Administrative Guide – New or Recently Updated

To Access These Policies Click on Compliance 360, then search the policy number or name.


To search for policies within the Administrative Guide.

  • Open the new Policies Home Page
  • Click on the Administrative Guide link
  • Do a keyword search by policy number or keyword
  • Anyone with UAMS access (i.e. at their workstations, VPN’s from home) has access to view policies moved onto Compliance 360.



Policy Number Policy Name/Link Synopsis of Changes
January 2016
2.1.32 IT Security Incident Identification & Handling Policy Definition of IT Security Incident was broadened to include log on credentials that are compromised due to phishing scams or sharing passwords and attacks by cyber hackers.  Section A(3) was revised to expand Level I incidents to include possible loss of user log on credentials and the notification procedures applicable to such incidents. The policy includes references to mobile devices. The examples of such devices were revised to include mobile devices commonly used by current UAMS workforce members, staff and faculty. Section C regarding Sanctions was revised to reference the new HIPAA Sanctions Policy.


2.1.43 Phishing and Fraud NEW POLICY:  Audit results
Human Resources  
4.4.21 Dress Code/Appearance NEW POLICY:  New institutional policy to coincide with new Clinical Program dress code.


8.7.05 Debt Management Policy


NEW POLICY:  Audit results


Institutional Compliance  
15.1.06 Export Control Management and Compliance Policy NEW POLICY:  To implement the Export Control program.


February 2016
1.1.01 Campus Policy Development Process


Edits to reflect new review process.


2.1.27 Confidential Shred Bin Policy This policy was revised because of some issues that had occurred on campus with PHI being disposed of in the wrong shred bins. This policy has now been updated, as well as the policy number to reflect the policy numbers in Compliance 360. On page 2, Procedure 1. C. is the revised edition.


4.5.16 Employee Separation


Edited to reflect the new online process, and edits in response to the FY2015 External Audit Findings (PwC).


4.6.14 Break Time for Nursing Mothers New Policy: President Obama signed the Patient Protection and Affordable Care Act, H.R. 3590, on March 23rd and the Reconciliation Act of 2010, H.R. 4872, on March 30, 2010. Among many provisions, the law amends the Fair Labor Standards Act of 1938 (29 U.S. Code 207) to require an employer to provide reasonable break time for an employee to express breast milk for her nursing child for one year after the child’s birth each time such employee has the need to express milk.
8.7.06 Campus Bond Oversight Group New Policy: The charge of the group is to review compliance of bond documentation and actions in relation to the University of Arkansas Post-Issuance Compliance Policy for bonded debt.  This group may also aid in decision making pertaining to refinancing and issuance of new bonded debt if needed.


8.7.07 UAMS Charitable Match Policy New Policy:   The UAMS Charitable Match is being established to encourage a culture of philanthropy and allow employees of UAMS the opportunity to maximize the charitable impact of their gifts to UAMS. A previous match program existed in the College of Medicine, which expires 6/30/2016, and it successfully provided the incentive for gifts from faculty to establish endowed chairs and professorships and to otherwise enhance education, research and clinical programs throughout UAMS. Within a relatively short period of time, new endowments and gifts significantly raised the amount of funds available to UAMS, in perpetuity. For these reasons, the establishment of a matching program for all UAMS employees is considered an important component in planning for the future of UAMS. The UAMS Match will be effective July 1, 2016.

The Policy does not obligate or legally bind UAMS to match gifts. Instead, the Policy sets forth the criteria for a match-eligible gift when and if the match is available and approved for funding. The components of and criteria for the UAMS Match program are subject to change, including temporary suspension or complete termination, at any time at the direction of the UAMS Chancellor in consultation with the UAMS Vice Chancellor for Finance & CFO and the Vice Chancellor for Institutional Advancement.


8.1.10 Balance Sheet Account Reconciliation Revision made to existing policy at the request of Pricewaterhouse Coopers, our current external auditors, to clarify the allowable threshold for reconciling items.


8.8.03 Revenue Contracts New Policy:  developed to define revenue contracts.
9.1.02 UAMS Gift Acceptance Policy New Policy: The policy is not required by law, but there are many legal and ethical requirements for soliciting, accepting, processing, receipting and use of gifts. While Institutional Advancement has an internal policy and guidelines, this will be the first gift acceptance policy for UAMS.  The policy is not intended to cover 100% of the situations that arise with regard to gifts offered to UAMS and regarding how to handle such gifts. Instead, the policy covers the many common situations. Within most universities, the authority to solicit, accept, process and receipt gifts is assigned to an advancement or development office; however, universities also have a campus-wide gift acceptance policy in order to help educate faculty and staff about some of the general rules concerning gifts and gift acceptance. Faculty and staff often are involved with a gift on some level.


16.1.06                Mandatory Education Policy for Investigators/Study Personnel Participating in Human Subject Research Projects


Updated formatting, links and definitions; changed requirement for renewal of Human Subject Protection (HSP) training from every 2 years to every 3 years.  3 year renewal of training is in line with the UAMS IACUC requirements for animal researches, and is also in line with many other institutions’ HSP training. Revision made to existing policy at the


March 2016  
11.1.12 Campus Operations, Travel Insurance To clarify travel insurance coverage and when a department might need to purchase additional car rental insurance.  Also clarify that individuals who use their own personal cars for UAMS business also need to be aware that their personal insurance is primary when an “at fault” accident occurs.  UAMS insurance would be secondary when/if needed.


16.1.16 Research, Guidelines for Space Assignment of Laboratory Research Space No longer have a space committee, space assignments are now done by Executive Committee.  Updated all references to Space Committee and correct link to submit requests. Removed appeal process.


April 2016 Drug Free Workplace Changes in response to a new law that was passed this year which requires mandatory reporting if we terminate an employee due to a substance abuse issue.  Merging policy 4.4.06, Substance Abuse Policy, into this policy.  Policy 4.4.06 was retired upon approval of this policy.
16.1.21 Dual Use of Research of Concern NEW POLICY:  Written to comply with a new US governmental policy, the “United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern” which was effective September 24, 2015.  Per the new US governmental policy, noncompliance may result in suspension, limitation, or termination of US government funding or loss of future US government funding opportunities.  The Admin Guide Policy is necessary to set forth the compliance requirements and procedures for the conduct of any dual use research of concern at UAMS.


16.1.22 UAMS TRI Research Participant Registry New Policy: Developed as part of TRI’s efforts to facilitate translational research opportunities in Arkansas in order to enhance our efforts to accelerate, disseminate advances to prevent, diagnose and treat human illness.


4.6.14 Break Time for Nursing Mothers Minor Change: Hourly employees may also make arrangements with their supervisor to extend their work day in order to make up for time used to express milk when vacation leave would normally be used.



Updated 4/26/16
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