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New and Revised Governing and Administrative Regulations

The university is pleased to announce the issuance of the following revised Governing Regulations and Administrative Regulations:

October 2013

GR Part II

Approved by the Board of Trustees 10/26/2013

This Governing Regulation is revised to add the Vice Chair of the Board of Trustees as a member of the Board’s Executive Committee. The Chair of the Board already is a member of the Committee, as is the Secretary (non-voting ex-officio).

AR 1:4, Institutional Effectiveness: The Planning, Assessment, and Budgeting Cycle

Approved by the President 9/9/2013
This Administrative Regulation is revised to make a more powerful statement regarding the University’s commitment to Institutional Effectiveness and to maintain compliance with new requirements of the Southern Association of Colleges and Schools Commission of Colleges’ (SACSCOC). It describes the University’s high-level principles and the expectations of educational and administrative units and their leaders. The revision clarifies the expectations of major educational and major administrative units with regard to the participation of their component units in the Institutional Effectiveness processes of planning and assessment.  Detailed procedures for Reviews of Chief Administrative Officers and the Budgeting process are moved to stand-alone regulations (see AR 3:16 below)

AR 1:5, Substantive Change Policy

Approved by the President 9/9/2013
This Administrative Regulation is revised to maintain compliance with the SACSCOC’s policies and Federal regulations (34 CFR 602.22) relating to the types of changes at the University that must be reported to SACSCOC prior to their occurrence. The revisions consist of changes to the various definitions of the types of changes that must be reported, as well as to the time-frame for reporting those changes.  It includes a Matrix illustrating those changes, reporting requirements, and University approval levels, which has also been revised. 

AR 3:1, University of Kentucky Retirement Plans

Approved by the Board of Trustees 9/10/2013
This Administrative Regulation is revised to change UK’s retirement plan vesting schedule from five to three years.  The revised vesting schedule takes effect immediately and is retroactive to January 1, 2013. This change significantly reduces the vesting period for employees who were hired on or after January 1, 2010 and who were employed with the university as of January 1, 2013,   as well as employees hired after this date.  For more information on the enhancement to the UK retirement plan vesting schedule, please see the Vice President for Finance and Administration’s previous announcement.

AR 3:16, Reviews of Chief Administrative Officers

Approved by the President 9/9/2013
This regulation establishes the policies and procedures for reviews of Chief Administrative Officers (CAO) of the University.  The content of this regulation was previously part of AR 1:4, Institutional Effectiveness, and is now moved to a stand-alone regulation.  It has been updated to conform to current University administrative organization.

AR 4:2, Residence Hall Administrative Board and Procedures for the Determination of Issues Arising Out of Contractual Arrangements Relating to Student Housing

Approved by the President 10/8/2013
This Administrative Regulations is eliminatedIn recent years housing contract cancellations have moved within the authority of the Dean of Students’ Office, which also handles violations of the Code of Student Conduct.  In addition, the appeal processes provided by the Code of Student Conduct are available to a student who wishes to appeal a housing contract cancellation, therefore the appeal process provided by this AR is no longer necessary and has not been utilized by any students for the past several years.

AR 4:9, International Education Travel

Approved by the President 10/8 /2013
This AR is revised at the request of UK HealthCare Risk Management and the UK International Center to change the level of medical malpractice insurance coverage necessary for students, faculty, staff and non-UK individuals who provide patient care in clinical international programs sponsored by the University.  The revision also includes updating the Office of International Affairs to the UK International Center.

AR 6:11, Animals on Campus

Approved by the President 10/8/2013
This AR is revised to clarify that faculty and staff requests for disability accommodation are made to the Office of Institutional Equity and Equal Opportunity. 

AR 7:3, Policies and Procedures for Soliciting, Receiving, Recording, and Administering Grants and Contracts for Sponsored Projects

Approved by the President 10/8/2013
This regulation is revised to maintain the University’s compliance with federal law related to administering grants and contracts for sponsored projects, to reflect current University Procedures for receiving and recording these grants, and to reflect the current University administrative organization.

AR 7:4, Human Subject Research Protection and Institutional Review Boards

Approved by the President 10/8/2013
This regulation is revised to maintain the University’s compliance with federal law related to Human Research and to reflect the current University administrative organization.

AR 11:2, University of Kentucky Press Committee

Approved by the President 10/8/2013
This regulation is revised to clarify the relationship between the UK Press Committee and the University Press of Kentucky. The University Press of Kentucky is a statewide nonprofit scholarly publisher for the Commonwealth of Kentucky, operated as an agency of the University of Kentucky and serving all state institutions of higher education, plus five private colleges and Kentucky's two major historical societies.

AR 11:3, University Committee on Broadcast Media Rights

Approved by the President 10/8/2013
This regulation is revised to reflect the current University administrative organization and to remove references to the University of Kentucky Athletic Association which has been dissolved.  The Committee’s name is changed from “University Committee on Press, Radio, and Television” to “University Committee on Broadcast Media Rights” to more accurately reflect its charge.

 

June 2013

GR PART I: This Governing Regulation is revised to strengthen and clarify the University’s policies relating to the employment of relatives and nepotism. It is further revised, based on the recommendations of a workgroup formed by the President, to strengthen the University’s Ethical Principles and Code of Conduct. Those revisions include moving the Ethical Principles and Code of Conduct to become a stand-alone Governing Regulation (new GR XIV), as well as adding new sections related to Compliance Responsibilities, Ensuring Compliance (Whistleblower) Responsibilities, and Truth, Honesty, and Integrity. (approved 6/11/13)

GR PART II: This Governing Regulation is revised to accommodate the following: 1) At the request of the Staff Senate, staff with a FTE .75 or more are able to participate in electing the Staff Representative to the Board of Trustees and to clarify the administrative positions, consistent with KRS164.131(4), who are eligible to serve as Staff Trustee and who are eligible to vote in Staff Trustee elections (approved 1/29/13); Effective 7/1/2013; 2) After a review of its committee structure, the Board decided to streamline its operations through the consolidation and name changes of Board Committees and the addition of new procedures (approved 3/19/2013); and 3) The Board’s continuing interest in and attention to issues of good governance and accountability led the Board to add to the responsibilities of the Executive Committee to serve in an advisory capacity to the President on regulations and policies, institutional compliance, and accountability. (approved 6/11/13)

GR PART V: This Governing Regulation is revised to accommodate the following changes requested by the Staff Senate: 1) Redefine “full time” employment at 0.75 for purposes of voting in Staff Senate elections or serving as Staff Senator; 2) Clarify that the Staff Senate may address the Board of Trustees through the Staff Trustee regarding any matter affecting staff of the University and may address the President through its elected Chair or its Advisory Committee to the President regarding any matter affecting the staff of the University; 3) Allow the President, in accordance with Governing Regulation III, to delegate appropriate administrative or managerial functions to the Staff Senate; 4) Clarify that Senators are expected to attend regular monthly meetings of the full Staff Senate, monthly Staff Senate committee meetings, and organized special events and that supervisors shall make reasonable accommodations to facilitate participations in the Staff Senate; and 5) Clarify that a Senator who serves as an officer or serves on University and campus wide committees has additional responsibilities that may require additional release time from normal work duties. In advance of assuming such duties, a Senator must discuss with his or her supervisor the impact on the unit’s ability to meet service responsibilities. (approved 6/11/13)

GR PART X: This Governing Regulation is revised to: 1) Further strengthen and clarify the University’s policies relating to the employment of relatives and nepotism; and 2) provide for the appropriate disclosure and management of situations where nepotism may occur.  Employment arrangements where one relative works within the supervisory line of, or under the direction and control of, a relative will be approved only if: (1) the arrangement is in the best interest of the University; (2) the situation is managed so that neither employee is disadvantaged; (3) there is an explicit written agreement between the University and both employees regarding the supervisory and management arrangement for the situation; and (4) approvals are obtained from either the Board (relatives of the President and presidential direct reports) or the presidential direct report for the appropriate University sphere. (approved 6/11/13)

GR PART XIV: This new Governing Regulation contains the University’s Ethical Principles and Code of Conduct.  The Ethical Principles and Code of Conduct establish the University’s expectations for professional conduct for University members, including trustees, executive officers, faculty, staff, and other individuals employed by the University, those using University resources or facilities, and volunteers and representatives acting as agents of the University.  The President formed a workgroup to review university policies and processes regarding legal and ethical conduct. One of the workgroup’s recommendations for improving the Ethical Principles and Code of Conduct was to move the Ethical Principles and Code of Conduct to become a stand-alone Governing Regulation to make a more powerful statement. (approved 6/11/13)

AR 3:1: This Administrative Regulation is revised to authorize the Executive Vice President for Finance and Administration to develop a Retirement Plan Investment Policy Statement and to utilize appropriate University committees and/or consultants to implement the Policy.  The Policy Statement will provide parameters to the retirement carriers (Fidelity and TIAA-CREF) regarding adding or removing investment fund choices offered to UK employees.  A University Retirement Plans Oversight Committee, consisting of faculty and staff employees, will be appointed to: 1) assist in effectively selecting, monitoring, and evaluating the investment fund choices offered to UK employees; and 2) provide additional oversight to the retirement carriers regarding the investment fund choices. (approved 5/14/2013)

AR 6:7: This Administrative Regulation is revised to achieve compliance with the revised Clery Act reporting requirements published earlier this year in The Handbook for Campus Safety and Security Reporting (with clarification and interpretive guidance from the U.S. Department of Education) for national and international off-campus locations.  This revision also reflects the creation of new crime categories and additional reporting requirements made pursuant to the recently passed Violence against Women Reauthorization Act of 2013, Section 304.  The new requirements add three (3) new offenses for which statistics must be kept: domestic violence, dating violence and stalking, and add three (3) new categories of hate crimes: national origin, sexual orientation and gender identity. (approved 6/17/2013)

AR 6:11: This new Administrative Regulation formally establishes the University’s policies and procedures regarding service animals, service animals in training, and other privately-owned animals on University property.  It replaces an Interim Regulation on the same subject that became effective earlier this year (1/14/2013).  Interim regulations are expected only to be effective for up to six (6) months.  A permanent Administrative Regulation regarding service animals, service animals in training, and other animals on campus is necessary to ensure that the University: 1) provides reasonable accommodations to persons with disabilities; 2) fulfills its responsibilities under federal, state, and local laws regarding service animals and service animals in training; and 3) preserves the integrity of its our buildings, property, and programs. (approved 6/17/2013)

December 2012

GR PART II: This Governing Regulation is revised to increase the threshold amount the University Athletic Committee must review for capital projects in Athletics from $400,000 to $600,000. The revision makes the amount consistent with the amount the Board's Finance Committee reviews for capital projects, and also with state laws regarding capital projects that must have legislative authorization.

GR PART VIII: This Governing Regulation is revised to permit the President to delegate to the Provost, as the chief academic officer of the University, the authority to take final action on a wide range of faculty personnel matters, and to issue the concluding judgment on those faculty personnel decisions, such as the granting of tenure, that must be sent to the Board of Trustees for final action.  Upon appeal, the President has the authority to sustain or reverse the Provost’s decision.  Any delegation of presidential authority in faculty appointments, reappointments, promotions, and the granting of tenure will be codified in Administrative Regulation 2:1 (Procedures for Faculty Appointment, Reappointment, Promotion and the Granting of Tenure).    The revision also modifies the language on the initial faculty appointments based on salary that are submitted to the Board of Trustees for final action.   Rather than identify a fixed dollar amount (currently $100,000) as the threshold for such reporting, the revised language establishes that a formula will be approved by the Board for the calculation of that threshold.

AR 10:5: This new Administrative Regulation establishes the policies and procedures by which the University will designate transactions for which electronic signatures are required and for maintaining appropriate security for those transactions.  The regulation also establishes procedures for authenticating those signatures.  Some of the internal transactions that will be converted to an electronic process include: DAV, Overloads, Travel Vouchers, Cash Transmittals, Faculty DOEs, and Staff JAQs and Performance Evaluations.  Additional procedures for electronic signature transactions are established in the Business Procedures Manual, Q-1-6, Electronic Signatures.  Questions related to implementing or using electronic signatures should be directed to Michael Carr at (859) 218-0306 or michael.carr@uky.edu.

AR 7:2: This Administrative Regulation is revised to achieve compliance with the U.S. Department of Health and Human Services’ latest regulations related to individual conflicts of interest in federally funded research (42 CFR Part 50 Subpart F).  The new federal regulations substantially modify the definitions, thresholds, and requirements for disclosing, reviewing, managing, and reporting financial relationships between research personnel and outside entities.  The regulations require investigators to annually complete a secure, online disclosure form, with supplemental disclosure required during the year as new significant financial interests arise as defined by the regulation and in accordance with Federal law.

AR 6:4: This Administrative Regulation is revised to update the list of  University facilities and locations where alcoholic beverages may be served or sold (with appropriate pre-approval) and to clarify that the regulation and approval procedures apply to University events held at a personal residences or other off-campus locations.

June 2012

GR PART II: This Governing Regulation is revised to include a reference to the Kentucky statute, KRS 164.131(1)(d), which establishes the authority, grounds, and process by which a Board of Trustee member can be removed. This reference is added in order to comply with accreditation standards of the Southern Association of Colleges and Schools (SACS).

AR 1:3: This Administrative Regulation is revised to bring it up to date with the current University administrative structure. The revisions include changing the titles of "Chancellor" to "Provost" and "Vice President for Research and Graduate Studies" to "Vice President for Research", as well as removing references to the prior Chancellor/Sector system that was in place prior to the current Provost model of administrative organization. No substantive changes are made at this time.

AR 1:5: This Administrative Regulation is revised to comply with SACS accreditation standards and Federal regulations, 34 CFR 602.22, which require the University to report certain types of changes to its programs and administration to SACS prior to their occurrence.

AR 3:12: This Administrative Regulation is revised to include a statement that the Committee serves as the University's Campus Environment Team (CET) as required by Kentucky Administrative Regulation, 13 KAR 2:060.

AR 3:15: This Administrative Regulation is revised to bring it up to date with the current University administrative structure. The revisions include removing references to the Community College System, which was once part of the University.

AR 6:6: This Administrative Regulation is revised to bring the University policy on deadly weapons into compliance with the Kentucky Supreme Court's recent opinion in the case of Mitchell v. University of Kentucky. In accordance with the Mitchell decision, deadly weapons are allowed on University property in the following circumstances:

• Possession of a deadly weapon by a person licensed to carry a concealed deadly weapon, if the firearm or other deadly weapon is contained in a motor vehicle (private or University-owned) and is not removed from the vehicle;

• Possession of a deadly weapon if it is located in a non University-owned motor vehicle and is kept in an enclosed container, compartment, or storage space installed as original equipment in the motor vehicle by its manufacturer, including but not limited to a glove compartment, center console, or seat pocket, regardless of whether said enclosed container, storage space, or compartment is locked, unlocked, or does not have a locking mechanism;

• Possession of a deadly weapon by persons who are specifically authorized by KRS 527.020 to carry concealed deadly weapons on or about their persons at all times and at all locations within the Commonwealth. Examples of such persons are: Commonwealth's attorneys, judges of the Court of Justice, conservations officers of the Department of Fish and Wildlife, elected sheriffs, and peace officers from other jurisdictions. A complete listing of persons authorized to carry concealed deadly weapons within the Commonwealth of Kentucky and the conditions for which the carrying of the deadly weapon is authorized is found in KRS 527.020.

AR 6:7: This Administrative Regulation is revised to update the name of the "Office of Emergency Management" to the new "Division of Crisis Management and Preparedness" in the University Police Department.

AR 8:6: This regulation is revised as part of the regular five-year regulation review cycle. The revisions consist of editorial and formatting changes and do not include any substantive changes.

AR 9:6: This regulation is revised as part of the regular five-year regulation review cycle. The revisions consist of editorial and formatting changes and do not include any substantive changes.

AR 9:7: This regulation is revised as part of the regular five-year regulation review cycle. The revisions consist of editorial and formatting changes and do not include any substantive changes.

AR 11:6: This Administrative Regulation is being eliminated. The Continuing Education Council is no longer an active committee.

March 2012

GR PART I: This regulation is revised to: 1) Update the sections on the University's Mission, Vision, and Values; 2) Strengthen the section regarding the University's expectation that University members comply with applicable Federal and State Laws, University regulations, contract, grant and donor stipulations, accreditation requirements, and general accepted accounting principles; and 3) add a new section entitled "Fiscal Responsibility" regarding the University's commitment to fiscal responsibility.

GR PART II: This regulation is revised to establish a University Athletics Committee within the committee structure of the Board of Trustees and define the Committee's responsibilities.

GR PART III: This regulation is revised to add athletics to the President's specific authority and responsibility. This revision is related to the recent change to Governing Regulation, Part II, which created the University Athletics Committee within the structure of the Board of Trustees. This regulation is also reorganized to increase readability.

GR PART IV: This regulation is revised to clarify that the Board of Trustees makes final approval of the termination of academic programs, upon recommendation of the University Senate.

AR 1:7: This new regulation establishes the University Ethics Committee as a permanent standing committee and describes the Committee's membership and responsibilities. The University Ethics Committee interprets and issues opinions on matters concerning the "Ethical Principles and Code of Conduct" adopted by the Board of Trustees and codified in Governing Regulation GR I.D

AR 2:7: This regulation is revised to reflect a change in the reporting structure of the Law Librarian faculty from the University Library to the Dean of the Law School and the Law Library. American Bar Association rules on accreditation require the Dean and the director of the Law Library to be responsible for the law library personnel

This Administrative Regulation is being eliminated. The responsibilities of the Committee on International Students have been incorporated into the responsibilities of a new, broader Committee, the International Advisory Council (IAC), which has several subcommittees including the subcommittee for International Student and Scholar Services.

AR 4:8: This regulation is revised to update the regulation to the University's current administrative organization and to clarify the Committee's membership and responsibilities.

 

Please familiarize yourself with these revised regulations. If you are a supervisor, please communicate this information to all of your staff, especially those without computer access. The complete administrative regulation library, including the list of recently revised regulations, may be found at UK Regulation and Policy Library. Questions about these or other regulations should be directed to the Office of Legal Counsel at (859) 257-2936, or emailed to LegalRegs@uky.edu.

 

The below are previous announcements of revisions to the Governing Regulations and Administrative Regulations:

May 2011

This revised Governing Regulation provides a process and requirements for members of the University community and the general public to address the Board on matters relevant to the University. Administrative Regulation 1:2, Policy Relative to Requests for Appearances Before the Board of Trustees, adopted by the Board of Trustees in 1970, is retired. Petitions to Address the Board of Trustees and more information can be found at: http://www.uky.edu/Trustees/petition.htm.

This new Administrative Regulation outlines the process by which the University develops, revises, approves, issues, and maintains official university regulations. Additionally, this regulation defines the roles and responsibilities of the participants in the regulations process and formally establishes the Regulation Review Committee.

This Administrative Regulation is revised to reflect the current University administrative organizational structure and new regulations format.

This regulation is revised to clarify the policies that apply to Registered Student Organizations. The regulation provides the procedures and requirements for registration by a student group, as well as the criteria for approval.

This regulation establishes the policies and procedures for international education travel approved or sponsored by the University, whether credit-bearing or non-credit-bearing.

This revised Administrative Regulation implements recent changes to the federal Jeanne Cleary Disclosure of Campus Security Policy and Campus Crime Statistics Act (Clery Act) and the state Michael Minger Act (Minger Act). The revisions define the responsibilities of the University Fire Marshall, and update the types of crimes which must be reported to University officials.

This Administrative Regulation establishes a campus-wide advisory committee that focuses and coordinates the University activities within the broad meaning of "sustainability". The revisions clarify the Committee's mission and responsibilities, as well as makes changes to the Committee membership.

This new Administrative Regulation establishes the University's policy prohibiting hazing activities by any member of the University community. In compliance with Kentucky law, the policy applies to the conduct of students, volunteers, organizations and groups, faculty and staff, and visitors and invitees to the campus. The regulation defines hazing and outlines the requirements for reporting hazing or suspected hazing activities.

This new Administrative Regulation establishes polices and best practices for employees who participate in social media on behalf of the University. This policy applies to all types of social media, including but not limited to: LinkedIn, Facebook, Twitter, YouTube, Flickr, Second Life, etc. The regulation provides the corrective and disciplinary actions for non-compliance with the policy.

June 2010

This regulation is revised to clarify the criteria, terms, and conditions for appointment in the Lecturer Series. The revision also implements 2-year and 3-year rolling contracts for Lecturers.

This regulation is revised to eliminate the old “Group I, II, and III” personnel language, which is no longer relevant to any current employees, and to clarify procedures for contributions for employees on leave. The revisions also reduce the AR to the “basic” tenets for the retirement plan by removing items that are now included in the official “plan documents” for each retirement plan and that are governed by the plan carriers and federal law.

This regulation is revised to clarify the rules, restrictions, and employee benefits (i.e. performance review, promotion, salary adjustment, and vacation and temporary disability leave) for faculty or staff employees on out-of-state assignments.

This regulation is revised to bring the regulation up to date with current University administrative organization, and to clarify the responsibilities of the Heidelberg Scholarship Committee.

This regulation is revised to bring the regulation up to date with current University administrative organization and to clarify the responsibilities of the Student Financial Aid Appeals and Advisory Committee. The Committee reviews appeals for students who have lost their financial aid due to failure to maintain satisfactory academic progress, student athletes whose athletic grants are not renewed or are reduced, and student athletes requesting an appeal of the Athletic Department’s decision to limit or not release the athlete to receive an athletic grant at another NCAA institution to which the student may wish to transfer.

This regulation is revised to clarify the definition of "Significant Financial Interest" according to the standards of the Association for the Accreditation of Human Research Protection Programs (AAHRPP).

This regulation is revised to restructure the Information Technology Advisory Committees into three standing committees: the Information Technology Coordinating Committee, Academic Computing Committee, and Enterprise Systems Committee. The restructured committees will facilitate the exchange of information regarding University-wide computing and data communication needs and interests in instruction, research, and administration.

November 2009

This regulation is revised to implement a five-year vesting schedule for the University retirement plan for individuals who begin their employment after December 31, 2009.

This regulation is revised to create a tobacco-free University of Kentucky campus.

September 2009

This Governing Regulation firmly establishes the principle of mandatory consultation by an educational unit administrator with the appropriate faculty members of his or her educational unit in faculty personnel matters. While leaving in place the bedrock principle of mandatory consultation, this revision redefines the subset of "appropriate faculty members" with whom the administrator must consult. The revision adopts the "best practice" in higher education circles, which dictates that mandatory consultation should exclude those unit faculty persons who hold academic rank at or below the academic rank of an individual being considered for appointment, reappointment, terminal reappointment, or promotion. The revised language of this section of GR VII permits a unit faculty to establish policies that extend the minimum consultation requirements (as proposed in this revision) to include the specified participation of other full-time faculty employees in any series in the department.

This new Administrative Regulation establishes institutional procedures for approving substantive change and ensuring timely notification to the Commission on Colleges (COC) of the Southern Association of Colleges and Schools (SACS). The University of Kentucky is accredited by the COC of the SACS. As a standard of accreditation, the University is required to notify the COC of substantive changes before they occur. Substantive change is defined by SACS as a significant modification or expansion in the nature and scope of an accredited institution. For more information about substantive change, please see: http://sacscoc.org/pdf/081705/Substantive%20change%20policy.pdf. The University's SACS Accreditation Liaison is the individual responsible for ensuring that this policy is implemented.

This new Administrative Regulation provides guidance and procedures for the disclosure and management, or elimination, of real or perceived institutional conflicts of interest that might compromise processes for the review or oversight of research. The University often enters into relationships with external business entities that help it carry out its mission. Due to financial interests of the University or its officials, such business relationships and commercial activities may create inherent conflicts of interest between the University and its external partners. The University has a responsibility to the residents of the Commonwealth and the public at-large to conduct its research activities, particularly research involving human subjects, with the utmost integrity. This administrative regulation applies to two different types of interests: interests held by University Officials that may appear to influence their institutional decisions, and interests held directly by the University itself that may also appear to influence institutional decisions.

This new Administrative Regulation establishes the University's identity theft prevention program in compliance with recent federal regulations (known as "Red Flag Rules"). The identity theft prevention program is designed to: (1) detect, prevent, and mitigate identity theft in connection with new or existing covered accounts; (2) help protect students, faculty, staff, other constituents, and the University from damages related to the fraudulent activity of identity theft; (3) provide for continued administration of the Program; and (4) promote compliance with state and federal laws and regulations regarding identity theft protection. The Executive Vice President for Finance and Administration is responsibile for program implementation and oversight.

This Administrative Regulation is eliminated. Its content is duplicative of provisions already found in the Code of Student Conduct that establish the Student Code Committee and govern the process for revising the Code. The Code of Student Conduct is approved by the Board of Trustees.

August 2009

This Governing Regulation is revised to require all educational units to develop statements describing the evidences of activity in instruction, research, and service that are appropriate to their field(s) for use in guiding evaluations for promotion and tenure. The current policy permits, but does not require, unit faculties to develop such statements. The revision also eliminates the required review of all promotion and/or tenure dossiers by the Dean of the Graduate School, but the Provost may seek the advice of the Dean of the Graduate School.

This Administrative Regulation is revised to provide for one comprehensive tenure review not later than the sixth-year of the probationary period of tenure-eligible faculty. In a comprehensive tenure review, a dossier is evaluated at all levels of the University (educational unit, college advisory committee and dean, academic area advisory committee, Provost, and President), irrespective of the judgment (favorable or not) rendered by the previous level of review. Explicit language has been added on the limited provision for a terminal-year (tenure) review at Section IV and on the terms of a tenure review conducted prior to the sixth year of the probationary period at Section V. Finally, based on a recommendation from the Senate Council, the Provost will establish an "opt-in" policy, whereby current probationary faculty, who have not been reviewed for tenure by June 30, 2009, may elect to be evaluated for the granting of tenure under the terms of the revised regulations. The revised policies and procedures are effective as of July 1, 2009 and will govern the conduct of faculty evaluation for all faculty employees who begin their appointments on or after July 1, 2009. A memo from the Provost on the "opt-in" provision for current probationary faculty shall be distributed to all faculty in the early fall. The AR is renumbered as AR 2:1-1.

This new Administrative Regulation establishes a common AR for all health science college practice plans and University Health Services to cover basic plan requirements. Currently, there are eight Administrative Regulations that pertain to faculty practice plans in the health science colleges and University Health Service. Moreover, the Colleges of Medicine and Public Health have practice plans authorized by board actions, but without an Administrative Regulation. The new regulation is intended to provide: 1) a common AR for all health science college practice plans and University Health Services to cover basic plan requirements; 2) updated and standardized terminology; 3) coordination with other related AR's, e.g., consulting and intellectual property; 4) greater oversight through an annual conflict of interest disclosure statement; 5) increased flexibility through use of College Addenda that are approved annually by the Provost and Executive Vice President for Health Affairs; and 6) clarification when activities might be covered under the University's program of self insurance.

This Administrative Regulation is updated to reflect the current University administrative organizational structure. It is renumbered as AR 1:1.

This Administrative Regulation is revised to clarify the conditions for appointment to the committee and to provide the President with additional flexibility in designating the ex offico members and the chair. It is renumbered as AR 11:4.

February 2009

This new Administrative Regulation confirms the University's commitment to maintaining an environment that is safe and free from sexual assault, stalking, and relationship violence against its students, faculty, staff, or visitors. The Regulation defines key terms, such as "prohibited conduct," "sexual assault," "stalking," "relationship violence," and "consent." It also provides specific information, including telephone numbers, for making a report or filing a formal complaint of sexual assault, stalking, or relationship violence. The Regulation establishes certain rights of the person(s) making the complaint and the accused person(s). If the accused person is a student, the University utilizes the processes outlined in the Code of Student Conduct. If the accused person is a faculty or staff employee, the University utilizes the processes outlined in Governing and Administrative Regulations, Human Resources Policies and Procedures, and other applicable University policy.

This new Administrative Regulation establishes criteria to assure that fees charged to students are reasonable and properly approved.

This regulation is revised to: (a) clarify the guidelines and procedures for naming University property; (b) reflect the current University administration; and (c) incorporate the charge and makeup of the Committee on Naming University Property from AR III-1.1-1, COMMITTEE ON NAMING UNIVERSITY BUILDINGS, which is eliminated. This regulation is renumbered as AR 9:5.

This Administrative Regulation is eliminated. The Committee charge and makeup are moved to new AR 9:5, P0LICY STATEMENT AND ADVISORY COMMITTEE ON NAMING UNIVERSITY PROPERTY (formerly AR II-1.6-1, POLICY STATEMENT ON NAMING UNIVERSITY BUILDINGS).

This Administrative Regulation is revised to ensure compliance with federal regulations and standards governing the use of vertebrate animals for research, instruction, and biological testing. The regulation is renumbered as AR 7:5.

The Commencement Committee advises the University in all matters related to the University's commencement exercises, including the planning and execution of the commencement ceremony. This Administrative Regulation is revised to reflect the current University administrative organization and regulations format. This regulation is renumbered as AR 4:4.

The Sullivan Awards Committee is responsible for selecting and recommending to the President the recipients of the Algernon Sydney Sullivan Awards. This Administrative Regulation is revised to reflect the current University administrative organization and regulations format. This regulation is renumbered as AR 11:1.

The University Computing Advisory Committees facilitate the exchange of information regarding University-wide computing and data communication needs and interests. The three standing advisory committees are in the areas of research, instruction, and administration. The committees provide advice and recommendations to the Provost, appropriate executive vice presidents, and the University Chief Information Officer (CIO) relative to broad, University-wide computing policies, procedures, and directions. The Administrative Regulation is revised to clarify the term "business owner" to mean the senior University administrator responsible for certain major University administrative computing systems. This regulation is renumbered as AR 10:2.

The Kentucky Water Resources Research Institute coordinates research among the Commonwealth of Kentucky's various colleges and universities in the broad area of water resources throughout the state. The Advisory Committee for the Kentucky Water Resources Institute makes recommendations and advises the Director of the Institute. This Administrative Regulation is revised to reflect the current University administrative organization and regulations format. This regulation is renumbered as AR 7:8.

The Advisory Committee for the Donovan Trust makes recommendations to the President regarding the use of investment income from the Herman Lee and Nell Stuart Donovan Memorial Endowment. This Administrative Regulation is revised to reflect the current University administrative organization and regulations format. This regulation is renumbered as AR 8:5.

These Administrative Regulations are eliminated. The Board is inactive.

November 2008

This regulation is revised at Section X.B.2(b) to require 12-month faculty to use vacation leave within the fiscal year in which it is earned or it is forfeited, and establishes that exceptions may be granted in accordance with Administrative Regulation II-1.1-7. The policy change is effective for fiscal year 2008-2009. Section X.B.1(c) is revised to clarify that in a delay of probationary period the extension years are not counted toward eligibility for sabbatical leave. The revision also establishes the procedure by which events leading to an automatic or requested delay of a probationary period are reviewed and approved. Section X.B.2(d)(i) is revised to clarify that non-tenured faculty are ineligible for sabbatical leave.

This regulation is revised to require 12-month faculty to use vacation leave within the fiscal year in which it is earned or it is forfeited. The revised regulation provides the criteria and process whereby the provost may grant an exception to the policy when extraordinary business-related circumstances prevent a faculty employee from using his or her vacation leave. Circumstances warranting a decision to permit a faculty employee to carry forward unused vacation leave must be related to work demands placed on the faculty member by his or her char, dean, or the institution. The policy change is effective for fiscal year 2008-2009; however, any unused vacation from 2007-2008 may be carried over to 2008-2009.

This regulation is eliminated. Relevant content has been merged into Administrative Regulation II-1.1-7, Faculty Assignment and Vacation Leave Policy.

This regulation is revised to: a) more clearly articulate standards of professional conduct expected by the University and which are consistent with the expectations of the accreditation and licensing boards across the health care professions; b) more clearly delineate the jurisdictional boundaries of the HCC Code and the UK Code of Student Conduct; c)create an appeals process for sanctions imposed under the HCC Code consistent with the UK Student Code of Conduct; and d) adopt a process for amendment of the HCC code consistent with the UK Student Code of Conduct. The revision makes explicit that the policies and procedures on academic offenses delineated in the Selected Rules of the University Senate (SR 6.0, Section VI, Student Academic Affairs) shall be followed when a health care college student is charged with an academic offense. Administrative Regulation II-7.0-6, Health Sciences Student Professional Behavioral Code, is renamed as the Health Care Colleges Code of Student Professional Conduct; and, consistent with the UK Student Code of Conduct, the HCC Code (PDF) is no longer categorized as an Administrative Regulation.

This Administrative Regulation is eliminated. Relevant content is now contained in Governing Regulation, Part XI, and University Senate Rules.

This Administrative Regulation is eliminated. The Committee is inactive.

This Administrative Regulation is eliminated. The Committee is inactive.

This Administrative Regulation is eliminated. The Council is inactive.

This Administrative Regulation is eliminated. Relevant content is now contained in Administrative Regulation II-4.0-4.

September 2008

This regulation is revised to reflect the University's organizational move to the Provost model. The new regulation has been reorganized to mirror the chronology of the faculty review processes. Additionally, the minimum number of evaluative letters that an educational unit administrator must obtain from external reviewers for including in promotion and tenure dossiers is increased from three to six letters. AR II-1.0-1, Pages I, II, and III, are combined and reorganized into a single regulation, and renamed as "AR II-1.0-1, PART I-III."

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

This regulation is updated to reflect the University's organizational move to the Provost model. No substantive changes have been made in this revision. The various pages of AR II-1.0-1 have been reorganized into individual regulations and renamed.

AR II-1.0-1, PAGE IV, SELECTED POLICIES AND PROCEDURES AFFECTING ACADEMIC EMPLOYMENT This page is eliminated. Most of the material in this section is duplicative of the policies and procedures contained in GR X. Other pertinent content related to "Graduate Academic Staff" has been moved to AR II-1.0-7, Policies Relative to Teaching and Research Assistants.

This regulation is revised to modify the required review of dossiers by an academic area advisor committee, making optional the submission of a written evaluation by the area committee for dossiers that have near unanimous support from all lower-level administrators, college advisory committees, and deans. This regulation is also updated to reflect the University's organizational move to the Provost model and to update the list of academic area advisory committees.

The policy on "Graduate Academic Staff" from AR II-1.0-1 Page IV has been incorporated into AR II-1.0-7.

July 2008

This section of GR II is revised to define the voting membership of the Investment Committee of the Board of Trustees and to provide for the appointment of non-voting community advisory members to the Committee.

The regulation is revised to grant the Staff Senate authority to create procedures that provide an exception to the one year of continuous employment requirement for senator elections for groups of new employees obtained through rare and unusual circumstances.

This section of GR I is revised to delegate authority to the President to promulgate an Administrative Regulation regarding the use of tobacco products on property under the University's jurisdiction. This section of GR I is renamed "Tobacco Policy."

This regulation is revised to clarify the policies and procedures for the terms of appointment and employment of postdoctoral scholars and fellows and for the accommodation of visiting scholars.

The regulation is updated to clarify current University policy and procedure relative to use of University information technology resources.

The regulation is revised to clarify the organizational responsibilities for data and systems administration and to establish policies and procedures for technology acquisitions.

The regulation is revised to establish the Integrated Resources Information Systems Administrative Computing Systems Coordinating Committee (IRIS ACSCC) as the advisory committee for administrative data.

This Administrative Regulation is eliminated. Relevant content is merged into AR II-1.7-3 and AR III-2.0-1.

The regulation is revised to clarify the organizational responsibilities for the University's health, safety and environmental protection programs.

The regulation, formerly the "Smoke Free Policy," is revised to establish a tobacco-free medical center campus, beginning November 20, 2008.

This new regulation formally establishes the Sustainability Advisory Committee. The Committee will develop policy and initiatives that will be incorporated into the university community in a way that positions UK to become a model sustainable campus.

This regulation is revised to reflect the University's new regulation format. There are no substantive changes.

This Administrative Regulation is eliminated.

February 2008

Because the University is moving to online enrollment for employee benefits in 2008, this regulation is revised to accommodate online enrollment by establishing Fidelity and TIAA-CREF as the University's only retirement plan administrators, with American Century funds being available through Fidelity's administrative platform. The regulation is also revised to allow the President greater flexibility to determine the executive positions eligible to receive a 15 percent retirement contribution from the University.

This regulation is revised to: (a) Add human subject research to the regulation to conform to the standards of the Association for the Accreditation of Human Research Protection Programs (AAHRPP); (b)Clarify the requirements and procedures for disclosing potential conflicts and the procedure by which the university reviews such disclosures; and, (c) Allow the Senate Council to make nominations to the president for appointment to the Research Conflict of Interest Committee. The name of the regulation is changed to "Research Conflict of Interest and Financial Disclosure Policy" to clarify that it relates specifically to research.

November 2007

This regulation is revised to include a non-voting, ex officio member from the Board of Trustees, designated by the Board Chair, as a member of the University Joint Committee on Honorary Degrees.

This regulation is revised to: (a) eliminate tenure as a requirement for faculty eligibility; (b) allow more flexibility for the university and the employees regarding the start date for the phased retirement period; (c) clarify that promotion is not available during the phased retirement period; and (d) clarify that the definition of "part-time" means .5 FTE and above for purposes of phased retirement.

This regulation establishes the criteria and procedures whereby the Board of Trustees may approve a specific instance of an employee having an interest in a contract between the university and the employee or a private business owned by the employee. Statutory authority for this regulation is found in KRS 164.367.

This regulation establishes the university's criteria and procedures whereby charitable organizations may be approved by the President to conduct on-campus solicitations of contributions from faculty and staff through the use of university mail service or email systems, or through access to the university's payroll deduction system.

This regulation prohibits solicitations for subscriptions, sales of merchandise of any kind whatsoever, publications, or services upon university property other than by the regularly authorized stores, food service places, departments, or divisions of the university, except upon written permission of the Dean of Students.

The regulation is revised to expand the scope of the committee's oversight to allow for governance of more than one Hospital and oversight of the entire clinical operations of the university. The revision is necessary now that the university, with the acquisition of Good Samaritan Hospital, operates more than one hospital. The name of the Committee is changed to the "University Health Care Committee" to reflect its expanded scope.

This revision implements an automatic one-year extension of the probationary period for regular, special, extension, and librarian title series faculty who become the parent of a child or children by birth adoption, or guardianship, or who assume significant responsibilities for the care of a relative or domestic partner. The regulation provides the criteria and procedures for initiating the automatic delay of the probationary period, as well as procedures whereby the faculty member may waive the delay.

Beginning with 2007-2008 fiscal year, the optional life insurance offered by the university to its employees changed from 1, 2, or 3 times salary to up to 5 times salary. The regulation is revised to reflect the new life insurance benefit and to make the regulation less specific, so that the regulation does not require revision each time the insurance contract is changed.

August 2007

This regulation is eliminated. At its April 14, 2007, meeting, the UK Board of Trustees approved a wide-ranging work-life strategy, which included expanding the Employee Educational Program to certain family members. Policy and procedures for the new Employee and Family Education Program are established in Human Resources Policy and Procedure 51, effective July 2007.

This regulation establishes the University's program for animal use and care in research. The regulation is revised to incorporate the provisions of AR III-4.0-5, Institutional Animal Use and Care Committee (IACUC), and to clarify the role of the Institutional Official responsible for the animal care and use program.

This regulation is eliminated. Its content is moved to AR II-4.0-3, Animal Care and Use Policy and Committee. (See AR II-4.0-3, above.)

The Committee on International Students provides advice and assistance to the Provost and the Office of International Affairs in efforts to integrate international students into the campus and larger community. This regulation is revised to update the regulation's structure, terminology, and University administrative organization. The requirement for an annual report is removed, and reports are now at the request of the Provost.

This regulation defines the responsibilities of the Committee on Safety and Environmental Health and outlines requirements for mandated sub-committees such as the Institutional Biosafety Committee (NIH), Radiation Safety Committee (KCHFS), and Chemical Safety Committee (OSHA). The Committee's responsibilities are expanded to assume the duties of the Campus Safety Committee (AR III-8.2-2), and the name of the Committee is changed accordingly. The requirement for an annual report is removed and reports are now at the request of the Executive Vice President for Finance and Administration.

This regulation is eliminated. The duties and responsibilities of this committee are assumed by the Committee on Safety and Environmental Health. (See AR III-1.1-5, above.)

This regulation implements the Jeanne Clery and the Michael Minger Acts, which require disclosure of certain information to the public regarding campus crime. The regulation is revised to shift primary responsibility for compliance with the Acts from the University Police Department to the Office of Emergency Management to reflect current organization structure. The revision defines more clearly those persons who are considered "campus security authorities."

July 2007

This regulation is revised to clarify the procedure, criteria, and conditions for appointment and promotion of faculty in the clinical title series.

This regulation prohibits the possession of deadly weapons on university property, defines deadly weapon, provides for exceptions, and provides disciplinary actions for violations. The revision consists of updating the definition of deadly weapons to conform to state law.

This regulation is revised to extend the university's phased retirement program to staff employees. The regulation establishes the procedures, criteria, and conditions for staff employees to be approved for phased retirement.

This regulation is revised to add a provision authorizing an excess retirement plan to be established. The plan is intended to aid in recruiting and retaining certain employees by allowing the university to offer incentive agreements to specific individuals.

This regulation is revised to clarify the grievance procedure applicable to house officers who appeal decisions that are adverse to their status at the university.

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