Building Access for Consultants

How does a department grant building access to a consultant for buildings that require a Cal 1 Card or cardkey for entry?

Each building/unit has a person (Department Access Key Controller) authorized to make cardkey and building changes.  Have the consultant or other individual with a bona fide business reason to gain access to a facility complete the Cardkey Application, secure the appropriate authorization, and submit the request to the UCPD Alarms and Access Control Unit.

Non-Employee Affiliates (e.g., volunteers, independent contractors, consultants) become eligible for Cal 1 Card issuance via a Memorandum of Understanding (MOU) agreement between the Cal 1 Card office and any department desiring to authorize said eligibility.

The MOU agreement will stipulate that all Non-Employee Affiliates in the designated HCM Home Department(s) will be sponsored for Cal 1 Card eligibility with a $25 production fee charged to a designated departmental chart string for each card produced.  The MOU is established so that this process does NOT need to be repeated for future Non-Employee Affiliates in the authorizing department that will also likely be needing a card.

Once the Cal 1 Ccard is issued, the Department Access Key Controller requests access from the UCPD Alarms & Access Control Unit.

Resources:

Campus Access Control Policy
http://police.berkeley.edu/programsandservices/CACP/index.html
University of California Police Department, Berkeley
Alarms and Access Control Unit
1 Sproul Hall, MC #1199, Berkeley, CA 94720-1199
Phone: 510 642-6760
Fax: 510 643-4655

Buying Surplus Equipment

There are several laptop computers which are no longer in use by the department. A department staff member would like to purchase the computers. Is this allowable?

Prohibition of Sales to Certain Employees and Their Near Relatives

  1. No one employed in a department that reports to either the Surplus Administrator or the Equipment Administrator, or a near relative of such employee, may buy excess property directly from the University.
  2. No one employed in a department that generates excess property, or a near relative of such employee, may buy excess property originating in that department directly from the University.
  3. The principal driver of a University-owned motor vehicle, or a near relative of such employee, may not buy such motor vehicle directly from the University.

These limitations apply to any organization (including non-profits) owned or operated by an employee or near relative of such employee, or in which such employee or near relative holds an administrative position.

Exceptions to these provisions must be approved by the Executive Vice President-Chief Financial Officer, the Vice President-Agriculture and Natural Resources, the appropriate Chancellor or Laboratory Director, or the campus officer delegated by the Chancellor or Laboratory Director to control property.

Resources:

University of California – Business and Finance Bulletin BUS-38
Disposition of Excess Property and Transfer of University-Owned Property
http://www.ucop.edu/ucophome/policies/bfb/bus38.pdf

System Contact:  Pat Cheney
Email:  Pat.Cheney@ucop.edu
Phone #: 510-987-0474

Campus Contact:  Eric Anglim, Acting Equipment Manager
Email:  eanglim@berkeley.edu
Phone #:  510-409-8908

Collection of Employee Debt to UC

Our department reimbursed the wrong employee for travel expenses.

We notified the employee of our error and requested the return of the money. Communication in an attempt to recover the money has been ongoing for two years to no avail. This individual now cites financial hardship and has made no attempt to repay this amount. What are my options for collecting an amount due from an employee?
  1. Escalate the matter through the University’s hierarchy.
  2. Contact Billing and Payment Services and formalize the debt by establishing a CARS account. The account may subsequently be sent to collections.
  3. California labor laws precluding deducting payments from wages without the employee’s permission.
  4. Highly sensitive and unlikely but the debt could be reported to the State Franchise Tax Board which may recover it from future refunds.
  5. Contact Disbursement about the possibility of withholding future travel reimbursements until the debt is cleared.
  6. Forgive/write-off the debt and report on the employee’s W-2.
  7. Consider filing a criminal report.
  8. Consider whether or not there is a statute of limitation. (It is three years from the date that we discovered or reasonably should have discovered the errant payment. Updated 10/28/2011.)
  9. Consider withholding approval of future travel until the debt is repaid. (Updated 10/28/2011)

Copyright Ownership

When a UC staff member produces a piece of software as a part of his or her job responsibilities who owns the intellectual property?

Except as otherwise provided in the Policy on Copyright Ownership, the University shall own all copyrights to works made by University employees in the course and scope of their employment and shall own all copyrights to works made with the use of University resources.

Copyright is the intangible property right granted by Federal statute for an original work fixed in a tangible form of expression. Copyright provides the owner with the following exclusive rights in a work: to reproduce, to prepare derivative works, to distribute by sale or otherwise, to perform publicly, and to display publicly.

UNIVERSITY-OWNED:

  • Sponsored Work (unless the sponsored agreement states otherwise)
  • Commissioned Work (copyright ownership shall be specified in a written agreement)
  • Institutional Work

ORIGINATOR-OWNED:

  • Scholarly/Aesthetic Work (unless they are also sponsored works or contracted facilities works)
  • Personal Work
  • Student Work

Generally other copyright ownership is governed by a written agreement.

Resources:

Policy on Copyright Ownership
http://www.ucop.edu/ott/staff/copyr.html

Associate Campus Counselor Julie Conner
Office of Legal Affairs
200 California Hall, MC#1500
University of California
Berkeley , CA 94720-1500
Phone: (510) 642-7122
Fax: (510) 643-5980

Faculty and Facebook Friends

Is there a policy which prohibits faculty from friending their students on Facebook or other social networks?

No, a systemwide committee has formed to develop a social networking policy.  Stay tuned.

Grant Fund Hopscotch

The compliance briefing referred to "grant fund hopscotch," describing an employee working on a project that is not directly related to the grant for which they were being paid to do research.

Does the term "grant fund hopscotch" apply to a situation where an employee spends 90% of their time researching their grant, but spends the other 10% of their time doing administrative work and teaching work that is only partially related to the grant they are supposed to be researching. In this scenario, the teaching and administrative work is being done for a supervisor not assigned to the grant in question. The two people are members of the same university research center, but the supervisor in question most likely does not have any access to the grant on which the other person is working.
6. Preciseness of Certifications
OMB Circular A-21 provides for “a degree of tolerance” in the preciseness of effort reporting. UCOP has defined the preciseness tolerance at +/- 5%. Therefore, an individual may certify a level of effort for an award or activity that is within five percentage points of their best estimate of the actual effort expended during the reporting period.
Resources:

UCB Policy - Effort Reporting – Certifying Effort on Sponsored Projects
http://campuspol.chance.berkeley.edu/policies/EffortReporting.pdf

Frank Kinney, Interim Director - Extramural Funds Accounting
Phone: (510) 642-1371
Email: fkinney@berkeley.edu

Office of Management and Budget CIRCULAR A-21 Revised 05/10/04
http://www.whitehouse.gov/omb/circulars_a021_2004

Holiday Gifts from Vendors

Are all gifts from vendors and potential vendors prohibited or just those to individuals?

  • Avoid the intent and appearance of unethical or compromising practice in relationships, actions, and communications. Refrain from soliciting or accepting money, loans, credits, or prejudicial discounts, and the acceptance of gifts, entertainment, favors, or services from present or potential suppliers that might influence, or appear to influence, purchasing decisions.
  • Gifts from Health Care Vendors to a Health Care Individual are prohibited.
  • Free samples, vouchers, supplies, or equipment designated for a Health Care Individual are considered Gifts and are prohibited. Vendors may donate their product to a unit of the University if the administrative head of the unit approves the donation with certain restrictions.
Resources:

Business and Finance Bulletin BUS 43 – Materiel Management (Principles of Purchasing and Code of Ethics)
http://www.ucop.edu/ucophome/policies/bfb/bus43.html

Health Care Vendor Relations Policy
http://www.ucop.edu/ucophome/coordrev/policy/PP031208Policy.pdf

Holiday Gifts to Employees

The holidays are approaching. Can I purchase gifts using University funds to distribute to employees at the holiday party?

Examples of unallowable awards and gifts include the following:

  • Gifts of cash, except donations to a charity as an expression of sympathy,
  • Negotiable gift certificates and cards,
  • Gift certificates and cards for services,
  • Recreation memberships,
  • Season tickets to sporting or cultural events, and
  • Gifts provided to employees in connection with birthdays, weddings, anniversaries, holidays, farewells, graduations and other occasions of a personal nature.

 Federal or State Funds may not be used for sympathy gifts and cash contributions, andraffle prizes, door prizes, and incentive gifts to complete surveys and questionnaires.

Resources:

Business and Finance Bulletin BUS 43 – Materiel Management (Principles of Purchasing and Code of Ethics)
http://www.ucop.edu/ucophome/policies/bfb/bus43.html

Business and Finance Bulletin G-41 – Employee Non-Cash Awards and Other Gifts
http://www.ucop.edu/ucophome/policies/bfb/g41.pdf

Nepotism

Does UC policy permit near relatives to work in the same department?

Personnel Policies for Staff Members 21 G. NEAR RELATIVES

Subject to the Chancellor's approval, the employment of near relatives in the same department may be permitted when such concurrent employment would be in the best interests of the University.  For the purpose of this policy, a near relative is defined as a spouse, domestic partner, parent, child (including the child of a domestic partner), or  sibling.  In-laws and step-relatives in the relationships listed, including relatives of the domestic partner who would be covered if the domestic partner were the employee’s spouse, are also defined as near relatives.

UCB Policy 21 Appointment Employment of near relatives is subject to the approval of the control unit head or designee.  (Re-delegation of authority to  vice chancellors May 30, 2008)

Personnel Policies for Staff Members  82. Conflict of Interest

A. GENERAL

An employee shall not engage in any activities which create a conflict of interest between the employee's assigned functions and any other interest or obligation.

E. FINANCIAL CONFLICT OF INTEREST

An employee may not make or participate in the making of a decision if there exists a financial conflict of interest.

This includes University decisions that may affect:

  • Any business in which an employee or immediate family member is a director, officer, partner, trustee, employee, or manager;
  • Any business in which an employee or immediate family member has an investment worth $2,000 or more;
  • Any real property in which an employee or immediate family member has an interest worth $2,000 or more;
  • Any source of income worth $500 or more received or promised 12 months or less before the decision;
  • Anyone who has given the employee or immediate family member $420 or more in gifts 12 months or less before the decision is made.

Employees whose financial interests require them to disqualify themselves from making or participating in a University decision may not participate in any way in the decision, and may not influence any other person with respect to the decision

Making a decision:

  • Hiring someone
  • Approving a purchase

Participating in making a decision:

  • Advising or recommending to a decision maker who hires or approves a purchase

Influencing a decision:

Communicating with a decision maker regarding a financial decision

Resources:

Personnel Policies for Staff Members 21 G. NEAR RELATIVES
http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/personnel_policies/spp21.html

UCB Policy 21 Appointment
http://hrweb.berkeley.edu/er/policies/ppsm/implementing/policy-21

Personnel Policies for Staff Members 82 Conflict of Interest
http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/personnel_policies/spp82.pdf

Business and Finance Bulletin BUS-78, A Guide to the Political Reform Act of 1974
http://www.ucop.edu/ucophome/policies/bfb/bus78/

Theresa Richmond, Interim Director of Talent Acquisition & Employment Services
(510) 643-4235 or trichmond@berkeley.edu

Barbara VanCleave Smith, Deputy Chief Ethics, Risk, and Compliance Officer
Campus Financial Conflict of Interest Coordinator
(510) 643-4171 or bvsmith@berkeley.edu

Non-U.S. Citizen Volunteer

If a non-US citizen is offered and accepts a position at UC Berkeley and arrives on campus prior to having their employment eligibility status validated, can the individual perform tasks on a voluntary basis until the paperwork is in order?

It’s a slippery slope, the risks are many, and it’s not advised.  What are some considerations:

  • What’s the context?  Is this the same work for which you  plan to compensate the individual?  Are there others in the unit being compensated for the same work?
  • What happens if something goes wrong (e.g., an explosion in a lab or the person falls in the work place)? Is the University liable?
  • Might the US Department of Labor perceive the arrangement as a way of circumventing   regulations governing hiring practices? Does the arrangement displace a U.S. citizen looking for work?
  • Is the University depriving the “volunteer”  of compensation for work performed?
  • How do federal regulators define volunteer?  Will the volunteer receive any benefits with a financial value that may be deemed compensation?
  • How will the Department of Homeland Security view the arrangement?  If unfavorably, will it impact the individual’s future ability to gain employable status in the U.S. 
Resources:

Berkeley International Office
2299 Piedmont Avenue
Berkeley, CA 94720-2321
Tel: 510.642.2818
Fax: 510.643.7289
InternationalOffice@berkeley.edu

Privacy of Salary Information

Why are University employees’ salaries not confidential information?

“While we are aware that some employees may regard this as an intrusion of their privacy, please remember that you are public employees working for a public institution – and as such, your compensation, under the California Public Records Act, is considered a public record. 

This is outlined in the staff personnel policy in Personnel Policies for Staff Members (PPSM) 80(C):http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/personnel_policies/spp80.html

“Information which is public information and which should be released upon request includes name, date of hire, current position title, current salary, organizational unit assignment, date of separation, office address and office telephone number, current job description, full-time or part-time, and appointment type.”

The academic personnel policy, Academic Personnel Manual (APM) 160-20(b)(4):http://www.ucop.edu/acadadv/acadpers/apm/apm-160.pdf , states that any “non-personal” information “is public information and is available upon request to any person or entity without limitation.”  It defines “non-personal” academic personnel information as including name, date of hire or separation, current position title, and current rate of pay.”

In International Federation of Professional & Technical Engineers, Local 21, AFL-CIO v. Superior Court, 42 Cal. 4th 319 (Cal. 2007), the Supreme Court held that the names and salaries of highly paid public employees are not exempt from disclosure pursuant to the “personnel” exception (or any other exception) of the Public Records Act. The Court concluded that there was a fairly small privacy interest in the information, given the widespread practice of publicly releasing such information by public employers. The Court went on to say that:  “Counterbalancing any cognizable interest that public employees may have in avoiding disclosure of their salaries is the strong public interest in knowing how the government spends its money,” and “Salaries and other terms of compensation constitute municipal budgetary matters of substantial public interest warranting open discussion.”  (Id. at 333).

Resources:

November 8, 2006 Letter to University employees from Gerald L. Parsky Chairman The Board of  Regents of the University of California

Personnel Policies for Staff Members (PPSM) 80(C)
http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/personnel_policies/spp80.html

Academic Personnel Manual (APM) 160
http://www.ucop.edu/acadadv/acadpers/apm/apm-160.pdf

Stipends

Who approves stipends?

Effective July 1, 1996, the authority to appoint, promote, demote, and dismiss staff employees is delegated to each of you [chancellors] for Professional/Support Staff and Managers/Senior Professional employees under your jurisdiction. In accordance with Staff Policies 30 and 34, you are also authorized to: …

  • approve administrative stipends for temporary assignments not to exceed the maximum salary of the higher level position when added to the base salary pursuant to Staff Policy 30.J, Administrative Stipend for Temporary Assignments;

Delegation of Authority 2087 – Redelegated on November 9, 1999 to vice chancellors, noting the authority may be further delegated.

Stipends for represented employees are governed by the relevant collective bargaining unit agreement.

APM – 633: In recognition of added administrative responsibility, administrative stipends may be paid to eligible academic appointees…. Academic appointees in the following titles are eligible for administrative stipends.

  • Dean
  • College Provosts
  • Vice Chancellor
  • Vice Provost
  • Associate Vice Provost
  • Associate Vice Chancellor
  • Associate Dean
  • Department Chair
  • Department Vice Chair
  • Associate Director
  • Director
  • Librarian-Manager/Supervisor
  • Academic Assistant to the Chancellor/Vice Chancellor
  • Faculty Assistant to the Chancellor, Vice Chancellor, or Dean
  • Interim or Acting appointees in the titles listed above.

Stipends are proposed by department chairs, college/school deans, or organized research unit directors and approved by the vice provost for the faculty.

Resources:

Personnel Policies for Staff Members – Compensation 30. Salary
http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/personnel_policies/spp30.html

Collective Bargaining Unit Agreements 
http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/collective_bargaining_agreements.html

Delegation of Authority 2087 Appointments, Promotions, Demotions, Dismissals, and Compensation of Certain Staff Personnel
http://www.ucop.edu/ucophome/coordrev/da/da2087.html

Academic Personnel Manual Section 4 Salary Administration APM 633 – Stipends/ Academic Appointees
http://www.ucop.edu/acadpersonnel/apm/apm-633.pdf

Human Resources – Compensation
http://hrweb.berkeley.edu/compensation
Phone: (510) 643-7563
FAX: (510) 642-2888
Email: compdesk@berkeley.edu
Rich Lau, Director

Academic Personnel Office
http://apo.chance.berkeley.edu/
Phone: (510) 642-5626
FAX: (510) 643-2278
Email: appolicy@berkeley.edu
Heather Archer, Directo

Voice and Data Plan Reimbursement

Can you clarify the policy currently in effect for the reimbursement for business use of personal iPhones, iPads and cell phone service (data plans and call charges)?

I understand that the IRS determination that all such devices will be considered as personal expenses and that eligible employees will receive a flat monthly allowance for business use has not yet been implemented in the UC system. What about faculty who request reimbursement for data plans for multiple devices? iPhones and iPads are increasingly common business tools, but how many plans can the University be expected to cover for a single individual?

Employees may be reimbursed for the business use of a personally owned cell phone or similar device in limited circumstances. The policy does not allow for reimbursement for the entire cost of a personally-owned cell phone or for a percentage of the total plan.

Employees may be reimbursed only when they incur additional charges for business calls over the plan limit on their personal calling plan. The employee may request reimbursement, at the excess minute rate, for up to the number of minutes exceeding the plan limit for the month OR the total number of business-related minutes, whichever is less. (See example situations below.) No reimbursement can be made for business calls made within the plan minutes.

To be reimbursed, the employee must provide a copy of his or her cell phone bill identifying the business calls and noting the person called and the purpose of each business related call. Many cell phone providers no longer routinely distribute detailed cell phone bills to their customers. In many cases, employees can find more detailed information on their calling plans and bills from the provider's website.

Resources:

Business and Finance Bulletin G-46 Guidelines for the Purchase and Use of Cellular Phones and Other Portable Electronic Resources
http://www.ucop.edu/ucophome/policies/bfb/g46.pdf