting the definition of a University Research Institute, University Research Center, or a University Community Engagement Center as defined by this policy, regardless of whether "Center" or "Institute" is used in the organizational name.

University Research Institute: An organizational structure designed to provide research spanning disciplinary boundaries. They may house multiple University Research Centers and/or extend over more than one unit based upon mission-alignment. While they are Headquartered in an academic/administrative home unit, they have a separate budget and multiple funding sources with most of their funding originating from external sources. They are distinguished from University Research Centers by their intended longevity, resource commitment, funding sources, size, and scope. University Research Institutes have substantial infrastructure, dedicated administrative and technical staff, considerable commitments of faculty time, and long-standing areas of research.

University Research Center: An organizational structure providing research that may span disciplinary boundaries. Their research is generally more limited in scope and more narrowly tailored to specific themes or topics than a University Research Institute. While they are Headquartered in an academic/administrative unit, they have a separate budget and multiple funding sources, and they generally have funding originating from external sources. They may have professional staff, but this is generally less substantial than a University Research Institute, and the staff's time may be apportioned between several organizational entities. University Research Centers must have commitments of faculty time and a demonstrable reason (e.g., access to funding, public awareness, etc.) to exist as a separate entity from their Headquartering Unit and/or home department.

University Community Engagement Center: An organizational structure that provides expertise and specific services to the Louisville Metropolitan area, the Commonwealth of Kentucky, the global community, and/or individuals outside of the University. They may also have a research component, but that is not their primary functional purpose unless that research is being performed as a service for the community. They may serve the dual purpose of providing critical services to the community while acting as a learning laboratory for students to utilize the skills they acquire in the classroom. They have a separate budget, and a portion of their funding originates from external sources (e.g., service fees, grants, endowments, etc.). University Community Engagement Centers must have a demonstrable reason (e.g., access to funding, public awareness, etc.) to exist as a separate entity from their Headquartering Unit and/or home department.

Administrative Center: An organizational structure that provides an administrative service to the University to fulfill mission-critical functions. These organizational structures may be termed "Center," but they operate in an analogous manner to a "department," "office," "division," or other nomenclature identifying a discrete portion of the University's organization. Their primary purpose is not to conduct research activities or provide services to the community outside of the University. Such services may tangentially be provided by Administrative Centers, but they are not core to their mission. Administrative Centers do not require BOT approval and are established, governed, managed, and primarily funded in the same manner as "departments," "offices," "divisions," or other organizational structures within the University. This policy does not apply to Administrative Centers, except for the limits upon naming conventions.

Headquartering Unit: The academic and/or administrative unit in which a Center or Institute is housed. Centers and Institutes must identify a primary academic or administrative unit to act as the Headquartering Unit. While reporting structures may vary internally within an academic or administrative unit, all Centers and Institutes must ultimately report through the most senior University administrator of the academic or administrative Headquartering Unit.

Core Faculty: Faculty that expend substantial effort for a long-term planned commitment of multiple years that are engaged in the following types of activities to successfully operate the Center or Institute:

• Participate in the leadership and governance of the Center or Institute.
• Participate in the day-to-day activities of the Center or Institute including the development of conferences or workshops, maintenance of websites, organization of meetings, preparation of newsletters, and all other aspects of Center or Institute operations.
• Lead strategic planning to set the vision, mission, goals, measurable objectives, appropriately aligned measures, and targets of achievement.
• Oversee or coordinate the development of internal policies and managerial, financial, and administrative systems.
• Participate in preparing the Annual Assessment Report and the 5-year self-study that is required as part of the 5-year Comprehensive Review.
• Represent the Center or Institute externally to funders, the press, and at scholarly conferences, meetings, and/or workshops.
• Conduct collaborative research that aligns directly with the Center or Institute mission.
• Engage in outreach activities that align directly with the Center or Institute mission.
• Identify and pursue opportunities for multi-disciplinary collaboration.
• Seek external funding sources for the Center or Institute.
• Establish partnerships with organizations outside of the University (e.g., government, community organizations, professional associations. etc.) that align and further the mission of the Center or Institute.

Affiliate Faculty: Faculty that generally expend less effort than core faculty for a more limited timeframe that are engaged in the following types of activities to successfully operate the Center or Institute:

• Attend and participate in center or institute-hosted activities (e.g., annual meetings, conferences, colloquia, etc.).
• Participate in collaborative research, instructional activities, or outreach events with center or institute faculty.
• Contribute relevant information for center or institute communications such as newsletters, listservs, the Center or Institute website, and annual assessments.

Responsibilities:

The Executive Vice President and University Provost, Executive Vice President for Research and Innovation, and Executive Vice President for Health Affairs (i.e., Centers and Institutes Executive Council) are responsible for managing, interpreting, and enforcing this policy.

The Office of Academic Planning and Accountability (OAPA) is responsible for administering this policy and coordinating the approval and review procedures established by the Centers and Institutes Executive Council.

Official University Administrative Policy

Policy Name:

Intellectual Property

Effective Date:

July 1 2005

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

1. INTRODUCTION

In the course of conducting their normal scholarly activities, University faculty, staff, other employees, and students add to the storehouse of knowledge. The University should disseminate such knowledge for the public good. The University should further protect the interests of the people of the Commonwealth of Kentucky through a due recovery by the University of its investment in research. Accordingly, income that may result from this activity should be used to assist the University and its employees by furthering their academic roles, as required by law and University policy. The University and the ULRF acknowledge that they do not hold ownership rights in every act of creation of the University Community.

2. WHAT IS COVERED

a. General Rule. Except as provided in Section 2.b., the University of Louisville Research Foundation, Inc., hereinafter referred to as ULRF, will hold all Legal Rights to all Intellectual Property conceived, first used (in the case of a trademark or service mark), or reduced to practice, discovered, or created, by any employee of the University, during his/her employment by the University. The University may also hold Legal Rights to Intellectual Property conceived, first used or reduced to practice, discovered, or created, by any student at the University as outlined in Section 3.b. of this Policy. To ensure that the University is aware of all such Intellectual Property, all those persons covered by this Policy are required to disclose to the University any Intellectual Property, except those Traditional Works as defined in Section 2.b.iii. When in doubt about whether or not Intellectual property may, in a reasonable opinion, have commercial value, the Creator should complete a Research Disclosure Form and consult with the Office of Technology Transfer^v about any commercial potential. Such disclosure shall occur either simultaneously with or prior to public disclosure. ULRF will hold all rights to such Intellectual Property that is not covered by an exception as described in section 2.b. below on behalf of the University, operating in compliance with policies stated herein. Prior patentable Intellectual Property or any other rights to prior Intellectual Property held by faculty, staff, other employees, or students are excluded from this Policy. Prior patentable Intellectual Property should be identified by the Creator and acknowledged by the University in writing at the time of appointment or enrollment.

b. Exceptions. Not withstanding Section 2.a., the University or ULRF will not hold any ownership rights in Intellectual Property to the extent that:

i. Federal or state law provides that some party other than the University holds one or more of such rights;

ii. The Intellectual Property related to same was produced both outside the scope of the faculty or staff member's employment or Research, and without significant use of Specialized Resources;

iii. The Intellectual Property related to same is a Traditional Work, unless the Traditional Work was specifically commissioned by the University (productivity measures as agreed to in a work plan - books, articles, paintings, etc. - unless specifically commissioned by the University, are exempt);

1. If a Creator is unsure if a specific Traditional Work may contain Intellectual Property that would not be exempted under the terms of this Policy, they may submit and mark a Research Disclosure Form as such and request an expedited review to reach a determination as such. Within 30 days of receipt, a written response shall be provided stating whether or not the Traditional Work also contains Intellectual Property that is required to be disclosed under the Policy.

iv. The Intellectual Property was produced by gratis faculty, unless the Intellectual Property was produced utilizing Specialized Resources or personnel of the University.

In the above situations 2.b.ii., 2.b.iii., and 2.b.iv. the work shall be deemed the property of the Creator and may be registered for legal protection and/or commercialized by the Creator at the Creator's expense. A letter stating such shall be provided by the Office of Technology Transfer as per Section 6.b.2. below.

c. Public Domain Preference. The Creator, or Creators acting collectively when there are more than one, is free to place an invention in the public domain for non-commercial, academic dissemination purposes if that would be in the best interest of technology transfer, and if doing so is not in violation of the terms of any agreements that supported or governed the work. The University will not assert intellectual property rights when Creators have placed their inventions in the public domain, but the University does expect that the Intellectual Property be disclosed along with the Creator's request that they be allowed to disseminate the Intellectual property by placing it in the public domain.

3. WHO IS COVERED

a. Faculty and Staff. All faculty, staff, and other employees of the University, including those on sabbatical leave and on leave with pay, and part-time, gratis, and visiting faculty and staff, are subject to the provisions of this Policy. The ULRF shall also have legal interest in any Intellectual Property created or discovered by faculty, staff, or other employees while on leave without pay if they have used Specialized Resources, University funds, facilities, or materials. However, faculty, staff, and other employees while engaged in University- approved private consulting activities or authorized outside employment are excluded unless such activities include the substantial use of University facilities or Specialized Resources.

b. Students. Students who independently create Intellectual Property arising out of their participation in programs of study at the University, and that do not result from their employment by the University, will retain the legal rights thereto. Intellectual Property created by students through the use of Specialized Resources or in connection with their employment by the University is owned by the ULRF.

c. Other Cases. Any Intellectual Property or exceptional Research results created under an exception to or outside of the University Ownership provisions of this Policy may be (but is not required to be) submitted to the Office of Technology Transfer in a Research Disclosure Form and processed through the ordinary Research Disclosure procedure as provided in this policy; provided, however, that one or more Creator(s) must have some relationship to the University (whether it be through employment, enrollment, honorary or alumni status).

4. AUTHORITY

a. Senior Vice President for Research.ⁱ The overall responsibility for application of this Policy is vested in the Senior Vice President for Research. This will include operations at the University level and management of activities of the ULRF as related to Intellectual Property matters. The Senior Vice President for Research shall designate a Technology Directorⁱⁱwho will be responsible for the administration of the operation of an Office of Technology Transfer under this Policy. The Senior Vice President for Research is authorized, subject to the University's contract policy, to obtain the services of suitable attorneys and Intellectual Property management agencies and to enter into other types of contracts for development of the Intellectual Property.

b. Signature Authority. Unless otherwise designated in writing by the Senior Vice President for Research, signature authority for subjects covered by this Policy shall rest solely in the Senior Vice President for Research or in designated officers of the Office of Technology Transfer.

5. OVERSIGHT OF POLICY

a. Intellectual Property Committee.The Senior Vice President for Research of the University shall appoint an Intellectual Property Committee ("Committee") consisting of nine members. The Senior Vice President for Research or designee shall serve as Chairperson. Members shall consist of an officer or designee of the ULRF, a Trustee of the University, and six others (four faculty members, one staff member, and one professional/graduate student member). The faculty, staff, and student members shall be appointed for staggered three-year terms but shall continue as members until their successors are appointed. Two of the faculty members shall be selected by the Senior Vice President for Research from a list of at least four candidates provided by the Faculty Senate. Any member shall cease to be eligible for membership and shall cease to serve the Committee upon termination of his or her respective relationship with the University or the ULRF. The Committee may consult with others as it sees fit; however, the University Counsel or his or her designee shall act as legal counsel to the Committee. All members of the Committee shall execute confidentiality agreements to ensure that all information concerning Intellectual Property that is disclosed to the Committee is held confidential until protected or made public.

a. The Chairperson shall convene a special meeting of the Committee within twenty (20) days upon written request from any two or more Committee members to discuss matters related to this Policy.

b. Duties.The Committee shall:

1. Periodically review for the President of the University all activities of the Technology Director and shall issue an annual report to the President on its activities and the status of the University's Intellectual Property holdings;
2. Review and evaluate procedures to encourage the development and commercialization of the University's Intellectual Property;
3. Review this policy every five years for necessary revision; and
4. Review disputes between the Creator or appeals by faculty, staff, other employees, or students subject to this Policy and recommend resolution. The Committee shall convene a meeting within thirty (30) days of receipt of a dispute or appeal and shall recommend resolution to the Senior Vice President for Research within sixty (60) days thereafter.

6. PROCESS OF DISCLOSURE

a. Research Disclosure Form.ⁱⁱⁱ Whenever a University faculty, staff, other employee, or student, operating under the scope of this Policy, creates Intellectual Property or obtains exceptional Research results that (in a reasonable opinion) may have commercial value and do not fall within the scope of the exception of this Policy Section 2.b.iii., the Creator shall notify the Technology Director in writing via an official Research Disclosure Form.

i. If the Creator believes that the content of the Research Disclosure Form falls within one of the exceptions of Section 2.b.i., 2.b.ii. or 2.b.iv.., the Creator shall mark the Research Disclosure Form as such and request an expedited review.

ii. The Creator shall make available originals or copies of all documents and designs, including logs or research workbooks, as requested, that are necessary to support the value and scope of the Intellectual Property.

iii. Moreover, the Creator shall assist the ULRF in obtaining and maintaining legal protection by disclosing essential information, signing applications and other necessary documents and assigning any rights to technology to ULRF provided, however, that the ULRF shall reimburse the Creator for any out-of-pocket expenses incurred by providing such assistance.

b. Written Response. The Technology Director or designee shall provide a written communication to the Creator with notification of the date of receipt of the Research Disclosure Form, and evaluate the merits of the Intellectual Property and the equities involved. The Technology Director or designee will advise the Creator within one-hundred and twenty (120) days following receipt of the disclosed Intellectual Property and requested supportive documentation as to whether or not the University will retain interest or ownership in said property.

i. NOTICE TO CREATOR

1. In the case of a regular Research Disclosure Form submission, the Technology Director or designee shall provide written notice to the Creator of a decision on or before the expiration of one-hundred and twenty (120) calendar days. The decision shall convey one of three alternatives:
   
   a. ELECTED. If the Technology Director or designee finds potential commercial value in the Research Disclosure, they will notify the Creator that the University has "ELECTED to Retain Title" and will move forward with marketing of the Research Disclosure. The Office of Technology Transfer will apprise the Creator, in writing, of all marketing and development activities the University has undertaken with respect to their Research Disclosure every six months. If the Creator is unsatisfied, they may appeal to the Intellectual Property Committee for a release of the invention as described in the Research Disclosure.
   
   b. PENDING. The University encourages full disclosure as early as possible in the development process. If the invention is not yet fully developed, the Technology Director or designee shall provide feedback and place the Research Disclosure in a "PENDING" status until further developments are disclosed. When a Research Disclosure is placed in PENDING status, the Office of Technology Transfer shall work with the Creator to define what steps need to be taken to ready the Research Disclosure for re- evaluation. Once such steps are undertaken and new information is provided, the Office of Technology Transfer shall re-activate the file and treat it as a new Research Disclosure.
   
   c. NON-ELECTED. If the Technology Director or designee finds there is not enough potential commercial value in the Research Disclosure to warrant further University investment in statutory intellectual property protection or marketing, they will notify the Creator that the University has "Not Elected to Retain Title" and will either release title to the Federal Sponsor if so required, or offer to release title to the Creator upon receipt of their formal written request.
2. In the case of an expedited Research Disclosure Form submission which the Creator believes falls within the scope of one of the exceptions under Section 2.b. of this policy, the Technology Director or designee shall evaluate such claim and provide a written response (and a formal disclaimer of any right to the Intellectual Property if they find the Creator's claim valid) within thirty (30) days of receipt of the Research Disclosure Form. Note that the Creator is welcome to elect to utilize the standard Research Disclosure process and have the Office of Technology Transfer handle the management of the Intellectual Property even if it does fall under one of the Section 2.b. exceptions.

ii. NOTICE TO CHAIRS AND DEANS

1. The Technology Director shall also notify the chairperson of the Creator's department and the appropriate dean or vice president: Creator's department and the appropriate dean or vice president:
   
   a. At the time of Research Disclosure that the disclosure of Intellectual Property has been made; and
   
   b. At the time of NOTICE TO CREATOR by providing a copy of such NOTICE and the decision therein conveyed.

iii. The Technology Director may reasonably extend the deadline if further examination of the Intellectual Property or additional information is required. Such extension shall be provided to the Creator in writing within 120 calendar days of receipt of the Research Disclosure Form.

c. Release of Intellectual Property. If (i) the ULRF elects to release some or all ownership rights to Creator, or (ii) written notice of the Technology Director's decision is not given to the Creator upon the expiration of the one-hundred and twenty (120) calendar day period following receipt of the disclosure or the new deadline, the Creator shall be free, subject to law and prior agreements, to proceed independently only with respect to the specific Intellectual Property disclosed.

7. DEVELOPMENT OF TECHNOLOGY

a. Development Methods. Upon ELECTION of Intellectual Property, the Technology Director shall make every reasonable effort to develop the Intellectual Property. Costs for such development may be covered by grant (when allowable), departmental or central administration funds.

Development options include, but are not limited to:

i. Evaluating and processing the Intellectual Property through a patent application, or copyright registration filed by ULRF;

ii. Assigning the Intellectual Property to a patent management firm for evaluation and processing;

iii. Assigning or licensing to a commercial firm; and

iv. Negotiating and recommending equity positions with company(s) willing to commercialize the Intellectual Property.

v. If the decision not to invest central administration funds is made, but the central administration in conjunction with other parts of the University believes strongly in development of the Intellectual Property, the Office of Technology Transfer will work with the Creator and their College, Unit and or Department to identify alternate available University resources. If such resources are identified, the Office of Technology Transfer may also offer an option to the Creator by which the ULRF will retain ownership and provide expertise to process the Intellectual Property if the financial costs of such activity are partially or totally underwritten by non-central University funds.

b. University Name. Any use of the University's name in connection with commercialization of an Intellectual Property by Creator or other licensee(s) shall be approved in advance by the University.

8. DISTRIBUTION OF EQUITIES

a. Royalties and Other Income. All royalties and other income arising from Intellectual Property in which the Legal Rights are owned by the ULRF shall be administered by the Senior Vice President for Research on behalf of the ULRF in such a manner as it may be determined, provided that, unless otherwise agreed, no less than fifty percent (50%) of the first $25,000 of total net proceeds (total income less expenses directly related to obtaining rights and royalties from such property) shall be paid or assigned to the Creator as income. The remainder shall be maintained and administered by the ULRF for payment of expenses in administering this Policy, for the advancement of Technology Transfer for institutional, academic and research purposes, and for any other activities necessitating monies for the development and execution of this Policy. After the $25,000.00 of total net proceeds threshold is reached, a 5% overhead fee will be applied to the net proceeds received, with no less than fifty percent (50%) of the remainder paid or assigned to the creator as income.

i. In the case of multiple Creators, the Creators shall list what they believe to be the appropriate percentage contributions of each Creator at the time a Research Disclosure Form is submitted. If the Creators cannot reach an agreement among themselves, the Intellectual Property Committee shall meet to evaluate the claims of all Creators and render a binding decision. The Intellectual Property Committee may rely on testimony from the Creator's Deans and Department Heads in so doing, but is not required to do so.

b. Equity Interest. If the ULRF receives an Equity Interest as part of the provisions of a license or option agreement, the Creator shall have two options, and shall choose between the two options within ten (10) calendar days of notification that an Equity interest is being taken by ULRF;

i. ULRF shall hold such Equity Interest in its entirety. When and if the sale of an Equity Interest generates proceeds, the proceeds shall be distributed as Royalties and other Income under Section 8.a. of this Policy.

ii. ULRF shall determine what portion of the Equity Interest would belong to the Creator, and shall instruct the Licensee to assign such Equity Interest directly to the Creator at the time the Equity Interest is to be conveyed by the Licensee to ULRF.

c. Scholarship Accounts. If the Creator elects to have any portion of his/her income derived from Intellectual Property deposited in a University account for scholarship, the Senior Vice President for Research will match the amount deposited, in concert with matching from the Department and College shares, on a one-to-one basis up to a maximum match of no more than one-hundred and fifty thousand ($150,000.00) dollars per year. Creator shall be responsible for coordinating such scholarship donations through the University Development Office, and shall be required to provide notice to the Office of Technology Transfer within 30 days of such donation in order to request matching. If the Creator elects to receive the personal income directly, there will be no matching.

9. INTELLECTUAL PROPERTY FROM SPONSORED RESEARCH PROGRAMS

To the extent possible, the disposition, ownership, and control of Intellectual Property resulting from externally sponsored research shall be agreed upon in the original agreements with the sponsor. These agreements so far as possible shall be in the interest of the Creator and of the University or ULRF, with particular reference to the unacceptability of undue restriction or delay of publication. If a specific provision relating to Intellectual Property exists in a government or research contract with the University or ULRF and such provision is accepted by the University or ULRF, this Policy will be inapplicable to Intellectual Property made under such contracts only insofar as this Policy is inconsistent with said contract.

10. TRANSFER OF PHYSICAL RESEARCH PRODUCTS

a. Transfer Out. The transfer of any physical products resulting from University research OUT to any entity outside the University community (including businesses, not-for-profit foundations, hospitals, or other universities), shall be accomplished through the Office of Technology Transfer using the formal procedure for MATERIAL TRANSFERS OUT, which shall be posted on the Office of Technology Transfer website at http://thinker.louisville.edu.

b. Transfer In. The transfer of any physical products to be used for research IN to the University from any entity outside the University community (including businesses, not-for-profit foundations, hospitals, or other universities) and which requires an agreement or letter to be signed to facilitate such transfer, shall be accomplished using the formal procedure for MATERIAL TRANSFERS IN, which shall be posted on the Office of Technology Transfer website at http://thinker.louisville.edu.

11. COMPLIANCE

As a condition of employment or matriculation, all faculty, staff, other employees, and students of the University agree to comply with the policies of the University and shall sign an agreement that they have received this policy. A copy of this Policy shall be available, electronically and in printed form, for all faculty, staff, other employees, and students. On request, a set of guidelines for reporting Intellectual Property will be made available to any faculty, staff, other employees, or student by the Technology Director.

12. CONSULTING AGREEMENTS

a. Individual Responsibility. It is the responsibility of individual members of the University community to ensure that the terms of their consulting agreements with third parties do not conflict with this Policy or any of their other commitments to the University. Each individual should 1) make the nature of their obligations to the University clear to any third party for whom the individual expects to consult and 2) should inform such third parties that the University does have a formal Intellectual Property Policy, and further inform third parties that such Policy is available online at http://thinker.louisville.edu. More specifically, the scope of any consulting services should be expressly distinguished from the scope of research commitments at the University, and should not utilize any University facilities or resources without first negotiating appropriate compensation for such use with the University (and any applicable University-sanctioned Private Practice Group arrangements). In the case of conflict between requested consulting and University research commitments, individuals should work with the Office of Industry Contracts^iv to establish an appropriate Sponsored Research Agreement.

b. Individual Negotiation. The University will not negotiate any consulting agreements on behalf of any faculty, student or staff member; however, any questions regarding this Policy by either individual members of the University community or third parties may be directed to the Office of Technology Transfer.

13. OTHER PROVISIONS

a. Governance. The provisions of this Policy shall govern all Intellectual Property by faculty, staff, other employees, or students of the University; provided, however, that any specific Intellectual Property which has been disclosed prior to the effective date of this Policy will be governed by the provisions of the applicable prior Policy of the University in effect at the time of the disclosure of the Intellectual Property.

b. Redbook. Reference to the necessity of agreement to this Policy by new faculty, staff, other employees, and by matriculating students shall be included in the Redbook and in the general catalogue of the University.

c. Interpretation. Each definition and term in this Policy includes the singular and the plural as applicable, and reference to the neuter gender includes the masculine and feminine where appropriate. References to any statutes or regulations mean such statutes or regulations as amended at the time of interpretation and include any successor legislation or regulations. Any words that are not defined within this Agreement shall have their ordinary dictionary meaning.

d. Discussion Appendix. Appendix 1 Contains a series of questions and answers designed to clarify anticipated questions concerning the Policy. These are intended to be exemplary only and severable.

______________________________________

i References in the policy to Senior Vice President for Research are now Executive Vice President for Research and Innovation

ii References in the policy to the Technology Director are now the Director of Technology Transfer

iii Link for the Research Disclosure Form: https://louisville.edu/research/epi-center/innovations/research-disclosure-form-12-04-2014-word (DOC)

iv References in the policy to the Office of Industry Contracts are now Office of Industry Engagement

v References in the policy to the Office of Technology Transfer are now Commercialization EPI-Center

Policy Reasoning:

In the course of conducting their normal scholarly activities, University faculty, staff, other employees, and students add to the storehouse of knowledge. The University should disseminate such knowledge for the public good. The University should further protect the interests of the people of the Commonwealth of Kentucky through a due recovery by the University of its investment in research. Accordingly, income that may result from this activity should be used to assist the University and its employees by furthering their academic roles, as required by law and University policy. The University and the ULRF acknowledge that they do not hold ownership rights in every act of creation of the University Community.

Definitions:

1. Creator - Refers to the inventor of inventions (including know-how and other technological things listed in 14.c.), the author of a copyrightable work, or the originator of a creative work. Terms of art used in this section have the same meaning given under federal copyright, trademark and patent laws. Faculty and staff should recognize that students working with them on research projects or other creative activities might also be creators under U.S. law.
2. ELECTED (to Retain Title) - Means the ULRF has determined that it is in the best interests of the University to retain ownership of the Intellectual Property described in a Research Disclosure Form. Subsequent actions by the ULRF may or may not involve statutory protection of the Intellectual Property rights, such as filing for patent protection, registering the copyright and/or trademark, or securing plant variety certification.
3. Intellectual Property - The term Intellectual Property as used herein is broadly defined to include any inventions, know-how and show-how (to the extent they relate to an invention or work otherwise covered by a policy), research material, copyrightable works fixed in any tangible medium of expression (including electronic), computer software, compilations, collective works, original data and other creative or artistic works which may have commercial value. It also expressly encompasses: 1) new and useful processes, and 2) the physical embodiments of intellectual effort, for example; models, machines, devices, designs, apparatus, instrumentation, circuits, computer programs and visualizations, biological materials, chemicals, other compositions of matter, plants, and records of research. Intellectual Property includes, but is not limited to, that which is protectable by statute or legislation, such as patents, copyrights, trademarks, service marks, trade secrets, mask works, and plant variety protection certificates. In general, the mission of the University of Louisville is to disseminate the results of research and discoveries. Therefore, the University acknowledges that there will be few, if any, situations in which trade secret rights will exist.
4. Research - Research is broadly construed as creative expression, studious inquiry, examination, investigation or experimentation aimed at the discovery and interpretation of facts, revision of accepted theories or laws in the light of new facts, or practical application of such new or revised theories or laws and applies equally to scholarly and creative activities across all disciplines.
5. Research Disclosure Form - The official mechanism for disclosure of Intellectual Property (including exceptional Research results which may have commercial potential) shall be through the most current University of Louisville approved Research Disclosure Form, which shall be made available online at http://thinker.louisville.edu, or provided in hard copy form by submission of a written request to the Office of Technology Transfer.
6. Specialized Resources - Refers to all resources, tangible or intangible, owned or under the control of the University, except for (i) resources such as library facilities (that are generally available without charge to the general public), (ii) general office equipment and technology resources (made available for the use of the faculty, staff, other employee, student or that person's department), such as copiers, office space, personal computers, computer accounts, software, and online services made available to most faculty, staff, other employees and students.
7. Traditional Works - Includes creative works and research materials that are educational, scholarly, artistic, musical, sculptural, or literary works. Examples include: books, articles, class notes, theses, dissertations, manuscripts, poems, films, videotapes, digital and analog recordings, musical works, dramatic works including any accompanying music, pantomimes and choreographic works, pictorial, graphic and sculptural works, works as outlined in an annual work plan, and other works of the artistic imagination or the kind that are not created as a result of a specific employment assignment or are specifically commissioned by the University. (The term "literary" has its ordinary dictionary definition, not the broader definition set out in the Copyright Act.) As defined herein, status as a Traditional Work will not be affected by the tangible medium in which it appears.
8. University - Refers to the University proper, the University of Louisville Research Foundation, Inc., and to all affiliated corporations or organizations controlled by the University or governed by the members of the University Board of Trustees.
9. University of Louisville Research Foundation, Inc. (ULRF) - An affiliated corporation of the University of Louisville.

Official University Administrative Policy

Policy Name:

Naming of University Physical Space Endowed Funds and Academic Units

Effective Date:

June 22 2023

Policy Applicability:

This policy applies to naming proposals related to the University of Louisville University of Louisville Research Foundation and the University of Louisville Athletics Association

Policy Statement:

The University of Louisville requires all naming proposals (including re-naming and the removal of names) of university physical spaces, endowed funds, and academic units related to philanthropic contributions to comply with the required approvals, criteria, and the procedures outlined in this policy. The full naming procedures are provided in the Procedures section of this policy.

REQUIRED APPROVALS

All naming proposals must first be approved by the Vice President for University Advancement with the endorsement of the vice president whose area is impacted. The Vice President for University Advancement, in consultation with the University President, shall initiate the process for decisions on naming proposals. All proposed contribution levels for naming physical spaces must be routed through the appropriate dean, the Executive Vice President and University Provost, and the Vice President for University Advancement before naming proposals and/or gift levels have been discussed with prospective donors.

The Vice President for University Advancement shall advance the following naming proposals to the University Naming Committee:

• Gifts of $500,000 or higher;
• Renaming opportunities;
• Naming removal request; and
• Naming opportunities related to prominent public spaces, those with heavy usage, or those linked to significant university traditions.

The University Naming Committee replaces the University Advisory Committee on Designations and Awards. This committee is to make decisions regarding the naming of physical spaces, endowed funds, and academic units. The President will designate university stakeholders to serve on this committee, which must include a representative from the Faculty Senate, the Staff Senate, and the Student Government Association, appointed pursuant to their respective by-laws, and a representative from the Board of Trustees (ex-officio and non-voting) appointed pursuant to its by-laws.

For naming proposals that require the Board of Trustees approval, the University Naming Committee will provide a recommendation to the President, who will bring the proposal to the Board of Trustees. The following proposals related to naming require approval by the Board of Trustees:

• Gifts of $1 million or higher;
• Gifts of $100,000 to $999,999 if the nameable space is considered a prominent public space, meaning having high visibility, heavy usage, or linked to significant university traditions; and
• Whenever the President otherwise deems it to be in the best interest of the university to request approval by the Board of Trustees.

Naming decisions related to UofL Health will be determined by UofL Health, in collaboration with the CEO of UofL Health, the Vice President for University Advancement, and the University President.

NAMING CRITERIA

The criteria below details gift types for which naming proposals may arise, as well as minimum funding levels for each type of proposal. Minimum funding levels are subject to change in accordance with the endowment policies of the University of Louisville Foundation and to the extent required by the Board of Trustees.

All philanthropic gifts associated with naming proposals must be accompanied by a charitable gift agreement signed by the donor, the University of Louisville, and the University of Louisville Foundation. Additionally, those charitable gift agreements associated with the naming of UofL Health facilities, departments, programs, or health specialties shall require the signature of the UofL Health CEO.

Corporate or other organization names may be used to name a physical space, endowed position, or academic unit. As with individuals honored with a name at the university, corporations or organizations with a naming proposal should have a positive image and demonstrated integrity. In the instance of corporate or organizational naming proposals, additional due diligence should be taken to avoid any appearance of commercial influence or conflict of interest. Signage reflecting a corporate or organizational name that is displayed on university property must conform to all applicable university policies and guidelines.

Recommended names must comply with the following criteria to be considered for naming or renaming physical spaces, endowed funds, or academic units:

1) There are no conflicts with other names on the particular campus.

2) The name does not call into question the public respect of the university.

3) Acceptance of the name does not imply the university's endorsement of a partisan political or ideological position or of a commercial product.

1) Naming Physical Spaces

The Vice President for University Advancement, in collaboration with the University Naming Committee, will recommend what percentage of a gift must be fulfilled prior to the commencement of construction or renovation of a particular physical space. The committee, when determining required minimum gift amount for naming physical space construction or renovation, may consider:

1) Costs of sufficient maintenance and operations of the physical space.

2) Costs of previous construction, as appropriate.

3) Amount needed to begin construction or renovation.

All costs associated with naming a physical space, including signage materials, shall be covered by the donor as part of the naming gift.

a) New Facilities and Campuses

If a building is to be constructed entirely through private funds, the naming proposal requires a minimum gift amount of 50 percent of the total construction costs of the building. If a building is to be funded through a combination of private funds and other funding sources, the minimum gift amount of the naming proposal must equal 50 percent of the private fundraising goal and no less than 20 percent of the total construction costs of the building.

b) Existing Facilities, Spaces, Monuments, and Campuses

Proposals to name existing unnamed physical spaces, portions of physical spaces, or renovations to physical spaces shall be presented to the Vice President for University Advancement. Proposals to name existing physical spaces in need of renovation may be named with a minimum gift amount of 50 percent of the cost of renovation of the particular physical space.

2) Naming Endowed Funds

Naming endowed funds (positions, scholarships, fellowships/assistantships, awards, etc.) shall require a minimum gift as outlined below and are subject to the requirements outlined in the policy statement above.

A named endowed position will not follow a person to any other institution, organization, or college or institute within the University of Louisville. Named endowed positions will be transferred to subsequent faculty or administrators, or left vacant, in collaboration with the relevant dean and the provost.

a) Named Endowed Deanships: This philanthropic support will provide deans additional resources to meet special needs or implement certain priorities of their college or unit. Once an endowed dean has been named, all successors will be accorded this title. With Provost approval, funds can support compensation, research, valuable learning opportunities, and/or the expansion of academic programs. Minimum level: $5 million.

b) Named Endowed Directorships and Department Chairs: This philanthropic support will assist in the recruitment and retention of exceptional scholars by providing dedicated resources for innovative research and teaching. Endowed positions may also provide a flexible resource to meet the special needs and priorities of an academic department. Once an endowed department chair or director has been named, all successors shall be accorded this title. With Dean approval, funds can support compensation, research, valuable learning opportunities, and/or the expansion of academic programs. Minimum level: $3 million.

c) Named Endowed Faculty Chairs: This philanthropic support will enable the most distinguished faculty members to excel in their academic discipline by providing dedicated resources for innovative research and teaching opportunities. With Dean approval, funds can support compensation, research, valuable learning opportunities, and/or the expansion of academic programs. Minimum level: $2 million.

d) Named Endowed Professorships: This philanthropic support will enable faculty members, particularly early career faculty, to excel in their activities by providing dedicated resources for innovative research and teaching opportunities. With Dean approval, funds can support compensation, research, valuable learning opportunities, and/or the expansion of academic programs. Minimum level: $1 million.

e) Named Endowed Staff Positions: With relevant Vice President or Dean approval, this philanthropic support will provide compensation support for strategic staff positions. Minimum level: $1 million.

f) Named Endowed Visiting Professorships: With Dean approval, this philanthropic support will provide compensation support for outstanding visiting faculty for a specified duration. Minimum level: $500,000.

g) Named Endowed Scholarships, Fellowships/Assistantships, and Awards/Funds: Donors have opportunities to support existing endowed scholarships, fellowships/assistantships, or awards/funds, or they may choose to establish a new endowed opportunity. The minimum amount for all named endowments is $25,000 (subject to changes by the minimum endowment policies of the University of Louisville Foundation and to the extent required by the Board of Trustees). Minimum level: $25,000.

h) Named Endowed Faculty Research or Teaching Fellowships: This philanthropic support will establish an endowed research or teaching fellowship to recognize the leadership potential of talented faculty and encourage professional growth by providing funding to pursue new ideas, creative research projects, or innovative teaching. Minimum level: $300,000.

i) Named Endowed Graduate Fellowships: This philanthropic support will establish graduate fellowships to help UofL recruit and retain the highest-achieving, creative, and innovative advanced-degree candidates. Typically covering tuition, stipend, and/or basic living expenses, including health care benefits, fellowships ensure graduate students remain focused on their studies rather than the cost of education. Minimum level: $100,000.

j) Named Endowed Lectureships: This philanthropic support will provide an opportunity to engage and educate community members, current students, alumni, and friends of the university through the appearances of national and global experts on campus. Minimum level: $100,000.

k) Named Endowed Student Scholarships: This philanthropic support will establish named endowed scholarships and offer donors the opportunity to create scholarships and establish criteria for recipients. Minimum level: $25,000.

l) Named Other Endowed Funds: This philanthropic support will establish named endowed funds used to support students, faculty/staff, research, program support, or faculty/staff recognition. Minimum level: $25,000.

3) Naming Academic Units

The naming of academic units (departments, centers, colleges, schools, and institutes) may contribute significantly to the defraying operating costs, etc. of the particular academic unit, while enhancing student enrollment, student retention, research, and/or other revenue-generating activities. These naming opportunities are non-physical only and do not include the physical spaces in which these academic units are housed. Gift amounts may vary by academic unit. Proposals should be submitted to the Vice President for University Advancement following consultation with the vice president for the relevant area. The Vice President for Advancement will present the proposal to the University Naming Committee.

4) Planned or Deferred Gifts

The conditions for conferring a naming on the basis of a planned or deferred gift commitment may vary based on factors such as the kind of physical space or academic unit which is proposed to be named and when the naming is proposed to be conferred.

a) Funding Level

Minimum funding level requirements may increase over time. Naming opportunities made on the basis of deferred gifts (e.g., bequests) will be conferred only if the gift meets the minimum funding level requirements when the gift is realized. All deferred gifts and affiliated naming opportunities shall be outlined in a charitable gift agreement that is fully executed by all required signatures.

b) Requirements for Deferred Commitments

Present-day naming opportunities may be reserved and named based on a gift commitment that defers payment (i.e., with a will commitment or deferred-gift vehicle) to a date more than five years from the agreement date only when the following conditions apply:

i) The donor appropriately documents that their commitment is irrevocable and that current cash flow considerations are not an issue for the requested naming;

ii) Actuarial and financial calculations indicate the net present value of the donor's commitment will be no less than if an outright gift in the full amount of the naming value were received on the date of the gift commitment; and

iii) The Vice President for University Advancement, in consultation with the University President and the Executive Director/Chief Operating Officer of the University of Louisville Foundation, when applicable, determines whether the conditions of the gift are beneficial to the university.

5) Duration of Names

a) The duration of a donor's name on any physical space, named endowed fund, or academic unit continues for as long as it is used in the same manner or for the same purpose for which the naming has occurred. Upon demolition (of a physical space), replacement (including of equipment), substantial renovation, redesignation of purpose or similar modification of a named physical space, endowed fund, or academic unit, the University Naming Committee may deem that the naming period has concluded.

i) The appropriate university representative will make all reasonable efforts to inform the original donors or their surviving family members in advance of when the naming period is deemed to have concluded.

ii) In the event a physical space, endowed fund, or academic unit is named after a corporation or organization that changes its name, the university may deem that the naming period has concluded, subject to terms of the charitable gift agreement.

b) The duration of a name on a named endowed fund continues as long as is stated in the charitable gift agreement.

c) In some instances, most often involving a corporate donor, a naming may be granted for a pre-determined term, usually 3-5 years, as outlined in the charitable gift agreement.

d) If the donor's naming period has concluded, the named physical space, endowed fund, or academic unit may be renamed, with the original name removed. Appropriate acknowledgement of previous names may be made, including, for instance, a plaque in or adjacent to new and renovated physical spaces, at the discretion of the university.

e) If a donor or honoree requests a change to the name of a physical space, endowed fund, or academic unit, the university will consider the request. If approved, all replacement signage and other related costs shall be at the donor's expense.

f) In certain circumstances when continuation of the name may compromise the public trust or reputation of the university, the university has the sole discretion to revoke and terminate its obligations regarding a naming, with no financial responsibility for returning any received contributions to the benefactor. These actions, and the circumstances that prompt them, may apply to an approved naming that has not yet been acted upon or to a conferred naming.

i) If the donor fails to maintain payments under a charitable gift agreement, including an unrealized bequest, upon which the naming was bestowed, the naming may be revoked.

ii) If a planned gift upon which the naming was bestowed does not result in the value agreed upon, the naming may be revoked.

Policy Reasoning:

This policy provides criteria and procedures for university advancement proposals that honor donors with opportunities to name physical spaces, endowed funds, and academic units. Physical space naming opportunities include buildings, landmarks, interior spaces (hallways, lobbies, portions of buildings, etc.) as well as exterior spaces (lawns, courtyards, etc.). Endowed fund naming opportunities include endowed positions, scholarships, fellowships/assistantships, awards/recognitions, etc. Academic unit naming opportunities include departments, colleges, schools, centers, and institutes.

In collaboration with the Office of the President, University of Louisville Foundation, Board of Trustees, and other relevant parties, University Advancement has established this policy to ensure that naming opportunities appropriately reflect or enhance the university's image and reputation; maintain the university's mission and vision; meaningfully and appropriately honor, recognize, and thank donors; and provide a level of consistency and transparency among colleges, campuses, and university peer groups related to naming standards.

Responsibilities:

The Office of University Advancement is responsible for the implementation of this policy. The University of Louisville Board of Trustees and employees are responsible for following this policy and associated procedures.

Official University Administrative Policy

Policy Name:

Combating Antisemitism

Effective Date:

January 1 2026

Policy Applicability:

This policy applies to University Administrators Faculty Staff and Students

Policy Statement:

The University is committed to maintaining a community that provides everyone with equal access to the learning and working environment. Therefore, the University prohibits all forms of bias, discrimination, and harassment, including Antisemitism. All such complaints will be investigated by the Office of Legal Compliance and Investigations in accordance with the existing University policy on Bias, Discrimination, and Harassment.

Nothing in this policy shall be construed to apply to or affect any rights secured by the First Amendment of the United States Constitution or Section 1 of the Constitution of Kentucky; the religious freedom of faculty, students, and student organizations; publications and the freedom of expression of student newspapers and University press; the activities, funding (except for organizations found to have materially supported designated terrorist organizations), conduct, speech, and freedom of association of student-led organizations; or the conduct or speech of students acting in their individual capacities.

Related Information:

Reports of Bias, Discrimination, and Harassment Policy https://louisville.edu/policies/policies-and-procedures/pageholder/pol-reports-of-bias-discrimination-and-harassment

Viewpoint Neutrality Policy https://louisville.edu/policies/policies-and-procedures/pageholder/pol-viewpoint-neutrality

Senate Joint Resolution 55 (SJR 55) https://apps.legislature.ky.gov/law/acts/25RS/documents/0157.pdf

KRS 344.450 Civil remedies for injunction and damages https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=32648

KRS 164.348 Campus free speech protection https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=49294

Policy Reasoning:

As legally mandated by 2025 Regular Session Senate Joint Resolution 55 (SJR 55), the University of Louisville (University) establishes this policy to combat Antisemitism, protect the right of all individuals to access the institution's programs and activities, and foster a safe and welcoming environment for our entire campus community that is free from bias, discrimination, and harassment.

This policy supplements, and does not supersede, the University's existing anti-discrimination policies and practices. All individuals will receive equal protection under federal and state laws and University policies.

Definitions:

Antisemitism: For the purposes of informing and guiding this policy, the University adopts the working definition of "Antisemitism" as established by the International Holocaust Remembrance Alliance (IHRA) and recognized by the Kentucky General Assembly in 2021 Regular Session Senate Resolution 67. The IHRA definition is:

"Antisemitism is a certain perception of Jews, which may be expressed as hatred toward Jews. Rhetorical and physical manifestations of antisemitism are directed toward Jewish or non-Jewish individuals and/or their property, toward Jewish community institutions, and religious facilities."

The University will use this definition as a guiding resource for training, education, and identifying antisemitic intent or incidents of bias, discrimination, or harassment.

The University shall not interpret or apply the IHRA definition in a manner that prohibits speech or expression that is protected by the First Amendment to the United States Constitution or Section 1 of the Constitution of Kentucky.

Responsibilities:

The Office of the Dean of Students is responsible for notifying all enrolled students in writing of the rights and laws referenced in this policy.

The Office of Legal Compliance and Investigations is responsible for investigating complaints of Antisemitism in accordance with the policy and procedures of reports of Bias, Discrimination, and Harassment.

The University Integrity and Compliance Office is responsible for ensuring reports of non-compliance with this policy are appropriately investigated and for collecting and maintaining data required under this policy.

Official University Administrative Policy

Policy Name:

Subrecipient Monitoring and Management

Effective Date:

July 1 2020

Policy Number:

RES 2 07

Policy Applicability:

This policy applies to University Employees Administrators Faculty and Staff

Policy Statement:

The University of Louisville (University) is committed to administering Sponsored Programs and Subawards in full compliance with the Uniform Guidance 2 CFR 200, State regulations/requirements, and in full alignment with University policy.

This policy sets forth conditions for review, approval and monitoring of Subrecipients on Sponsored Programs administered by the University and University of Louisville Research Foundation, Inc (ULRF). This policy applies to all Subawards issued under Sponsored Programs awarded to the University, without regard to the primary source of funding. This policy outlines the institutional responsibilities and assists Principal Investigators (PIs), financial business staff and administrators in ensuring programmatic and fiscal compliance with the established Terms and Conditions of the Subaward, achievement of performance goals, and compliance with applicable federal laws and regulations.

Related Information:

2 CFR §200.331 to §200.333 - Subrecipient Monitoring and Management

2 CFR §200.501 - Audit Requirements

Policy Reasoning:

This policy has been developed to meet the requirements set forth in the Uniform Guidance 2 CFR §200.331 to §200.333 pertaining to Subrecipient Monitoring and Management.

It is the responsibility of the University of Louisville, as a Pass-Through Entity, to monitor the programmatic and financial activities of the Subrecipient to ensure compliance with federal statutes, regulations, and with the Terms and Conditions of the Subaward agreement. The University of Louisville is also required to perform a risk assessment of the Subrecipient for the purpose of determining the appropriate level of Subrecipient Monitoring, and to verify that the Subrecipient is audited as required by Subpart F of the Uniform Guidance.

Failure to adequately monitor the compliance of the Subrecipient may result in reputational damage to the University, jeopardize current and future funding, or subject the University to return of funding, fines, penalties or other legal liability.

This policy does not apply to Professional Service Costs or to the procurement of services from Contractors.

Definitions:

Award: A binding legal agreement between an external sponsor and the University to support research, instruction, training, service, or other scholarly activities with set terms and conditions.

Contract: (2 CFR §200.22) A binding legal instrument by which a non-federal entity purchases property or services needed to carry out the project or program under a federal Award. The term as used in this policy does not include a binding legal instrument, even if the non-federal entity considers it a Contract, when the substance of the transaction meets the definition of a federal Award or Subaward.

Contractor: (2 CFR §200.23) An entity that receives a Contract. Typically, a Contractor is a vendor, dealer, distributor, merchant or other seller providing goods or services (i.e., a procurement relationship) that are required for the conduct of an Award.

Pass-Through Entity (PTE): (2 CFR §200.74) A non-federal entity that issues a Subaward to a Subrecipient to carry out part of a federal (or non-federal) program.

Professional Service Costs: (2 CFR §200.459) Professional and consultant services rendered by persons who are members of a particular profession or possess a special skill and who are not officers or employees of the contractor. Examples include those services acquired by contractors or subcontractors in order to enhance their legal, economic, financial, or technical positions. Professional and consultant services are generally acquired to obtain information, advice, opinions, alternatives, conclusions, recommendations, training, or direct assistance, such as studies, analyses, evaluations, liaison with Government officials, or other forms of representation.

Risk Assessment: A comprehensive review process that determines the level of risk associated with doing business with the Subrecipient and subsequently to the PTE/University. A risk level is assigned to each Subaward based upon the criteria of the Risk Assessment and is used to identify subrecipient monitoring requirements for the subawardee.

Subaward: (2 CFR §200.92) A second-tier Award issued by a PTE to a Subrecipient which authorizes the Subrecipient to carry out part of a federal (or non-federal) Award issued to the PTE. It does not include payments to a Contractor or payments to an individual that is a beneficiary of a federal program. A Subaward may be issued through any form of legal agreement, including an agreement that the PTE considers a Contract.

Sponsored Program: An externally funded activity that is governed by specific terms and conditions as outlined in a legal agreement or Notice of Award. Sponsored programs must be separately budgeted and accounted for subject to the terms of the sponsoring organization. Sponsored Programs may include grants, Contracts (including fixed price agreements), and cooperative agreements for research, training, and other public service activities. A Sponsored Program encompasses both the main sponsored account(s) and associated cost share and/or program income account(s), as defined in 2 CFR §200.302.

Subrecipient: (2 CFR §200.93) A non-federal entity that is issued a Subaward from a PTE to carry out part of a federal (or non-federal) program; but does not include an individual that is a beneficiary of such program. A Subrecipient may also be a recipient of other federal or non-federal Awards directly from an awarding agency.

Subrecipient Monitoring: Activities undertaken to review the financial status and management controls of a Subrecipient in order to mitigate the risk of doing business with the Subrecipient and to ensure compliance with the terms and conditions of the Subaward.

Responsibilities:

All Principal Investigators (PIs), financial, business and administrative staff at the University of Louisville who are involved with the administration and conduct of Sponsored Programs must comply with this policy.

The Roles and Responsibilities chart is detailed in Section 6 of the Subrecipient Monitoring Guidance Document.

Official University Administrative Policy

Policy Name:

Academic Calendar and Awarding of Course Credit Hours

Effective Date:

January 2 2012

Policy Number:

Not Applicable

Policy Applicability:

This policy applies to the University of Louisville and its employees and students

Policy Statement:

Academic Calendar

To address the needs of its diverse student body, the University of Louisville (University) has established an academic calendar policy based on a standard of 14 weeks (fall/spring terms). The University's academic calendar structure will align with SACSCOC guidelines provided that: (1) valid, assessable course learning outcomes are established for each course and stated in the syllabi of each course section, as documented in the syllabus collection; (2) the calendar and credit hour requirements are clearly stated in the university catalog and other information resources; and (3) expectations for out-of-class instructional activities are clearly indicated in course descriptions and syllabi. Department chairs and deans continue to be responsible for monitoring and enforcing these requirements for the courses and sections in their units. The university will operate on a year-round calendar based on the following schedule of standard terms and their length:

Fall and Spring Semester:

• Regular Full Term: 70 available instructional days + 6 available culminating project/final exam days = 76 total available meeting days (i.e., 14 instructional weeks and a final exam week).
• Half Terms: 35 available instructional days (inclusive of culminating project/final exam days).

Summer terms (I, II, III, and 10 week) must provide sufficient instructional days to provide the required contact hours.

• Summer I: 15 available instructional days (inclusive of culminating project/final exam).
• Summer II: 25 available instructional days (inclusive of culminating project/final exam).
• Summer III: 25 available instructional days (inclusive of culminating project/final exam).
• Ten-week term: 50 available instructional days (inclusive of culminating project/final exam).

Winter Session: Minimum of 15 available instructional days (inclusive of culminating project/final exam day).

• The only recognized University holiday for winter session is Christmas Day.
• Winter session courses may meet on Saturday if required to fulfill the minimum required available instructional days.

Academic calendars in the professional schools of dentistry, law and medicine are based on the requirements of their discipline-specific accreditors. Other alternative calendars approved by the University will allow for instruction equivalent to a regular term.

Awarding of Course Credit Hours

The University of Louisville follows uniform standards for determining the amount of credit hours awarded for all academic courses and programs. These standards apply to all instructional sites and methods of instructional delivery. The number of credits per course has historically been determined by face-to-face contact time. The University's policy is "in general, one credit hour of lecture, discussion, or seminar requires at least 50 contact minutes per week during a regular semester."

The initial credit hour recommendation is made by the faculty in the discipline to ensure consistency with the University's policy and the norms of the discipline.

• Contact Hours: One credit hour of lecture, discussion, or seminar requires at least 50 contact minutes per week during a regular full-term semester (as allowed by SACSCOC and consistent with the federal recognition of the Carnegie Unit definition). Courses offered through distance education or other alternate methods must offer opportunities for a comparable amount of interaction with the instructor. Courses offered during a half term, summer term, winter session, or other approved alternative calendar must provide equivalent total contact minutes per credit hour as those required cumulatively in a regular full-term semester course.
• Out-of-class Work: Based upon the term in which a course is scheduled and whether the course requires a culminating project and/or final exam, courses must indicate on the syllabus the following expectations of out-of-classroom activity:
  • Courses in the regular full-term semester with a culminating project/final exam scheduled during final exam days: Two (2) hours of out-of-class work per credit hour per week or thirty (30) hours of out-of-class work across the semester per credit hour awarded.
  • Courses in the regular full-term semester without a culminating project/final exam scheduled during final exam days: Two-and-one-half (2.5) hours of out-of-class work per credit hour per week or thirty-five (35) hours of out-of-class work across the semester per credit hour awarded.
  • Courses scheduled in summer terms, winter sessions, half terms, or other alternative terms: Total out-of-class work must be thirty (30) hours per credit hour awarded.
• The University policy allows for standard instruction, innovation, and the use of instructional technology while adhering to the requirements established by the federal government and the applicable accrediting bodies (See Online Education and Regular and Substantive Interaction for additional details).
• Academic units utilizing Prior Learning Assessments (PLA) and/or Competency-based Education (CBE) must follow their internal academic unit curriculum review processes to determine the equivalencies to contact hours used to determine credit hours for such instruction. The explanation of equivalency processes used by academic units and/or departments to award credit through PLA and/or CBE must be reviewed and approved by the Office of the Provost prior to implementation. This review ensures SACSCOC standards and policies are followed, and academic programs demonstrate sufficient rigor, quality, and integrity for SACSCOC compliance. The Office of Academic Planning and Accountability (OAPA) will maintain a record of approved equivalency processes.
• The use of zero-credit hour courses is limited to instances when UofL is not providing didactic instruction to students or transcripting equivalent demonstrations of learning, but otherwise needs to record students' participation in essential degree requirements to demonstrate competency, scholarship, or mastery of program learning outcomes. Such examples include, but are not limited to graduate student residency, co-op placements, internship experiences or other forms of experiential learning, exam preparation, and comprehensive examinations. Such courses must be approved through academic units' curriculum review processes and be reviewed and approved by the Office of the Provost prior to implementation.

• Courses in the regular full-term semester with a culminating project/final exam scheduled during final exam days: Two (2) hours of out-of-class work per credit hour per week or thirty (30) hours of out-of-class work across the semester per credit hour awarded.
• Courses in the regular full-term semester without a culminating project/final exam scheduled during final exam days: Two-and-one-half (2.5) hours of out-of-class work per credit hour per week or thirty-five (35) hours of out-of-class work across the semester per credit hour awarded.
• Courses scheduled in summer terms, winter sessions, half terms, or other alternative terms: Total out-of-class work must be thirty (30) hours per credit hour awarded.

The number of credit hours assigned to each course will be published in program curriculum materials and in the university catalogs. The University's electronic registration and content management systems will also reflect the approved credit hour assignments.

Online Education

The University is authorized by SACSCOC to offer online education (i.e., distance education). The U.S. Department of Education has previously adopted the position that a clock hour program can include clock hours earned through distance education, but only if the institution's or program's accrediting agency permits the institution to use that modality and the institution has sufficient technological resources to monitor a student's academic engagement in 50 to 60 minutes of distance education.

Regular and Substantive Interaction

The 2020 Higher Education Act (HEA) guidelines require that an institution ensures regular interaction between a student and an instructor or instructors in online courses. Prior to the student's completion of a course or competency, instructors must provide opportunity for substantive interactions with the student on a predictable and regular basis commensurate with the length of time and the amount of content in the course or competency and monitor the student's academic engagement and success. An instructor is responsible for proactively engaging in substantive interaction with the student when needed, on the basis of such monitoring, or upon request by the student.

Application

The credit hour standard for the course and the way that the credit hour standard is achieved is communicated to students as part of the course syllabus or equivalent documentation.

Academic units are responsible for the consistent application of the credit hour, credit hour policy, and for ensuring that a stated credit hour standard is maintained as courses and instructors and mode of instruction or course formats change. All courses are required to have stated learning outcomes or objectives. The student learning outcomes are a feature of the course and are approved when the course is approved. Learning outcomes serve as a basis to determine if the amount of learning is consistent across different formats and modes of instruction. In relation to the credit hour policy, a statement of what students will learn is necessary so that credit is based on a demonstration by the student of learning equivalent to expected outcomes of a period of study corresponding to a time-based credit hour assignment or equivalent academic engagement.

Policy Amendments

Amendments to this policy are subject to approval by the University Provost. The University Provost allows academic units with external accreditation requirements to have the flexibility to make policy adjustments based on best practices in that discipline with prior approval.

Related Information:

Federal Regulations: 34 CFR 600.2 - Definition of Credit Hour

Section 103 of the 2020 Higher Education Act (HEA)

Accreditation Policy: SACSCOC Credit Hours Policy Statement

SACSCOC Competency Based Education Definition

Policy Reasoning:

The University's uniform standards for establishing the institutional academic calendar and determining the amount of credit hours awarded for all courses are designed to meet or exceed federal regulations, the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) accreditation requirements, and other applicable accrediting bodies.

Definitions:

A Credit Hour, as defined by the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC), "is an amount of work represented in intended learning outcomes and verified by evidence of student achievement that is an institutionally established equivalency that reasonably approximates:

1. Not less than one hour of classroom or direct faculty instruction and a minimum of two hours of out of class student work each week for approximately fifteen weeks for one semester or trimester hour of credit, or ten to twelve weeks for one quarter hour of credit, or the equivalent amount of work over a different amount of time; or
2. At least an equivalent amount of work as required outlined (sic) in item 1 above for other academic activities as established by the institution including laboratory work, internships, practica, studio work, and other academic work leading to the award of credit hours."

A Competency is a clearly defined and measurable statement of the knowledge, skill, and ability a student has acquired in a designated program.

Competency-Based Education (CBE) programs and courses are outcome-based and assess a student's attainment of competencies as the sole means of determining whether the student earns an academic award or credit hour. Such programs may be organized around traditional course-based units (i.e., credit or clock hours) that students must earn to complete their educational program. For CBE programs and courses, an explanation of the determination of the equivalency of the CBE program or course to the clock hour/credit hour must be provided for SACSCOC review.

Distance Education (per Section 103 of the HEA) is education that uses one or more technologies to deliver education to students who are separated from the instructor and to support regular and substantive interaction between the students and the instructor, either synchronously or asynchronously.

Prior Learning Assessment (PLA) is the evaluation of a student's learning earned before college through a portfolio assessment, standardized exam, evaluation of noncollege and noncredit programs, or other means of assessing the competencies attained by an individual through learning that occurred outside of the traditional academic environment. For PLA courses, an explanation of the determination of the equivalency of the PLA course to the clock hour/credit hour must be provided to the OAPA for SACSCOC review. PLA, transfer credits, and all other credits earned outside of direct instruction at UofL cannot comprise more than 75% of an undergraduate degree or 66% of a graduate degree.

Substantive Interaction is defined as engaging students in teaching, learning, and assessment, consistent with the content under discussion, and including at least two of the following—providing direct instruction; assessing or providing feedback on a student's coursework; providing information or responding to questions about the content of a course or competency; facilitating a group discussion regarding the content of a course or competency; or other instructional activities approved by the institution's or program's accrediting agency.

Responsibilities:

The Office of the Provost is responsible for oversight and interpretation of this policy.

Official University Administrative Policy

Policy Name:

Certificate Program Criteria for Financial Aid Eligibility

Effective Date:

July 1 2020

Policy Applicability:

This policy applies to the University of Louisville its academic units and programs employees and students

Policy Statement:

Effective July 1, 2020, University of Louisville (UofL) students enrolled (half-time or more) in stand-alone certificate programs designated as federal Title IV aid eligible can be evaluated for such funds. For a request to be submitted to the U.S. Department of Education to consider a standalone UofL certificate program to be eligible for Title IV federal aid, the certificate program must:

• Be one academic year in duration;
• Be at least 24 credit hours for undergraduate certificates; be at least 9 credit hours for graduate certificates; and
• Prepare students for gainful employment in a recognized occupation.

In order to be designated as a certificate program that prepares students for gainful employment in a recognized occupation, the Academic Unit offering the certificate program must provide certification the following criteria is met:

• The program prepares students for employment in a specific recognized occupation as identified by a Standard Occupational Classification (SOC) code established by the Office of Management and Budget or an Occupational Information Network O*NET-SOC code established by the Department of Labor. The list of SOC codes is available here: https://www.onetonline.org/.
• Provide a statement and/or documentation which demonstrates a reasonable relationship between the length of the program and entry level requirements for the recognized occupation for which the program prepares the student, in addition to establishing the need for the training for the student to obtain employment in the recognized occupation for which the program prepares the student.
• If the program already has completers, provide certification from the Office of Academic Planning & Accountability the following metrics were met. If a new program (no prior completers of the program), provide certification the following are expected to be met.
  • The annual amount a typical graduate needs to devote to his/her student loans is equal to or less-than 8% of annual earnings, or equal to or less-than 20% of their discretionary earnings (their annual earnings above 150% of the federal poverty guideline for a single individual).
  • At least half of program graduates have higher earnings than a typical high school graduate in their state's labor force who never enrolled in postsecondary education.
• A majority of program completers are employed in a job or career related to this field within a year after graduation.
• The annual salaries of graduates are equal to or greater than the average BLS salary estimates for the same or similar occupations [or, alternatively, the annual salaries of graduates fall within the average BLS salary ranges].
• The following information is made readily available to students:
  • The total cost of the program with reference to the cost of attendance data utilized for federal Title IV aid processing compiled by the Student Financial Aid Office.
  • The percentage of graduates who pass any required licensure exams.
  • The percentage of program completers who are employed in a job or career related to this field within a year after graduation.
  • The types of occupations in which graduates are employed and the average salaries.

• The annual amount a typical graduate needs to devote to his/her student loans is equal to or less-than 8% of annual earnings, or equal to or less-than 20% of their discretionary earnings (their annual earnings above 150% of the federal poverty guideline for a single individual).
• At least half of program graduates have higher earnings than a typical high school graduate in their state's labor force who never enrolled in postsecondary education.

• The total cost of the program with reference to the cost of attendance data utilized for federal Title IV aid processing compiled by the Student Financial Aid Office.
• The percentage of graduates who pass any required licensure exams.
• The percentage of program completers who are employed in a job or career related to this field within a year after graduation.
• The types of occupations in which graduates are employed and the average salaries.

Compliance

Failure to comply with this policy could result in UofL certificate programs not being eligible to receive Title IV federal aid.

Related Information:

For more information visit the UofL Student Financial Aid Office website at http://louisville.edu/financialaid/our-services.

Policy Reasoning:

The purpose of this policy is to comply with regulations regarding the Gainful Employment Rule.

All non-degree programs at public higher education institutions that are determined by the institution to be eligible to participate in Title IV financial aid must comply with the Gainful Employment (GE) program eligibility and accountability framework. As a statutory condition of eligibility to participate in Title IV federal financial aid, these GE programs must "prepare students for gainful employment in a recognized occupation" and provide training and education to program recipients of federal financial aid that "lead to earnings beyond those of high school graduates and [are] sufficient to allow students to repay their student loans."

Responsibilities:

The Student Financial Aid Office is responsible for oversight and interpretation of this policy.

Academic units are responsible for determining if the certificate programs offered in their units meet the criteria to receive Title IV financial aid.

Official University Administrative Policy

Policy Name:

Compensation and Classification

Effective Date:

May 1 1992

Policy Number:

PER 3 01

Policy Applicability:

This policy applies to University Staff

Policy Statement:

The university's compensation policy will:

A. Establish wage and salary ranges that reflect the value to the university of the various jobs, as determined by a system of job evaluation and review, taking into account the duties and level of responsibility of each job;

B. Establish and maintain justifiable differentials between job levels; and

C. Adjust salary and wage ranges when warranted by changing economic and competitive factors, as determined by periodic surveys and in accordance with available funding.

Policy Reasoning:

To encourage superior performance by adjusting the pay rate of each employee on the basis of the quality of individual performance, as determined by a systematic program of performance evaluation.

To ensure that compensation practices comply with all federal and state laws and support the university's ongoing commitment to compliance with applicable laws.

Official University Administrative Policy

Policy Name:

Continuous Creditable Service

Effective Date:

May 1 1992

Policy Number:

PER 1 06

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

CONTINUOUS SERVICE

1. Continuous service is employment without a break in service and includes all authorized leaves of absence with or without pay. Dismissal or voluntary resignation shall constitute a break in continuous service.
2. Any employee who has attained regular status in any classification and who is separated due to a reduction-in-force shall be considered to have continuous service during the period of separation if reemployed within 18 months from the effective date of separation.
3. Any employee who voluntarily resigns from employment in good standing and is subsequently reemployed shall be entitled to use previous continuous service in determining benefits eligibility for higher vacation leave credits in accordance with Section PER-4.04, Vacation Leave, except that previously earned, unused sick leave shall not be reinstated.
4. When an employee is transferred, demoted, or promoted from one unit to another, there shall be no break in continuous service.

CREDITABLE SERVICE

1. Creditable (any/all employment periods which may be used toward entering the next higher rate of vacation leave) service accrues in each pay period. An employee accrues creditable service for each pay period in which the employee is in pay status for 50 percent or more of the pay period. (Employees working at least 40 percent FTE on July 1, 1990, will continue to accrue vacation leave on a proportional basis as long as they remain on at least a 40 percent FTE.)
2. Creditable service shall apply only to vacation leave provisions of Section PER-4.04, Vacation Leave and employee recognition programs based on creditable service at PER 6.02, Employee Recognition Program.

Policy Reasoning:

Section PER-4.04, Vacation Leave

PER 6.02, Employee Recognition Program

Official University Administrative Policy

Policy Name:

Demotions

Effective Date:

May 1 1992

Policy Number:

PER 2 07

Policy Applicability:

This policy applies to University of Louisville staff

Policy Statement:

1. Demotions may be (1) voluntary, (2) involuntary, or (3) disciplinary:
   1. A voluntary demotion occurs when the employee initiates or requests the demotion.
   2. An involuntary demotion occurs when the position which an employee occupies is reclassified to a lower level or when the demotion is due to inadequate performance or a matter of organizational necessity, such as reductions-in-force.
   3. A disciplinary demotion occurs when the demotion is imposed upon the employee as a disciplinary measure.
2. Staff members who have served less than six months in their current position must have the permission of their supervisor/unit head before applying for a position which represents a voluntary demotion.
3. Upon demotion, if an employee's salary exceeds the maximum of the new lower salary grade, the employee's salary will be reduced to at least the maximum of the new salary grade. Rate on demotion is reviewed on an individual basis and must be approved by the Vice President for Human Resources.

1. A voluntary demotion occurs when the employee initiates or requests the demotion.
2. An involuntary demotion occurs when the position which an employee occupies is reclassified to a lower level or when the demotion is due to inadequate performance or a matter of organizational necessity, such as reductions-in-force.
3. A disciplinary demotion occurs when the demotion is imposed upon the employee as a disciplinary measure.

Related Information:

Salary Administration Policy Changes

PER 5.01 Discipline

PER 5.04 Appeals

Definitions:

A demotion occurs when an employee moves from a position in one class to a different position in a different class assigned to a lower pay grade. A demotion may occur either within a department or between two departments.

Official University Administrative Policy

Policy Name:

Crisis Communication

Effective Date:

July 1 1995

Policy Number:

OCM 1 03

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

The University of Louisville is committed to taking a preemptive approach to public relations crises, using disclosure whenever possible as the preferred strategy for preventing or minimizing public relations crises.

No one is authorized to speak to the news media in a crisis without clearance from the Office of Communications and Marketing.

Related Information:

Crisis Prevention

Communications and Marketing will maintain regular contact with vice presidents, deans, directors, department heads, campus police, and faculty, staff and student leaders, advising the appropriate administrator(s) when internal issues or developments appear likely to lead to public relations problems.

Similarly, UofL's administration will regularly notify Communications and Marketing of internal developments that may escalate into public relations crises.

Communications and Marketing also will monitor local, state and national news coverage of higher education, advising the appropriate administrator(s) of issues and/or trends that might lead to negative stories.

Crisis Response

When crises erupt, Communications and Marketing will gather and verify information about the crisis, assess the severity of the crisis, and develop strategies concerning how information is to be released, who should speak for the institution and who is to be notified.

The office also will work out logistical details of releasing information and distribute verified information as quickly as possible to internal and external audiences.

Definitions:

For terms of this policy, a crisis is defined as "A significant disturbance in the university's activities which results in extensive news coverage and public scrutiny, and which has the potential to cause long-term public relations damage."

Responsibilities:

Communications and Marketing will be responsible for developing crisis communication strategies.

Final approval of these strategies will rest with the University President or his/her designee.

Official University Administrative Policy

Policy Name:

On Campus Commercial Filming

Effective Date:

July 1 2017

Policy Number:

OCM 1 06

Policy Applicability:

This policy applies to any individual or company wishing to film on any of the campuses of the University of Louisville

Policy Statement:

Any individual or company wishing to film on any of the campuses of the University of Louisville ("university") must, at least two weeks prior to filming, make a request to the university's Office of Communication and Marketing, which shall include a final script, treatment, storyboard or similar materials describing the project in detail. Any subsequent changes or revisions to the script must be brought to the attention of the university.

The following rules shall apply to all filming:

1. Filming is permitted only at the location(s) approved by the university and described on the Location Agreement, and in a manner and time that would be least disruptive to student life and academics and the ordinary operations of the university. The university does not allow filming during final exam periods, in residence halls, libraries and clinical care settings, or in places where public access might be restricted for reasons of safety and security.
2. Reasonable care shall be used to prevent damage to the campus or to any university property, and such must be restored to the original state after filming. University reserves the right to require a damage deposit prior to filming, which will be refunded in full when the locations are found to be in satisfactory condition. University officials will conduct a final inspection.
3. Any alterations or renovations to the campus, including temporary construction or the cutting and trimming of trees and vegetation, are subject to the prior written consent of the university. Temporary construction must be done in a manner that does not damage university property, endanger or hinder students, faculty, staff or visitors. All approved alterations or renovations must be removed at the completion of filming, or such shall be removed by the university with the expense included as an additional fee for filming.
4. University may impose reasonable restrictions on the production, including as related to size and weight limitations on equipment and vehicles, and the amount of vehicle and foot traffic. Production vehicles and staff may park only in the areas agreed upon prior to filming, and cannot obstruct city streets or university traffic.
5. During filming on campus, all applicable local, county and state building and safety codes, ordinances and regulations must be complied with, as well as all university policies, including the University Code of Conduct.
6. All personal property brought to campus by anyone filming shall be at said individual's or company's own risk, and the university shall not be liable for any loss or damage that might occur thereto.
7. Any logos or marks of the university, including signature images and locations, may not be filmed without the prior written consent of the university. This restriction also applies to clothing or other items such as pennants or banners bearing university logos or marks used as costumes or set dressing. Obtaining all necessary permission, authorizations and/or clearances in connection with any third party names, logos, signage or works of art shall be the sole responsibility of the individual or company filming on campus. The university may not be identified as the location of the film without the university's prior written consent.
8. Neither filming on campus, nor use of the university logos or marks, implies endorsement by the university of the film, or the content thereof, or any products, services or businesses depicted therein, nor shall such endorsement be asserted, suggested or implied. As such, the university retains the right to review the finished product to ensure proper use of said logos, marks and locations.
9. Signs must be prominently posted at the location(s) of filming informing in advance those passing by that they may be photographed, filmed or recorded. Obtaining the consents of those who might be photographed, filmed or recorded shall be the sole responsibility of the individual or company filming on campus.
10. University reserves the right to eject any crewmembers or personnel connected to the filming for conduct deemed disruptive to the operation of the university, including offensive language or behavior. University is a smoke-free campus.
11. The film, as completed and distributed, must be consistent in all material respects with the script, treatment, storyboard or similar materials describing the project that was submitted to the university in making the request to film on campus.
12. The use of drones for filming will be decided on a case-by-case basis and in accordance with Federal Aviation Administration guidelines and University policy.
13. A certificate of insurance indicating the film company has in-force insurance coverage naming the university, its trustees, officers, employees and agents as additional insured for the following policies and limits: Commercial General Liability that includes completed products, personal and advertising injury, and products/completed operations in the amount of no less than $1,000,000 per occurrence and $2,000,000 in the aggregate. Auto Liability for all owned, hired and non-owned vehicles in the amount of no less than $1,000,000 per occurrence combined single limit for bodily injury and property damage. Property Insurance at replacement cost value for all personal property used/stored by the film company on University Property. Worker's Compensation insurance with statutory limits for Kentucky and the state(s) of domicile of the film company and any subcontractors. The Certificates must clearly state that the Film Companies insurance is Primary and will be presented to the University at least ten (10) business days before filming, along with a signed Location Agreement.
14. University reserves the right to revoke permission to film on campus and eject the film crew if, at any time, either the terms or the intent of this policy is breached.'

University has the right to deny filming requests or revoke permission to film if, in its sole judgment, the subject matter of the project conflicts with the university's mission and values, portrays students, staff or faculty in a negative manner, or is derogatory to higher education.

Related Information:

If the filming request is approved, university personnel will evaluate the availability of the requested location(s). A location fee, as outlined on the rate sheet, will be determined based upon the location(s), date, time, number of hours filming, size of crew, amount of equipment, and potential disruption to the campus. In addition, the university will charge actual rental costs for locations such as performance venues, as well as any other fees incurred, such as parking and security.

FEES

The fees associated with any filming on university campuses shall cover the costs of the Office of Communications and Marketing staff time to process the request, assist with scouting locations and provide day-of troubleshooting and oversight. The university may levy additional charges for parking, security, and other university departments affected by the filming locations.

The Office of Communications and Marketing's base fees for all filming on university campuses:

HALF DAY (up to 6 hrs.) - $1,250

FULL DAY (6-12 hrs.) - $2,000

The university reserves the right to negotiate reduced fees for film projects involving a non-profit or university group. All fees and charges shall be levied at the sole discretion of the university, with payment due within thirty (30) days of completion of filming on-campus.

Definitions:

For ease of reference, "film" or "filming" shall include motion pictures, short features, television programs, documentaries, commercials, videotape, audio recordings, still photography and digital imaging for sale or profit, or for the use of promoting a product, service or business, or for a non-news purpose.

Responsibilities:

Vice President for Communication and Marketing

Official University Administrative Policy

Policy Name:

Public Information

Effective Date:

January 1984

Policy Number:

OCM 1 05

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

Since 1984, the university has operated under a public information policy that defines the process for the release of official information to ensure that positions and statements of the university are represented accurately and consistently.

This policy details how information about the university is announced to the public, the role of the Office of Communications and Marketing (OCM), and each employee's responsibility in the release of official information about the university or its positions. All units of the university are expected to follow this policy.

• OCM is the only office through which official university announcements, activities and statements may be communicated to the general public. This includes:
  • Proactively obtaining coverage in the news media through press releases and other means.
  • Releasing information about emergencies, crimes, controversies, official positions on issues involving the university and other events to which the press has reasonable claim.
  • Linking faculty or staff with reporters seeking their expertise.
• All media contacts for official university information or expertise must be directed to OCM, which will coordinate the university's response with appropriate administrators or employees. Media requests for public records under the Kentucky Open Records Act are an exception: They should be referred to the university's open records officer in University Archives.
• All offices seeking media coverage for events and activities will contact OCM, which will analyze each request and define the strategy it believes will be most effective in achieving the desired goal on behalf of the university. Requests for routine coverage should reach the office at least two weeks before the date on which initial media contact or release might be made.
• Individuals who talk with the media as officials of the university or as faculty or staff representing their expertise or responsibilities through the university will work with OCM in advance to the extent possible; in rare instances when this is not possible, they will notify OCM of the contact so the office can track the results.
• OCM representatives will be available to consult with administrators, faculty and staff about the most effective ways to work with the media.
• Exceptions to this policy include athletics, which manages media relations through its sports information office, and select other offices identified by OCM. However, OCM will be consulted regarding responses to all significant issues that have the potential to reflect upon the image of the university.

• Proactively obtaining coverage in the news media through press releases and other means.
• Releasing information about emergencies, crimes, controversies, official positions on issues involving the university and other events to which the press has reasonable claim.
• Linking faculty or staff with reporters seeking their expertise.

Nothing in this policy is intended to affect the responsibility of faculty members for their scholarly publications and personal involvement in community activities, nor is it intended to affect individual employees' rights to express personal views about university or non-university issues as long as they make it clear that they do so as individuals and do not represent the official position of the university either directly or indirectly.

Related Information:

Contact the vice president for communications and marketing or director of media relations with questions regarding this policy.

Policy Reasoning:

As a public institution of higher learning, the University of Louisville has a responsibility and a commitment to disseminate information about its programs and activities and to be responsive to media inquiries. Press coverage of the university's activities is one way the institution can receive positive visibility and support, while the university's prompt, fair and accurate public response to challenging issues can reassure its constituents and the general public.

Official University Administrative Policy

Policy Name:

Accounts Receivable

Effective Date:

May 1 2003

Policy Applicability:

This policy applies to University Employees administrators faculty and staff

Policy Statement:

In the event the University has provided goods or services to individuals or entities outside the University and full payment is not immediately received, an account receivable must be recorded by the lead fiscal officer or unit business manager in the general ledger. All accounts receivable should be collected within 30 days. If the account receivable is not collected, it must be assessed to determine collectability. Analysis of large, long-term or a collection of like accounts receivable is performed monthly to determine if a percentage of the accounts will not be collected. A reserve account is established to recognize any accounts receivable, or any portion of, that is deemed not collectible.

To maintain proper segregation of duties, collection of accounts receivable should be performed by individuals within the business unit who are not responsible for billing and recording accounts receivable. Decisions to establish a reserve account and write-off uncollectable accounts receivable are the responsibility of the unit business manager with input from the individual responsible for collecting accounts receivable.

Account receivable balances must be supported by records that substantiate the amount due and these records must be maintained for audit purposes. Records of accounts receivable written-off are to contain the reason for the write-off and must be maintained for audit purposes.

Contact the Controller's Office if assistance is needed with establishing or monitoring an account receivable or reserve account.

Policy Reasoning:

The University of Louisville (University) and its related organizations report income on the accrual basis of accounting in accordance with Government Accounting Standards Board (GASB) guidelines. Accrual accounting requires the recording of income when earned and expenses when incurred. It differs from the cash basis in which income is recorded when cash is received and deposited.

Generally, all sale transactions should be cash basis and payment received at the time of, or before, the sale of goods or services is provided. A receivable must be recorded when a sale of goods or services is provided for fees and payment is not received immediately. As payments are collected, they are applied against the receivable until the receivable is reduced to zero. Revenue is only recorded at the time the receivable is established.

Segregating responsibilities for recording, collecting and monitoring receivables establishes a sound control environment by not giving one person control over recording receivables and writing-off receivables.

Definitions:

Bad debts - Payments due from a third party that are deemed not collectible due to passage of time, collection efforts, or lack of legal enforcement. Also known as a "write-off".

Reserve account - An account that offsets against an account receivable the expected amount of receivables that will not be collected. The expected uncollectable amount of receivables is recognized as bad debts when recorded to the reserve account (debit bad debt expense/credit reserve account).

Contra revenue accounts - contractual discounts that off-set against a revenue account reducing the amount of revenue recognized. Most often related to medical and patient revenues.

Substantive records/supporting documentation - Support generated from a source separate from the general ledger (PeopleSoft) that corroborates the existence of the account receivable.

Types of receivables (list is not all inclusive):

• Tuition and other student services - maintained by Bursar's Office. Includes services such as housing rents and meal plans. Accounts receivable are recorded when payments are due from the student.

• Patient services/ contracts - Clinics generally maintain patient billings and accounts on separate automated databases. Unit business managers must record the summary clinical income and receivables to the university's general ledger (PeopleSoft financial system entries using speedtypes and accounts) on a monthly basis.

• Grants and sponsored programs - The grant or contract agreements with each sponsor define the billing and payment terms and determine when income is earned by the University. At the point services can be billed, revenue is earned and accounts receivable are recorded.

• Contracts for goods and/or services provided - Any contract with external organizations or individuals. Income is generated when services are performed or goods are delivered and payment is not immediately received. Examples are: parking contracts, promotions, sponsorships, consulting services, etc.

• Reimbursements - Occasionally, a university department or program may expend funds in collaboration with other organizations (For example, conferences with professional societies, alumni functions). A receivable must be recorded for the amount of funds to be reimbursed by the external organizations. This receivable is offset (credit side of the journal entry) by a reduction of the original expenses incurred.

• Pledges - A contract to receive gift payments over a period of time.

Responsibilities:

Department responsibilities:

• Invoice for goods or service provided and payment not received to record accounts receivable and revenue earned.
• Maintain documentation for accounts receivable.
• Collect and record payments against accounts receivable.
• Monitor accounts receivable and determine if a reserve account is needed or if any accounts need to be written off.

Controller's Office:

• At year end, provide overall monitoring of accounts receivable for reasonableness and collectability based on prior experience and knowledge.
• Provide guidance on establishing and monitoring accounts receivable to departments as needed.

Official University Administrative Policy

Policy Name:

Exit Interviews

Effective Date:

May 1 1992

Policy Number:

PER 4 15

Policy Applicability:

This policy applies to all University Employees

Policy Statement:

For all regular, full and part-time employees, faculty, classified, and professional/administrative personnel leaving the university, an exit survey was developed to provide an opportunity to share experiences while employed at the University of Louisville and to provide the university with a better understanding of reasons for leaving.

Official University Administrative Policy

Policy Name:

Family and Medical Leave

Effective Date:

January 4 2001

Policy Number:

PER 4 17

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

Family and medical leave is provided to eligible employees for any of the events or conditions listed below. Leave taken for these events must be reported as family and medical leave:

• The birth of a child and the care of the newborn.
• The placement of a child with an employee in connection with the adoption or state-approved foster care of the child.
• The serious health condition of a child, parent, or spouse of the employee or a qualifying adult or child of a qualifying adult.
• A serious health condition of the employee.
• Qualifying Exigency Leave. An employee whose son, daughter, spouse, parent, qualifying adult or child with a qualifying adult who is on active duty or has been notified of an impending call to active duty in the regular Armed Forces, National Guard or Reserves. May be used for notice of deployment or return; any official ceremony, program or event sponsored by the military; to attend family support and assistance programs and informational briefings sponsored by the military, military service organizations, or the American Red Cross; to arrange child care or attend certain school functions of the son or daughter of a covered military family member; to make or update financial or legal arrangements to address the covered military family members absence while on active duty or call to active duty; to attend counseling by a non-health care provider; to spend time with a covered military family member on rest and recuperation leave during a period of deployment; to address issues arising from the death of a covered military family member.

An eligible employee is entitled to a maximum of 12 weeks of approved family and medical leave in a year, as defined in this document.

ADDITIONAL CONDITIONS:

• An eligible employee must use all applicable accrued paid leave balances (including sick, vacation, and personal leave) while taking family and medical leave. Any sick leave of more than seven consecutive days or intermittent leave of any duration for qualifying serious or chronic health conditions must be counted as family and medical leave.
• If an employee is requesting continuous or intermittent family and medical leave, the employee must ensure submission of Family Medical Leave forms to Human Resources outlined in the PROCEDURES section below.
• An employee on Workers' Compensation who wishes to continue to receive University health benefits is required to apply for family and medical leave.

• If both spouses (or an employee and his or her qualifying adult) are employed by the University of Louisville, each employee is entitled to 12 weeks of leave during any 12- month period for the birth or placement of a child or for other qualifying events or conditions.

• Leave for birth or placement of a child must take place within 12 months after the event. Leave may begin prior to the birth or adoption. Leave for birth or placement of a child is available equally to both sexes.

• An intermittent or reduced leave schedule is available under the Family and Medical Leave Act for the serious health condition of the employee, employee's spouse, child, or parent or the employee's qualifying adult.

• For the period of the family and medical leave that is without pay, the employee may continue insurance benefits (excluding disability insurance plans) and will receive the premium sharing from the university toward the cost of health insurance. The employee is responsible for self-paying by personal check or money order that part of his/her insurance cost that would otherwise be deducted from the employee's paycheck.

• For the period of the family and medical leave that is without pay, the employee on family and medical leave will continue to accrue service credit but will not accrue vacation and sick leave.

• Except under the conditions outlined in section I below, employees returning from approved family and medical leave must be restored to their original or equivalent positions with equivalent pay, benefits, and other employment terms.

  1. An employee offered an equivalent position who chooses to decline the position waives any rights to reinstatement.
  2. An employee who believes that a position offered is not an equivalent position is entitled to file a grievance under the university's grievance policy and procedure, Section PER- 5.03, Grievances.
     
     
• The university may decline to restore an employee on family and medical leave to his/her original or equivalent position under the conditions listed below.
  
  

  1. If an employee's position is scheduled for elimination as part of an approved reduction in force (RIF) plan, the employee's family and medical leave rights (including rights to restoration of employment) end on the scheduled termination date.

  2. If misconduct by the employee which constitutes grounds for termination occurs or is discovered, the employee is subject to termination, even if the employee is on family and medical leave at the time of the misconduct or discovery of misconduct.

  3. If an employee is scheduled for termination for any other reason prior to notification of family and medical leave and has received written notice of the termination, the employee's family and medical leave rights end on the previously scheduled termination date.
  4. If the employee is among the highest paid ten percent employed by the university and a determination is made by the President that restoring employment to the employee would result in substantial economic injury to the university, the employee's right to restoration of employment may end at the close of the family and medical leave period. At the time an employee in this category applies for family and medical leave, the employee must be notified that he/she may be ineligible for reinstatement.
     
     In such cases, the employee maintains only those rights provided by such regulations as COBRA and in the case of a reduction in force.
     
     
• If an employee elects not to return to work upon completion of an approved unpaid family and medical leave, the employee is obligated to reimburse the university for the amount of the university's contribution of insurance premium during any complete months of unpaid leave. The employee need not reimburse the university if the failure to return to work was for reasons beyond the employee's control, or if the employee retires directly from leave or within 30 days of returning from leave.
  
  SERVICE MEMBER FAMILY LEAVE
  
  An eligible employee who is the spouse, son, daughter, parent, next of kin or qualifying adult of a covered service member shall be entitled to a total of 26 work weeks of leave during a single 12 month period to care for the service member.
  
  When the veteran designates in writing a blood relative as next of kin for FMLA purposes, that individual is deemed to be the veteran's only FMLA next of kin. When the veteran has not designated in writing a next of kin for FMLA purposes, and there are multiple family members with the same level of relationship to the veteran, all such family members are considered the veteran's next of kin and may take FMLA leave to provide care to the veteran. See definitions below.
  
  Review: The university expressly reserves the right at any time to modify, alter, or amend this policy in whole or in part. The university shall have the unlimited right to amend this policy at any time, retroactively or otherwise, in such respect and to such extent as may be necessary to meet any legal requirement and to the extent necessary to accomplish this purpose. The President or the Vice President for Human Resources, as the President's designee is hereby granted authority to issue interpretations and clarify rules under this policy and to coordinate it with or modify other rules of the university as required from time to time for compliance with the law.

If both spouses (or an employee and his or her qualifying adult) are employed by the University of Louisville, each employee is entitled to 12 weeks of leave during any 12- month period for the birth or placement of a child or for other qualifying events or conditions.

Leave for birth or placement of a child must take place within 12 months after the event. Leave may begin prior to the birth or adoption. Leave for birth or placement of a child is available equally to both sexes.

An intermittent or reduced leave schedule is available under the Family and Medical Leave Act for the serious health condition of the employee, employee's spouse, child, or parent or the employee's qualifying adult.

For the period of the family and medical leave that is without pay, the employee may continue insurance benefits (excluding disability insurance plans) and will receive the premium sharing from the university toward the cost of health insurance. The employee is responsible for self-paying by personal check or money order that part of his/her insurance cost that would otherwise be deducted from the employee's paycheck.

For the period of the family and medical leave that is without pay, the employee on family and medical leave will continue to accrue service credit but will not accrue vacation and sick leave.

Except under the conditions outlined in section I below, employees returning from approved family and medical leave must be restored to their original or equivalent positions with equivalent pay, benefits, and other employment terms.

1. An employee offered an equivalent position who chooses to decline the position waives any rights to reinstatement.
2. An employee who believes that a position offered is not an equivalent position is entitled to file a grievance under the university's grievance policy and procedure, Section PER- 5.03, Grievances.
   
   

1. If an employee's position is scheduled for elimination as part of an approved reduction in force (RIF) plan, the employee's family and medical leave rights (including rights to restoration of employment) end on the scheduled termination date.

2. If misconduct by the employee which constitutes grounds for termination occurs or is discovered, the employee is subject to termination, even if the employee is on family and medical leave at the time of the misconduct or discovery of misconduct.

3. If an employee is scheduled for termination for any other reason prior to notification of family and medical leave and has received written notice of the termination, the employee's family and medical leave rights end on the previously scheduled termination date.
4. If the employee is among the highest paid ten percent employed by the university and a determination is made by the President that restoring employment to the employee would result in substantial economic injury to the university, the employee's right to restoration of employment may end at the close of the family and medical leave period. At the time an employee in this category applies for family and medical leave, the employee must be notified that he/she may be ineligible for reinstatement.
   
   In such cases, the employee maintains only those rights provided by such regulations as COBRA and in the case of a reduction in force.
   
   

If an employee's position is scheduled for elimination as part of an approved reduction in force (RIF) plan, the employee's family and medical leave rights (including rights to restoration of employment) end on the scheduled termination date.

If misconduct by the employee which constitutes grounds for termination occurs or is discovered, the employee is subject to termination, even if the employee is on family and medical leave at the time of the misconduct or discovery of misconduct.

Related Information:

Covered Service Member

Federal Family and Medical Leave Act of 1993 (FMLA)

PER 4.21 Leave of Absence without Pay

Policy Reasoning:

This policy has been established to comply with the Federal Family and Medical Leave Act of 1993 (FMLA) and related Department of Labor regulations, and to establish university equivalent benefits for such other individuals as deemed consistent with the university's equal employment policy. The policy prescribes the leave benefits available to eligible employees and it applies to all faculty and staff employees who meet the eligibility requirements defined in this policy.

Definitions:

Policy Key Terms

Active Duty: Limited to a member of the Reserve components, the National Guard, certain retired members of the Regular Armed Forces and retired Reserve while serving on active duty status. Only available where the Federal call to active duty is designated by the Secretary of Defense as an operation in which members of the armed forces are or may become involved in military actions, operations, or hostilities against an enemy of the United States or against an opposing military force.

Covered Service Member: A member of the regular Armed Forces, including a member of the National Guard or Reserves, who is undergoing medical treatment, recuperation, or therapy, is otherwise in outpatient status, or is otherwise on the temporary disability retired list, for a serious health injury or illness.

Chronic health condition: One that meets all the following requirements:

1. Requires periodic visits for treatment by a health care provider;
2. Continues over an extended period of time; and
3. May cause episodic rather than continuing incapacity (e.g., asthma, diabetes, epilepsy).

Next of Kin: The nearest blood relative of that individual or someone who stood in the place of a parent of such individual.

Next of Kin (of a covered veteran):

The "next of kin" of a covered veteran is the nearest blood relative, other than the veteran's spouse, parent, son, or daughter, in the following order of priority:

1. A blood relative who has been designated in writing by the service member as the next of kin for FMLA purposes.
2. Blood relative who has been granted legal custody of the service member.
3. Brothers and sisters.
4. Grandparents.
5. Aunts and uncles.
6. First cousins.

Incapacity: For the purposes of FMLA, the inability to work, attend school, or perform other regular daily activities because of the serious health condition, treatment therefore, or recovery therefrom.

Outpatient Status: A member of the regular Armed Forces assigned to:

1. A military medical treatment facility as an outpatient; or
2. A unit established for the purpose of providing command and control of members of the regular Armed Forces receiving medical care as outpatients.

Serious Injury or Illness: An injury or illness incurred by the service member in the line of duty or on active duty in the regular Armed Forces that may render the service member medically unfit to perform the duties of the service member's office, rank, or rating.

Treatment: For the purpose of FMLA, includes, but is not limited to, examinations to determine if a serious health condition exists. Treatment does not include routine physical, eye, or dental exams.

**Specific conditions for which treatment does not qualify for FMLA leave include: cold, flu, earaches, upset stomach, minor ulcers, headaches other than migraine, routine dental, or orthodontia problems and periodontal disease. Cosmetic treatments are not considered a serious health condition unless medically required or unless complications arise.**

For other definitions and terms within this policy, visit the Policy Definition webpage.

Responsibilities:

It is the responsibility of the employee's department Unit Business Manager or designee to notify human resources of employee absences of more than seven days or any pattern of employee intermittent absences.

Official University Administrative Policy

Policy Name:

Digital Media

Effective Date:

July 1 2010

Policy Number:

OCM 1 04

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

POLICIES FOR ALL DIGITAL MEDIA SITES, INCLUDING PERSONAL SITES

The University of Louisville digital media policies help protect the university and its brand, improve brand messaging and to set a standard for using, communicating and publishing content on websites, social media and other digital media platforms.

• Protect confidential and proprietary information: Do not post confidential or proprietary information about the University of Louisville, students, employees, or alumni. Employees must still follow the applicable federal requirements such as FERPA, PCI-DSS and HIPAA, as well as NCAA regulations. Adhere to all applicable university privacy and confidentiality policies. Employees who share confidential information do so at the risk of disciplinary action or termination.
• Respect copyright and fair use: When posting, be mindful of the copyright and intellectual property rights of others and of the university. For guidance, consult the Copyright Guidelines & Resources. Direct questions about fair use or copyrighted material to the University Libraries contact Dwayne Buttler, Dwayne.buttler@louisville.edu, at 852-3128 or visit their office in room 276 of the William F. Ekstrom Library.
• Don't use University of Louisville logos for endorsements: Do not use the University of Louisville logo or any other university images or iconography on personal digital media sites, apps or profiles used for commercial or marketing purposes [an online, personal, resume or Curriculum Vitae, may use the university name as an employer but not as an endorser of you, your product, service, research or any other endorsements (explicit or implied)]. Do not use University of Louisville's name to promote a product, service, cause, political party or candidate. For additional logo and brand usage, visit the University of Louisville Brand Guideline Policies.
• Respect university time and property: University computers and time on the job are reserved for university-related business as approved by supervisors and in accordance with the Internet Acceptable Use Policy and User Accounts and Acceptable Use documents.
• Terms of service: Obey the Terms of Service of any digital media, social media or mobile platform.
• The University of Louisville prohibits the use of advertising, promotion or endorsement of third parties on the university web or digital properties and other official university communication, including email, social media or other digital media without prior approval from the Office of Communications and Marketing (sponsorship approval). Additionally, the university prohibits the posting of any symbols or logos of third parties on the university's website or digital properties without the approval from the third party and the Office of Communications and Marketing. Advertising on official university properties or communication may be considered a violation of UBIT policies.

INSTITUTIONAL DIGITAL MEDIA

If you post on behalf of an official university unit, the following policies must be adhered to in addition to all policies and best practices listed above:

• Notify the university: Departments or university units that have a digital presence or would like to start one should contact the Office of Communications and Marketing (OCM) at 502-852-2670 or email web@louisville.edu to ensure all institutional digital media sites coordinate with other University of Louisville sites and their content. All institutional pages must have a full-time appointed employee who is identified as being responsible for content and one full-time employee as a backup. We will verify your employment and that you are authorized by the department to run the social media, web site or mobile app profile. Ideally, this should be the unit head of the department. Both administrator email addresses must be provided to OCM for inclusion in the University Notification and Presidential posting email notices. Administrators may or may not post the notices unless mandated by the President. The purpose of the notices is to ensure that all students, faculty and staff are given the same information from all University outlets.
• Acknowledge who you are: If you are representing The University of Louisville when posting on a digital media platform, acknowledge this.
• Have a plan: Departments should consider their messages, audiences, and goals, as well as a strategy for keeping information on digital media sites or mobile apps up-to-date. The Office of Communications and Marketing can assist and advise you with your digital media planning.
• Link back to the university: Whenever possible, link back to the University of Louisville site. Ideally, posts should be very brief; redirecting a visitor to content that resides within the University of Louisville web environment. When linking to a news article about the University of Louisville, check first to see whether you can link to a release on UofL Today (http://louisville.edu/uofltoday) instead of to a publication or other media outlet.
• Protect the institutional voice: Posts on digital media sites should protect the university's institutional voice by remaining professional in tone and in good taste. No individual University of Louisville unit should construe its digital media site(s) or profiles as representing the university as a whole. Consider this when naming pages or accounts, selecting a profile picture or icon, and selecting content to post—names, profile images, and posts should all be clearly linked to the particular department or unit rather than to the institution as a whole.
• Email policies are included within the ITS Internet Acceptable Use Policy and ITS Electronic Data and Voice Mail Disclosure Policy. Any email distributed to a large number of internal faculty or staff must be approved by John Drees in the Office of Communications and Marketing. Email directed at the students (internally) must be approved by the Bursar's office and the Bursar plus the Office of Communications and Marketing must approve any bulk external communication with students.

INSTITUTIONAL DIGITAL MEDIA COMMENT POLICY

• We expect conversations to follow the rules of polite discourse and we ask that participants treat each other, as well as our employees, with respect. In the event you are posting content that is contrary to these policies, you may be asked to remove the University of Louisville's name(s) or identities from any and all of your personal profiles, immediately, upon request. University employees will not post or approve post comments that include:
  • Profanity and vulgar or abusive language.
  • Threats of physical or bodily harm.
  • Sensitive information (for example, information that could compromise public safety, intellectual property, research policy or national security).
• For the benefit of robust discussion, we ask that comments remain "on-topic," when you post or approve posts. This means that comments will be posted only as they relate to the topic being discussed/viewed/played/displayed. University employees will not post comments that include:
  • Off-topic comments (if you have off-topic comments that are relevant to the department, organization or group please submit them directly to the group, not on an off-topic public platform).
  • Questions from the media (please contact the Office of Communications and Marketing if there is a post by the media which needs to be addressed 502-509-2218).
  • University digital media sites should not permit friends, followers or the general public to create new posts. For example, Facebook and blog pages or accounts should not give ‘everyone,' ‘friends' or ‘followers' access to their wall or the ability to post. These opportunities open the University to legal, libel and regulatory concerns that are not necessary. Notwithstanding the liabilities, if you choose to allow public posts, we require the digital media account/profile administrators to be constantly vigil about monitoring and declining content (immediately or as quickly as possible) that does not meet the standards outlined in these policies.
  • Identical comments by the same user (please don't post or approve comments submitted over and over expecting the post to show up faster) or multiple users (a group of people sending identical messages or one person submitting under different aliases). In the case of identical comments, you should approve the first submission unless you have specifically requested the comment as part of a challenge, contest or promotion.

• Profanity and vulgar or abusive language.
• Threats of physical or bodily harm.
• Sensitive information (for example, information that could compromise public safety, intellectual property, research policy or national security).

• Off-topic comments (if you have off-topic comments that are relevant to the department, organization or group please submit them directly to the group, not on an off-topic public platform).
• Questions from the media (please contact the Office of Communications and Marketing if there is a post by the media which needs to be addressed 502-509-2218).
• University digital media sites should not permit friends, followers or the general public to create new posts. For example, Facebook and blog pages or accounts should not give ‘everyone,' ‘friends' or ‘followers' access to their wall or the ability to post. These opportunities open the University to legal, libel and regulatory concerns that are not necessary. Notwithstanding the liabilities, if you choose to allow public posts, we require the digital media account/profile administrators to be constantly vigil about monitoring and declining content (immediately or as quickly as possible) that does not meet the standards outlined in these policies.
• Identical comments by the same user (please don't post or approve comments submitted over and over expecting the post to show up faster) or multiple users (a group of people sending identical messages or one person submitting under different aliases). In the case of identical comments, you should approve the first submission unless you have specifically requested the comment as part of a challenge, contest or promotion.

DIGITAL MEDIA POLICY NOTIFICATION

Digital media websites each have their own terms & conditions and/or policies, all UofL employees must adhere to these policies if they choose to use the social media platforms. Not following these policies/terms may lead to the removal of your social media account and may adversely affect or reflect poorly upon other areas of the University. Please keep up to date on your social media platform policies/terms.

Related Information:

BEST PRACTICES

This section applies to those posting on behalf of an official university unit, though the guidelines may be helpful for anyone posting on digital media in any capacity.

• Think twice before posting: Privacy does not always exist in the world of digital media. Consider what could happen if a post becomes widely known and how that may reflect both on the poster and the university. Search engines can turn up posts years after they are created, and comments can be forwarded or copied. If you would not say it at a conference or to a member of the media, consider whether you should post it online. If you are unsure about posting something or responding to a comment, ask your supervisor for input or contact the Office of Communications and Marketing (OCM) at 502-852-2670.
• Strive for accuracy: Get the facts straight before posting them online or through mobile applications. Review content for grammatical and spelling errors. This is especially important if posting on behalf of the university in any capacity. (See "Institutional social media" below.)
• Be respectful: Understand that content contributed to a digital media site or mobile app could encourage comments or discussion of opposing ideas. Responses should be considered carefully in light of how they would reflect on the poster and/or the university and its institutional voice.
• Remember your audience: Be aware that a presence in the digital media/mobile app world is or easily can be made available to the public at large. This includes prospective students, current students, current employers and colleagues, and peers. Consider this before publishing to ensure the post will not alienate, harm, or provoke any of these groups.
• On personal sites, identify your views as your own. If you identify yourself as a University of Louisville faculty or staff member online, it should be clear that the views expressed are not necessarily those of the institution.
• Photography: Photographs posted on social media sites easily can be appropriated by visitors. Consider adding a watermark and/or posting images at 72 dpi and approximately 800x600 resolution to protect your intellectual property. Images at that size are sufficient for viewing on the Web, but not suitable for printing. Remember that the policies of the University of Louisville Creative Services (including photography) related to purchasing and using their images apply online as well as in print. Contact Creative Services Photography at 502-852-8117 with questions.

External digital media terms (this may not be up to date, visit the sites for the most up to date policies/terms).

http://Facebook.com

• Privacy
• Terms

http://YouTube.com

• Privacy
• Terms
• Copyright

http://Twitter.com

• Privacy
• Terms
  

http://instagram.com

• Privacy
• Terms

http://snapchat.com

• Privacy
• Terms

http://MySpace.com

• Privacy
• Terms

http://Blogger.com

• Privacy
• Terms
• Content

http://Typepad.com

• Privacy
• Terms

http://WordPress.com

• Privacy
• Terms
  
  

http://flickr.com

• Privacy
• Terms

http://imodules.com

• Privacy

http://foursquare.com/

• Privacy
• Terms

http://scvngr.com/

• Privacy
• Terms

Please note that your use of these tools is pursuant to the UofL Electronic Records Retention policy.

http://louisville.edu/library/archives/recmgmt/elecmgmt.html

The Office of Communications and Marketing updates monthly, the information and any training material that relate to digital media and online. You can find the most up to date information, training course (OCMu) schedule and resources by visiting http://louisville.edu/ocm

This policy works in conjunction with the following policies:

University of Louisville IT Policies http://louisville.edu/it/policies/policies

Employee Code of Conduct http://louisville.edu/compliance/ico/code-1

Student Code of Conduct http://louisville.edu/dos/students/codeofconduct

Sexual & Discrimination Policies http://louisville.edu/hr/employeerelations/discrimination-and-harassment

Athletics' privacy policy http://www.sidearmsports.com/privacypolicy/

Viewpoint Neutrality Policy https://louisville.edu/policies/policies-and-procedures/pageholder/pol-viewpoint-neutrality

Policy Reasoning:

This policy provides rules for communication on university website properties as well as content creation, communication and posting on third-party sites, including but not limited to social networks, blogs, forums, boards or other sites that permit posting or publishing content.

Definitions:

1. Digital Media is all digitized content that can be transmitted over the internet or computer networks. This can include code, text, audio, video, and graphics. This means that news from a TV network, newspaper, magazine, etc. that is presented on a Web site or blog can fall into this category.
   
   
2. Social Media:
   • Facebook
   • Twitter
   • Instagram
   • LinkedIn
   • SnapChat
   • Vine
   • Periscope
   • Meerkat
   • YikYak
   • Secret
   • Whisper
   • Kik, WhatsApp
   • All other public or private ‘social networks,' communities, boards or sites
     
     
3. Websites, blogs or publications:
   • Louisville.edu
   • UofLnews.com, UofLBlog.com
   • WordPress.com
   • All other websites available to the public or a large private community

• Facebook
• Twitter
• Instagram
• LinkedIn
• SnapChat
• Vine
• Periscope
• Meerkat
• YikYak
• Secret
• Whisper
• Kik, WhatsApp
• All other public or private ‘social networks,' communities, boards or sites
  
  

• Louisville.edu
• UofLnews.com, UofLBlog.com
• WordPress.com
• All other websites available to the public or a large private community

Responsibilities:

Individuals are responsible and liable for their own personal or university posts (of any kind and on any site).

Departments, schools or originations are responsible for monitoring and policing their own websites, social media profiles or other online publications, including all statements, images or videos.

Any party using digital technology (Wi-Fi, cellular networks or wired connections) to transmit data, save data or control Drone, remote controlled or unmanned aircraft systems must abide by FAA regulations (faa.gov/uas) and rules located on the FAA Website (click text for link) and contact web@louisville.edu for approval to fly.

The Office of Communications and Marketing (OCM) oversees the President's website, Louisville.edu and the main university (academic) social media and news or media (Flickr, YouTube, Vimeo, etc.) websites and monitors trending topics, issues and policy violations as they are able. OCM will contact all policy violators and work toward a resolution.

Official University Administrative Policy

Policy Name:

Open Records Inspection of University Records by the Public

Effective Date:

July 15 1976

Policy Number:

UARC 2 00

Policy Applicability:

This policy applies to the University Community administrators faculty staff and students

Policy Statement:

University records are subject to inspection by the public in accordance with the Kentucky Open Records Act (KRS 61.870-61.884).

Related Information:

The University Archives and Records Center is the official repository for all University records and is responsible for the University's compliance with state and federal records laws, including those governing personal privacy; public access; micrographic, photographic, or electronic storage and reproduction; overall disposition; and destruction. The University Archivist shall serve as the official custodian of University records.

The University Archives and Records Center shall preserve proper and adequate documentation of University policies, decisions, procedures, functions, and essential transactions.

Policy Reasoning:

Kentucky Open Records Act (KRS 61.870-61.884)

Definitions:

Kentucky law defines public records as "all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings, and other documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency" (KRS 171.410, Section 1). The Kentucky Open Records Act mandates that "public records shall be open for inspection by any person, except as otherwise provided by KRS 61.870-61.884" (KRS 61.872).

Responsibilities:

The University Archivist serves as the official custodian of University records. The Open Records Team responds to all Open Records requests.

Official University Administrative Policy

Policy Name:

Immigration Reform and Control Employment Eligibility Verification

Effective Date:

May 1 1992

Policy Number:

PER 1 09

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

All new University of Louisville employees must provide proof of identity and eligibility to work.

Related Information:

ACCEPTABLE DOCUMENTS FOR IMMIGRATION FORM I-9

A. For establishing both identity and employment eligibility, an employee may use:

1. A United States Passport; or US Passport Card.
2. Permanent Resident Card or Alien Registration Receipt Card (Form I-551).
3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine-readable immigrant visa.
4. Employment Authorization Document that contains a photograph (Form I-766).
5. In the case of a nonimmigrant alien authorized to work for a specific employer incident to status, a foreign passport with Form I-94 or Form I-94A bearing the same name as the passport and containing an endorsement of the Alien's nonimmigrant status, as long as the period of endorsement has not yet expired and the proposed employment is not in conflict with any restriction or limitations identified on the form.
6. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI.
   
   

B. For establishing identity only, an employee may use:

1. A state-issued driver's license or identification card containing a photograph, or, if the document contains no photograph, identifying information such as name, date of birth, sex, height, color of eyes, and address.
2. ID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address.
3. School Id card with a photograph.
4. Voter registration card.
5. U.S. Military card or draft record.
6. Military dependent's ID card.
7. U.S. Coast Guard merchant Mariner Card.
8. Native American tribal document.
9. Driver's license issued by a Canadian government authority.

For a person under age 18 who are unable to present a document listed above:

10. School record or report card.

11. Clinic, doctor, or hospital record.

12. Day-Care or nursery school record.

If such a document is relied upon, the employer must also inspect a document establishing employment eligibility, (listed below).

C. For establishing employment eligibility only, an employee may use:

1. Social Security Card other than one that specifies on the face that the issuance of the card does not authorized employment in the United States.
2. Certification of Birth Abroad issued by the Department of State (Form FS-545).
3. Certification of Report of Birth issued by the Department of State (Form DS-1350).
4. Original or certified copy of birth certificate issued by a state, county, municipal authority, or territory of the United States bearing an official seal.
5. Native American Tribal document.
6. U.S. Citizen Id Card (Form I-197).
7. Identification Card for Use of Resident Citizen in the United State (Form I-179).
8. Employment authorization document issued by Department of Homeland Security.

If such a document is relied upon, the employer must also inspect a document establishing identity, (listed in section B., above).

Policy Reasoning:

The Immigration Reform and Control Act of 1986 (IRCA) requires the university to document the fact that any employee hired after November 6 1986, is legitimately authorized to work in the United States. This act also prohibits the university from discriminating against potential employees on the basis of nationality.

IDENTIFICATION AND EMPLOYMENT REQUIREMENTS

The IRCA requires the university to maintain paperwork affirming that all new employees hired have presented proof that they are eligible for employment in the United States. The employee is required to check certain documents relating to identity and work authorization and maintain on file a new Employment Eligibility Verification, (INS I-9 Form), and must certify his or her status as either a citizen or an authorized alien on or before date of employment. If the employee does not produce the required documents prior to the first day of work, he or she must produce them no later than three working days after the employee's date of employment. If an employee who is hired for three or more days is unable to provide the document(s) within the required time period, the employee can still satisfy the requirements by presenting to the employer a receipt showing application for the document(s) within three working days of appointment, as long as the document(s) are then presented within 21 days of the date of employment by the employing unit. Civil fines may be levied for failure to maintain required records; civil and criminal penalties may be levied for employing illegal aliens.

VIOLATION

Persons who use fraudulent identification or employment authorization documents or documents that were lawfully issued to another person, or who make a false statement or attestation to satisfy the employment eligibility verification requirements, may be fined, or imprisoned for up to 5 years, or both. Other federal criminal statutes may provide higher penalties in certain fraud cases.

FAILURE TO COMPLY

Immigration Service requirements specify that all appropriate blocks must be checked where applicable. Proper signatures of the employee and employer, along with employer's name, address, and effective dates must be provided. Failure to complete these sections of the document may invalidate the process and be in violation of government provisions.

Official University Administrative Policy

Policy Name:

Military Leave

Effective Date:

May 1 1992

Policy Number:

PER 4 08

Policy Applicability:

This policy applies to University Administrators Faculty and Staff

Policy Statement:

A. Military Leave

An employee ordered to uniform service, upon presentment of military orders to the employee's immediate supervisor, shall fill out a Request for Leave form and be placed on military leave. While on military leave, the employee is entitled to reemployment without loss of leave, seniority, or rate of pay pursuant to provisions of this policy.

1. Additionally, while on military leave, employees shall receive up to 21 calendar days of paid leave in a federal fiscal year (21 calendar days equate to 15 working days based on UofL's five-day workweek). All other military leave shall be unpaid. However, at the employee's option, the employee may request use of vacation leave in order to remain in pay status. However, an employee may not be required to use vacation leave.

2. While on military leave, an employee may request to use any vacation leave, sick leave, or other leave with pay accrued by the person before the start of military leave.

B. Insurance

An employee on military leave may elect to continue health and other insurance coverage once the leave becomes unpaid. A person who elects to continue health and other insurance coverage shall not pay more than 102 percent of the full premium under the plan except that in the case of an employee who is on military leave for less than 31 days shall not be required to pay more than the employee share of the insurance premium. The maximum period of coverage of a person and the person's dependents under such an election shall be the lesser of:

1. The 18-month period beginning on the date on which the military leave begins; or

2. The day after the date on which the person fails to apply for or return to employment after completion of military service.

C. Reemployment Rights

An employee on military leave shall be entitled to the reemployment if the employee has given written or verbal notice that the employee intends to return to work.

1. No notice is required if the giving of such notice is precluded by military necessity or, under all of the relevant circumstances, the giving of such notice is otherwise impossible or unreasonable.

2. A person entitled to reemployment shall be reemployed in the position that the employee held before the uniform service or to one comparable in pay and status.

If the employee is not qualified to perform the duties of the former or comparable position due to disability sustained during uniform service, the employee shall be placed in another position for which the employee is qualified and which will provide closest pay and status as the former position.

D. Benefits Upon Return to Work

A person who is reemployed is entitled to the seniority, rate of pay, and other rights and benefits that the person had on the date of the commencement of uniform service and would have had if the person had remained continuously employed.

A person reemployed may elect to make voluntary contributions to the retirement program in order to receive the employer matching contribution for the time the person was on military leave. The time period for electing to make a voluntary contribution to the retirement program in order to receive the employer matching contribution shall commence from the date of reemployment and end no sooner than three times the period (not to exceed five years) of the military leave.

E. Reporting To or Expressing Interest To Return to Work

An individual desiring to return to work after completion of uniform service shall report to work or provide notice of intent to return to work pursuant to the provisions of this policy.

Notice shall be given according to the following timeline upon completion of service:

1. For a period of service less than 31 days, the employee shall report to work no later than the beginning of the first full regularly scheduled work day following the completion of service plus any reasonable travel time;

2. For a period of service more than 30 days but less than 181, the individual shall submit a letter of intent to return to work no later than 14 days after the completion of the service;

3. For a period of service for more than 180 days, the individual must submit a letter of intent to return to work no later than 90 days after the completion of service.

A person who is hospitalized for, or convalescing from, an illness or injury incurred in, or aggravated during, the performance of service in the uniformed services shall report to work a letter of intent to return to work within two years. Such two-year period shall be extended by the minimum time required to accommodate the circumstances beyond such person's control which make reporting to or applying for work impossible or unreasonable.

A person who fails to report or apply for employment or reemployment within the appropriate period specified in this subsection shall be terminated according to the provisions of Policy 4.14 Separations.

The letter of intent to return to work shall be submitted to the Vice President or Dean and copied to the Vice President of Human Resources. Affixed to the letter of intent to return to work shall be a copy of the order(s) which indicate dates of uniform service as well as a certificate of satisfactory completion of the service.

F. Limitations on Reemployment Right

The cumulative length of the absence because of service in the uniformed services does not exceed five years. Except that any such period of service shall not include any service:

1. That is required, beyond five years, to complete an initial period of obligated service;

2. During which such person was unable to obtain orders releasing such person from a period of service in the uniformed services before the expiration of such five-year period and such inability was through no fault of such person;

3. To fulfill additional training requirements to be necessary for professional development, or for completion of skill training or retraining; or

4. Ordered to or retained on active duty (other than for training) under any provision of law because of a war or national emergency.

There will be no obligation to reemploy the individual if the reemployment would be impossible, unreasonable, or would pose an undue hardship.

Reemployment rights accrue for regular employees. Temporary or casual employees do not have reemployment rights.

A person is not entitled to benefits and protections of this policy if they receive anything other than honorable discharge from the uniform service.

G. Prohibited Discrimination

A person who is a member of, applies to be a member of, performs, has performed, applies to perform, or has an obligation to perform service in a uniformed service shall not be denied initial employment, reemployment, retention in employment, promotion, or any benefit of employment on the basis of that membership, application for membership, performance of service, application for service, or obligation.

An employee shall not be discharged, except for cause, within one year after the date of reemployment.

It is the policy of the University of Louisville to promote a sense of collegiality and community among UofL staff by permitting administrators and staff employees to voluntarily contribute vacation or sick leave to fellow staff employees who would otherwise suffer a loss of regular income due to a personal or family catastrophic illness.

Employees are eligible to apply for up to 12 weeks of Catastrophic Shared Leave, after 12 months of continuous service, equivalent to Family Medical Leave eligibility.

University employees and administrators (even though administrators are not eligible to apply for leave awards) may donate their accrued sick or vacation leave to the Catastrophic Shared Leave Pool. Employees and administrators who voluntary donate leave will not receive payment of any kind for their donation.

Related Information:

38 USC Section 4303 Uniformed Services Employment and Reemployment Act of 1994 (USERRA)

KRS 61.373 through 61.377

KRS 61.394

Request for Leave Form

Policy Reasoning:

The purpose of this policy is to protect employees from detrimental employment decisions based upon the employee's military commitments by establishing Military Leave in accordance with the federal Uniformed Services Employment and Reemployment Rights Act (USERRA) and applicable Kentucky laws.

Definitions:

Notice: Any written or verbal notification of an obligation or intention to perform service in the uniformed services provided by the employee who will perform such service or by the uniformed service in which such service is to be performed.

A. Employee: Any full or part-time regular person employed by the University of Louisville.

B. Federal Fiscal Year: A federal fiscal year is October 1 through September 30.

C. Service in the Uniformed Services: The performance of duty on a voluntary or involuntary basis in a uniformed service under competent authority. Service includes active duty, active duty for training, initial active duty for training, inactive duty training, full-time National Guard duty, a period for which a person is absent from a position of employment for the purpose of an examination to determine the fitness of the person to perform any such duty, and a period for which a person is absent from employment for the purpose of performing funeral honors duty.

D. Uniformed Services: The Armed Forces, the Army National Guard and the Air National Guard when engaged in active duty for training, inactive duty training, or full-time National Guard duty, the commissioned corps of the Public Health Service, and any other category of persons designated by the President in time of war or national emergency.

Official University Administrative Policy

Policy Name:

Overtime

Effective Date:

May 1 1992

Policy Number:

PER 3 06

Policy Applicability:

This policy applies to University Staff

Policy Statement:

For classified employees, approval of the provost, vice president, dean, director, or department/division head is necessary to authorize work performed beyond normal working hours.

To comply with legal requirements, compensation for extra hours actually worked in excess of 40 hours in any workweek must be made by providing compensation at time-and-a-half of the regular rate no later than the end of the next pay period.

In no case shall premium pay for overtime and holiday leave be pyramided or duplicated.

It is expected that professional/administrative employees' working hours, duties, and responsibilities to the university may vary. Such variations are not a basis for additional pay (PER-4.02 Hours of Work).

Related Information:

PER-4.02 Hours of Work

Official University Administrative Policy

Policy Name:

Pay Adjustments

Effective Date:

May 1 1992

Policy Number:

PER 3 05

Policy Applicability:

This policy applies to University Staff

Policy Statement:

Subject to the Board of Trustees' funding in the annual or amended budget, adjustments may be made to the pay range and individual employee compensation. Pay increases shall normally become effective July 1, or at other times as determined by the university.

PAY RANGE ADJUSTMENTS

Each year the university will make a determination regarding the movement of the pay range. This determination will be based upon:

1. The percentage of change within the pay ranges of benchmark or appropriate labor markets;
2. The current competitive status of the university's pay ranges to include minimums, midpoints, and maximums; and
3. The financial means of the university.