Doc. T05-024, Passed by the Board of Trustees on February 16, 2005, Mission Statement, The University’s mission is to provide an affordable and accessible education of high quality and to conduct programs of research and public service that advance knowledge and improve the lives of the people of the Commonwealth, the nation, and the world., Position Statement, The path to the social and economic development of Massachusetts and its diverse regions goes through the University of Massachusetts., Strategic Priorities of the University of Massachusetts, Maintain and improve affordability and access Enhance the student learning experience Strengthen the University’s research and development enterprise Continue a focus on diversity and positive climate Renew the faculty Increase the endowment Develop first-rate infrastructure Develop a leadership role in public service Improve the delivery of administrative and IT services Position the…
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Doc. T06-061, as amended, Passed by the Board of Trustees on November 8, 2006 Latest revision: December 10, 2020, Mission and Purpose, University Internal Audit (Internal Audit) office provides independent, objective assurance and consulting services designed to add value and improve the University’s operations. Internal Audit helps the University accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of control, risk management, and governance processes. Internal Audit…, Independence, Internal Audit reports functionally to the Audit Committee of the Board of Trustees and administratively to the University President. Internal Audit shall have free and unrestricted access to Senior Management and the members of the Audit Committee. To maintain its independence and auditor objectivity, Internal Audit shall have no direct operational responsibility or authority over any activities…, Authority, Authority is granted to Internal Audit to have full, free and unrestricted access to any and all of the University’s records, physical properties and personnel as necessary to fulfill its mission and purpose. Information obtained will be maintained with appropriate confidentiality. The scope of audit coverage is University-wide with no function, activity, or unit of the University being exempt.…, Responsibility, The scope of Internal Audit’s responsibilities encompasses the examination and evaluation of risk exposures and the adequacy and effectiveness of the University’s controls, governance, operations, risk management and information systems, including the performance of the following: Developing a risk based audit plan consistent with University goals, with the flexibility to respond to unplanned…, General Protocol, Audit Liaison, The Senior Vice President and Vice Chancellors for Administration and Finance will appoint an Audit Liaison to function as the principal contact for all President’s Office and campus audit matters. The Audit Liaison will work with Internal Audit to ensure proper coordination and monitoring of all audit matters. It is the Audit Liaison’s responsibility to timely notify Internal Audit whenever…, Internal Audits, A written notification statement will be sent to appropriate persons prior to the start of an internal audit. Certain audits may be carried out without prior notice at the discretion of the Director or Audit Committee where the element of surprise is necessary or in the best interests of the University. An entrance conference outlining the objective, scope, timing, resource allocation and audit…, Confidentiality, All University audit records, both internal and external, including paper and electronic reports, supporting workpapers, notes and all other partial or whole documents will be considered confidential. Reports or other audit related documents will not be publicly disclosed except as directed by law or other regulation, the Director, University General Counsel or University President., Doc. T06-061, as amended | Internal Audit Charter, Passed by the Board of Trustees on November 8, 2006 Revised: February 24, 2010 December 14, 2011 December 12, 2012 December 11, 2013 December 10, 2014 December 9, 2015 December 9, 2016 December 8, 2017 December 13, 2018 December 18, 2019 December 10, 2020
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Doc. T07-018, as amended, Passed by the Board of Trustees on March 14, 2007 Latest revision: December 11, 2013, Purpose, To ensure that the proper approval is in place for the establishment of any new quasi-endowments, and for any additions or withdrawals from existing quasi-endowments., I. Introduction, The University has made a commitment to grow its endowment funds. The University and campuses collectively shall seek this growth through a combination of contributions to both the true and quasi-endowment funds. Annually, each campus shall be required to grow their endowment funds through a combination of donor contributions and unencumbered unrestricted operational fund transfers as quasi-…, II. Policy Statement, All such funds shall be allocated to this purpose at the beginning of each fiscal year and reported annually in the University’s annual audited financial statements. Such funds shall be transferred to the Foundation and the normal spending rules and accumulation of earnings and appreciation will apply. All funds will be designated to the campus from which they were contributed. The principal of…, III. Standards, The President, in consultation with the Vice President(s) and Chancellors, will issue administrative standards to implement this policy. Campuses may establish campus policies (and guidelines) within the scope of this policy (and standards). Campus policies (and guidelines) may be more, but not less, restrictive than the standards. , Doc. T07-018, as amended | Quasi-Endowment Policy, Passed by the Board of Trustees on March 14, 2007 Revised: June 10, 2009 December 11, 2013
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Doc. T07-024, Passed by the Board of Trustees on March 14, 2007 The President of the University shall see to the development and implementation of guidelines governing a comprehensive constituent relationship management system (CRM) for University alumni, parents and friends, which he may amend from time to time as appropriate or as required by law. If any University policy conflicts with federal or state…
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Doc. T08-010, Passed by the Board of Trustees on June 12, 2008 Adherence to the highest ethical and moral standards in the conduct of research and scholarly activity is the expectation for all members of the University of Massachusetts community. Each campus shall establish and submit to the President's office for approval procedures to promote research integrity through the responsible conduct of research as…, These campus procedures must provide for:, Protection of the confidentiality of respondents, complainants, and research subjects identifiable from research records or evidence, consistent with applicable state and Federal law and regulations. A thorough, competent, objective, and fair response to allegations of research misconduct consistent with, and within the time limits of the applicable Federal rules, including precautions to ensure…
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I. Introduction, A. General Policy, Adherence to the highest ethical and moral standards in the conduct of research and scholarly activity is the basic expectation of all members of the University of Massachusetts Medical School scientific community. Violation of this trust will not be tolerated since it threatens the very credibility of the scholarly process. This document describes procedures for dealing with allegations of…, B. Scope, Although this policy is based on requirements of PHS regulations codified at 42 C.F.R. Part 93, it is meant to apply to all research and scholarly activity carried out at the University of Massachusetts Medical School. This policy and the associated procedures apply to all individuals at the University of Massachusetts Medical School engaged in research that is supported by or for which support…, II. Definitions, Allegation means any written or oral statement or other indication of possible research misconduct made to an institutional official. Conflict of interest means the real or apparent interference of one person's interests with the interests of another person, where potential bias may occur due to prior or existing personal or professional relationships. Deciding Official means the institutional…, III. Rights and Responsibilities, A. Research Integrity Officer, The Vice Chancellor for Research or his/her designee will serve as the Research Integrity Officer who will have primary responsibility for implementation of the procedures set forth in this document. The Research Integrity Officer will be an institutional official who is well qualified to handle the procedural requirements involved and is sensitive to the varied demands made on those who conduct…, B. Whistleblower, The Whistleblower will have an opportunity to testify before the inquiry and investigation committees, to review, consistent with applicable privacy laws, portions of the inquiry and investigation reports pertinent to his/her allegations or testimony, to be informed of the results of the inquiry and investigation, and to be protected from retaliation. Also, if the Research Integrity Officer has…, C. Respondent, The respondent will be informed of the allegations when an inquiry is opened and notified in writing of the final determinations and resulting actions. The respondent will also have the opportunity to be interviewed by and present evidence to the inquiry and investigation committees, to review the draft inquiry and investigation reports, and to have the advice of counsel. The respondent is…, D. Deciding Official, The Deciding Official (the Chancellor or his/her designee) will receive the inquiry and/or investigation report and any written comments made by the respondent or the whistleblower on the draft report. The Deciding Official will consult with the Research Integrity Officer or other appropriate officials and will determine whether to conduct an investigation, whether misconduct occurred, whether to…, IV. General Policies and Principles, A. Responsibility to Report Misconduct, All employees or individuals associated with the University of Massachusetts Medical School should report observed, suspected, or apparent research misconduct to the Research Integrity Officer or their Departmental Chair who will report the alleged misconduct to the Research Integrity Officer. If an individual is unsure whether a suspected incident falls within the definition of research…, B. Protecting the Whistleblower, The Research Integrity Officer will monitor the treatment of individuals who bring allegations of misconduct or of inadequate institutional response thereto, and those who cooperate in inquiries or investigations. The Research Integrity Officer will ensure that these persons will not be retaliated against in the terms and conditions of their employment or other status at the institution and will…, C. Protecting the Respondent, Inquiries and investigations will be conducted in a manner that will ensure fair treatment to the respondent(s) in the inquiry or investigation and confidentiality to the extent possible without compromising public health and safety or thoroughly carrying out the inquiry or investigation. Institutional employees accused of research misconduct may consult with legal counsel or a non-lawyer…, D. Cooperation, with Inquiries and Investigations Institutional employees will cooperate with the Research Integrity Officer and other institutional officials in the review of allegations and the conduct of inquiries and investigations. Employees have an obligation to provide relevant evidence to the Research Integrity Officer or other institutional officials on misconduct allegations., E. Preliminary Assessment of Allegations, Upon receiving an allegation of research misconduct, the Research Integrity Officer will immediately assess the allegation to determine whether there is sufficient evidence to warrant an inquiry, whether PHS support or PHS applications for funding are involved, and whether the allegation falls under the PHS or other applicable definition of research misconduct., F. Time Limits, Every reasonable effort shall be made to meet all time limits set forth in this policy. However, all time limits may be extended at the discretion of the Research Integrity Officer, the Deciding Officer, or their designee and with the consent, if required, of any applicable funding agency., V. Conducting the Inquiry, A. Initiation and Purpose of the Inquiry, Following the preliminary assessment, if the Research Integrity Officer determines that the allegation provides sufficient information to allow specific follow-up, he or she will immediately initiate the inquiry process. In initiating the inquiry, the Research Integrity Officer should identify clearly the original allegation and any related issues that should be evaluated. The purpose of the…, B. Appointment of the Inquiry Committee, The Research Integrity Officer, in consultation with other institutional officials as appropriate, will appoint an inquiry committee and committee chair within 10 working days of the initiation of the inquiry. The inquiry committee should consist of individuals who do not have real or apparent conflicts of interest in the case, are unbiased, and have the necessary expertise to evaluate the…, C. Charge to the Committee and the First Meeting, The Research Integrity Officer will prepare a charge for the inquiry committee that describes the allegations and any related issues identified during the allegation assessment and states that the purpose of the inquiry is to make a preliminary evaluation of the evidence and testimony of the respondent, whistleblower, and key witnesses to determine whether there is sufficient evidence of possible…, D. Inquiry Process, The inquiry committee will normally interview the whistleblower, the respondent, and key witnesses as well as examining relevant research records and materials. Then the inquiry committee will evaluate the evidence and testimony obtained during the inquiry. After consultation with the Research Integrity Officer, the committee members will decide whether there is sufficient evidence of possible…, VI. The Inquiry Report, A. Elements of the Inquiry Report, A written inquiry report must be prepared that states the name and title of the committee members and experts, if any; the allegations; the sponsor supporting the research; a summary of the inquiry process used; a list of the research records reviewed; summaries of any interviews; a description of the evidence in sufficient detail to demonstrate whether an investigation is warranted or not; and…, B. Comments on the Draft Report by the Respondent and the Whistleblower, The Research Integrity Officer will provide the respondent with a copy of the draft inquiry report for comment and rebuttal and will provide the whistleblower, if he or she is identifiable, with portions of the draft inquiry report that address the whistleblower's role and opinions in the investigation. Confidentiality The Research Integrity Officer may establish reasonable conditions for review…, C. Inquiry Decision and Notification, Decision by Deciding Official The Research Integrity Officer will transmit the final report and any comments to the Deciding Official, who will make the determination of whether findings from the inquiry provide sufficient evidence of possible research misconduct to justify conducting an investigation. The inquiry is completed when the Deciding Official makes this determination, which will be…, D. Time Limit for Completing the Inquiry Report, The inquiry committee will normally complete the inquiry and submit its report in writing to the Research Integrity Officer no more than 60 calendar days following its first meeting, unless the Research Integrity Officer approves an extension for good cause. If the Research Integrity Officer approves an extension, the reason for the extension will be entered into the records of the case and the…, VII. Conducting the Investigation, A. Purpose of the Investigation, The purpose of the investigation is to explore in detail the allegations, to examine the evidence in depth, and to determine specifically whether misconduct has been committed, by whom, and to what extent. The investigation will also determine whether there are additional instances of possible misconduct that would justify broadening the scope beyond the initial allegations. This is particularly…, B. Sequestration of the Research Records, The Research Integrity Officer will immediately sequester any additional pertinent research records that were not previously sequestered during the inquiry. This sequestration should occur before or at the time the respondent is notified that an investigation has begun. The need for additional sequestration of records may occur for any number of reasons, including the institution's decision to…, C. Appointment of the Investigation Committee, The Research Integrity Officer, in consultation with other institutional officials as appropriate, will appoint an investigation committee and the committee chair within 10 working days of the notification to the respondent that an investigation is planned or as soon thereafter as practicable. The investigation committee should consist of at least three individuals who do not have real or…, D. Charge to the Committee and the First Meeting, Charge to the Committee The Research Integrity Officer will define the subject matter of the investigation in a written charge to the committee that describes the allegations and related issues identified during the inquiry, defines research misconduct, and identifies the name of the respondent. The charge will state that the committee is to evaluate the evidence and testimony of the respondent,…, E. Investigation Process, The investigation committee will be appointed and the process initiated within 30 calendar days of the completion of the inquiry, if findings from that inquiry provide a sufficient basis for conducting an investigation. The investigation will normally involve examination of all documentation including, but not necessarily limited to, relevant research records, computer files, proposals,…, VIII. The Investigation Report, A. Elements of the Investigation Report, The final report must be submitted to ORI when PHS funding or applications for funding are involved and must describe the policies and procedures under which the investigation was conducted, describe how and from whom information relevant to the investigation was obtained, state the findings, and explain the basis for the findings. The report will include the actual text or an accurate summary of…, B. Comments on the Draft Report, Respondent The Research Integrity Officer will provide the respondent with a copy of the draft investigation report for comment and rebuttal. The respondent will be allowed 10 working days to review and comment on the draft report. The respondent's comments will be attached to the final report. The findings of the final report should take into account the respondent's comments in addition to all…, C. Institutional Review and Decision, Based on the preponderance of the evidence, the Deciding Official will make the final determination whether to accept the investigation report, its findings, and the recommended institutional actions. If this determination varies from that of the investigation committee, the Deciding Official will explain in detail the basis for rendering a decision different from that of the investigation…, D. Transmittal of the Final Investigation Report to the Deciding Official, After comments have been received and the necessary changes have been made to the draft report, the investigation committee should transmit the final report with attachments, including the respondent's and whistleblower's comments, to the Deciding Official, through the Research Integrity Officer., E. Time Limit for Completing the Investigation Report, An investigation should ordinarily be completed within 120 days of its initiation, with the initiation being defined as the first meeting of the investigation committee. This includes conducting the investigation, preparing the report of findings, making the draft report available to the subject of the investigation for comment, submitting the report to the Deciding Official for approval, and…, IX. Requirements for Reporting to ORI when PHS Funding is Involved, An institution's decision to initiate an investigation involving PHS funding must be reported in writing to the Director, ORI, on or before the date the investigation begins. At a minimum, the notification should include the name of the person(s) against whom the allegations have been made, the general nature of the allegation as it relates to the PHS definition of research misconduct, and the…, X. Institutional Administrative Actions, The University of Massachusetts Medical School will take appropriate administrative actions against the individuals when an allegation of misconduct has been substantiated. If the Deciding Official determines that the alleged misconduct or other inappropriate behavior is substantiated by the findings, he or she will decide on the appropriate actions to be taken, after consultation with the…, XI. Other Considerations, A. Termination of Institutional Employment or Resignation Prior to Completing Inquiry or Investigation, The termination of the respondent's institutional employment, by resignation or otherwise, before or after an allegation of possible research misconduct has been reported, will not preclude or terminate the misconduct procedures. If the respondent, without admitting to the misconduct, elects to resign his or her position prior to the initiation of an inquiry, but after an allegation has been…, B. Restoration of the Respondent's Reputation, If the institution finds no misconduct and, if ORI concurs in those cases where PHS funding or applications for funding are involved, after consulting with the respondent, the Research Integrity Officer will undertake reasonable efforts to restore the respondent's reputation. Depending on the particular circumstances, the Research Integrity Officer should consider notifying those individuals…, C. Protection of the Whistleblower and Others, Regardless of whether the institution or ORI determines that research misconduct occurred, the Research Integrity Officer will undertake reasonable efforts to protect whistleblowers who made allegations of research misconduct in good faith and others who cooperate in good faith with inquiries and investigations of such allegations. Upon completion of an investigation, the Deciding Official will…, D. Allegations Not Made in Good Faith, If relevant, the Deciding Official will determine whether the whistleblower's allegations of research misconduct were made in good faith. If an allegation was not made in good faith, the Deciding Official will determine what administrative action should be taken against the whistleblower. Individuals found to have not made allegations in good faith may be subject to serious disciplinary actions,…, E. Interim Administrative Actions, Institutional officials will take interim administrative actions, as appropriate, to protect Federal funds and equipment, ensure that the purposes of the Federal financial assistance are carried out., XII. Record Retention, After completion of a case and all ensuing related actions, the Research Integrity Officer will prepare a complete file, including the records of any inquiry or investigation and copies of all documents and other materials furnished to the Research Integrity Officer or committees. The Research Integrity Officer will keep the file for three years after completion of the case to permit later…, XIII. Cooperation with Authorities, All persons paid by, under the control of, or affiliated with the University of Massachusetts Medical School scientific community are expected to give their full and continuing cooperation with Federal authorities during any investigatory reviews or any subsequent hearings or appeals under which the respondent(s) may contest Federal agency findings of research misconduct and proposed…
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Doc. T08-028, Passed by the Board of Trustees on March 19, 2008 The University of Massachusetts will adhere to the highest ethical principles in its relationships with vendors and the procurement of any goods and services. These principles will assure that all goods and services are of the highest quality and value for the best competitive price possible. All such goods and services shall be procured in such a…
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Doc. T08-029, Passed by the Board of Trustees on March 19, 2008, Policy Statement, UMass Medical School (UMMS) promotes a smoke and tobacco free environment across our campuses in order to model and encourage healthy behaviors which are consistent with the UMMS mission and purpose; an institution dedicated to the education and training of health care professionals. Accordingly, everyone is prohibited from smoking or using tobacco products in any UMMS vehicle, building, facility…, Reason for Policy, The problem of secondhand smoke in the workplace is well documented. It has been determined by the U.S. Surgeon General that there is no risk-free level of exposure to second hand smoke and therefore secondhand smoke is hazardous to the health of employees and visitors. Providing smoking-allowed areas is inconsistent with the mission of UMMS. This policy is designed to align our policies and…, Entities Affected By This Policy, Including, but not limited to all employees, faculty, students, volunteers, vendors, and contractors of the university, any visitors to the university and any vehicle, building, facility, site, garage, grounds, and adjacent grounds owned, leased or controlled by the university., Related Documents, General Laws of Massachusetts Chapter 270: Section 22. Smoking in public places. U.S. Surgeon report, The Health Consequences of Involuntary Exposure to Tobacco Smoke, 2006. Orientation Policy, HR 06.03.04 Corrective Action Policy, HR 06.06.02, Scope, The smoking, use, dispensing or sale of any tobacco product is prohibited within any vehicle, building, facility, site, grounds, and garage owned, leased or controlled by UMMS., Responsibilities, All Employees, – Employees are responsible for executing safe practices including: Learning and adhering to the Tobacco Free Environment/No Smoking Policy, and any other UMMS-specific policies and procedures associated with this policy. Reporting any violations of the Tobacco Free Environment/No Smoking Policy to their supervisor. Reporting any unsafe conditions related to Tobacco Free Environment/No Smoking…, All Students –, Students shall comply with this policy and report any violations of this policy to the Associate Dean for Student Affairs. Students desiring to stop smoking shall be responsible for reviewing tobacco cessation benefits available through their health insurance provider., Managers and Supervisors –, Managers and supervisors are responsible for safe practices of employees including: Ensuring staff receive appropriate orientation to the Tobacco Free Environment/No Smoking Policy, including job-specific and area procedures meant to comply with the policy. Monitoring compliance with this policy and procedures. Communicating safety issues and concerns to Facilities as necessary in regards to the…, Public Safety –, Public Safety staff who observes any individual violating this policy will notify/remind the individual of this policy., Employee Assistance Program –, EAP shall provide tobacco cessation consultation and referral to employees, faculty, students, and volunteers. EAP shall be a resource for on-going support, education, and training of employees, and a referral resource for managers responsible for overseeing employee compliance. EAP shall provide individual or group counseling for nicotine addiction at no cost to the employee, and shall provide…, Human Resources –, Human Resources shall inform employees of this policy and shall make this policy available on the HR intranet site. A copy shall be included in the student handbook. A discussion of this policy shall take place at all new employee orientations. HR shall provide benefits information and assist managers/supervisors with corrective action procedures when notified of a violation., Facilities –, Facilities shall obtain, install and maintain signage necessary to inform employees, faculty, students, volunteers, visitors and contractors of the existence of this policy. Signage shall be posted at the entrances of buildings and garages owned, leased or controlled by UMMS., Definitions, Smoke Free Environment, – The prohibition of smoking or use of tobacco products in the buildings, facilities, sites, garages and adjacent grounds owned, leased, or controlled by UMMS., Tobacco Products –, Cigarettes, cigars, pipe tobacco, chewing tobacco, snuff, including but not limited to tobacco in other forms, such as shredded, compressed, plugs, and flakes., Violation –, as defined by the intentional or unintentional failure to conform to the directives of the policy. It is a violation of this policy if any employee, student, staff person, physician, faculty, vendor or any visitor in a UMMS vehicle, building, facility, site, garage, and adjacent grounds owned, leased, or controlled by UMMS to use, sell or dispenses any tobacco product., UMMS Property –, All buildings, facilities, sites, garages and adjacent grounds owned, leased, or controlled by UMMS, as indicated on the UMMS website.
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Doc. T08-039, Passed by the Board of Trustees on March 19, 2008 Latest revision: June 12, 2008 To approve graduate tuition waivers for Massachusetts-resident veterans.
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Doc. T08-059, Passed by the Board of Trustees on June 12, 2008 The University shall award an annual mandatory fee waiver of up to $2,000 to all degree-seeking Massachusetts resident undergraduate and graduate student veterans who have received a bonus from the Commonwealth pursuant to Subsection (1) of Section 16 of Chapter 130 of the Acts of 2005. Said waivers are granted for a maximum of eight semesters, or…
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