~Dual Comp Staff Provider Onboarding Binder 06.26.20

NEW HIRE ONBOARDING GUIDE 2020-21

COLLEGE OF MEDICINE DUALLY COMPENSATED CLINICIANS

Welcome 1

University of Cincinnati Academic Health System

College of Medicine

Facilities: • UC Health Physician Offices • University of Cincinnati Medical Center • West Chester Hospital • Daniel Drake Center for Post- Acute Care • Lindner Center of HOPE

Employee Lease

UC College of Medicine Vision: To be indispensable through excellence in education, research, and patient care.

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Dual Compensation Employment Status You are employed by University of Cincinnati (UC) and UC Physicians, Inc. (UCP) You practice at UC Health (UCH) facilities.

Provided by:

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PAYCHECK

TAX WITHHOLDING RETIREMENT CONTRIBUTIONS BENEFIT PACKAGE

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EMPLOYEE SELF SERVICE (HR/PAYROLL SYSTEM)

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EMPLOYEE NUMBER

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EMAIL ACCOUNT

NETWORK ACCESS/USER ID

EMPLOYEE BADGE

EMPLOYEE TRAINING

EPIC (EMR) SYSTEM

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Additional Information

Paycheck: • Pay day is the last business day of each month

• UC pay statement explanation: https://www.uc.edu/content/dam/uc/af/controller/payroll/docs/UnderstandingYourPayStub.pdf • UCP pay statement explanation: https://paycor-digital.s3.amazonaws.com/cs-training/Paycor+Interactive+Pay+Stub/story.html Tax Withholding: • Each payroll system projects tax liability based only on the pay processed in that system.

• This division of pay across two payroll systems can result in underestimation of total tax liability and low withholding. • Consult with a tax advisor to adjust withholdings as needed.

Social Security: • While working at UC and UCP you will NOT contribute to Social Security. • This may delay or change your eligibility for SS benefits. • You may become subject to the Windfall Elimination Provision o https://www.ssa.gov/pubs/EN-05-10045.pdf • Contact Social Security Administration with questions: https://www.ssa.gov • You will contribute to Medicare.

IT Support • University of Cincinnati: 513-556-HELP (4957) • UC Health: 513-585-MYPC (6972)

Welcome 4

USCIS Form I-9

Employment Eligibility Verification Department of Homeland Security U.S. Citizenship and Immigration Services

OMB No. 1615-0047 Expires 10/31/2022

► START HERE: Read instructions carefully before completing this form. The instructions must be available, either in paper or electronically, during completion of this form. Employers are liable for errors in the completion of this form. ANTI-DISCRIMINATION NOTICE: It is illegal to discriminate against work-authorized individuals. Employers CANNOT specify which document(s) an employee may present to establish employment authorization and identity. The refusal to hire or continue to employ an individual because the documentation presented has a future expiration date may also constitute illegal discrimination. Section 1. Employee Information and Attestation (Employees must complete and sign Section 1 of Form I-9 no later than the first day of employment , but not before accepting a job offer.) Last Name (Family Name) First Name (Given Name) Middle Initial Other Last Names Used (if any)

State ZIP Code

Address (Street Number and Name)

City or Town

Apt. Number

U.S. Social Security Number

Employee's Telephone Number

Employee's E-mail Address

Date of Birth (mm/dd/yyyy)

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I am aware that federal law provides for imprisonment and/or fines for false statements or use of false documents in connection with the completion of this form. I attest, under penalty of perjury, that I am (check one of the following boxes):

1. A citizen of the United States 2. A noncitizen national of the United States (See instructions) 3. A lawful permanent resident 4. An alien authorized to work until Some aliens may write "N/A" in the expiration date field.

(See instructions) (expiration date, if applicable, mm/dd/yyyy): (Alien Registration Number/USCIS Number):

QR Code - Section 1 Do Not Write In This Space

Aliens authorized to work must provide only one of the following document numbers to complete Form I-9: An Alien Registration Number/USCIS Number OR Form I-94 Admission Number OR Foreign Passport Number. 1. Alien Registration Number/USCIS Number:

OR

2. Form I-94 Admission Number:

OR

3. Foreign Passport Number: Country of Issuance:

Signature of Employee

Today's Date (mm/dd/yyyy)

Preparer and/or Translator Certification (check one): I did not use a preparer or translator. A preparer(s) and/or translator(s) assisted the employee in completing Section 1. (Fields below must be completed and signed when preparers and/or translators assist an employee in completing Section 1.) I attest, under penalty of perjury, that I have assisted in the completion of Section 1 of this form and that to the best of my knowledge the information is true and correct. Signature of Preparer or Translator Today's Date (mm/dd/yyyy)

Last Name (Family Name)

First Name (Given Name)

State ZIP Code

City or Town

Address (Street Number and Name)

Employer Completes Next Page

Page 1 of 3

Form I-9 10/21/2019

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USCIS Form I-9

Employment Eligibility Verification Department of Homeland Security U.S. Citizenship and Immigration Services

OMB No. 1615-0047 Expires 10/31/2022

Section 2. Employer or Authorized Representative Review and Verification (Employers or their authorized representative must complete and sign Section 2 within 3 business days of the employee's first day of employment. You must physically examine one document from List A OR a combination of one document from List B and one document from List C as listed on the "Lists of Acceptable Documents.") Last Name (Family Name) M.I. First Name (Given Name) Employee Info from Section 1 Citizenship/Immigration Status List A Identity and Employment Authorization Identity Employment Authorization OR List B AND List C

Document Title

Document Title

Document Title

Issuing Authority

Issuing Authority

Issuing Authority

Document Number

Document Number

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Expiration Date (if any) (mm/dd/yyyy)

Expiration Date (if any) (mm/dd/yyyy)

Document Title

QR Code - Sections 2 & 3 Do Not Write In This Space

Additional Information

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Certification : I attest, under penalty of perjury, that (1) I have examined the document(s) presented by the above-named employee, (2) the above-listed document(s) appear to be genuine and to relate to the employee named, and (3) to the best of my knowledge the employee is authorized to work in the United States. The employee's first day of employment (mm/dd/yyyy) : (See instructions for exemptions) Today's Date (mm/dd/yyyy) Signature of Employer or Authorized Representative Title of Employer or Authorized Representative

Last Name of Employer or Authorized Representative First Name of Employer or Authorized Representative Employer's Business or Organization Name

State ZIP Code

Employer's Business or Organization Address ( Street Number and Name ) City or Town

Section 3. Reverification and Rehires (To be completed and signed by employer or authorized representative.) A. New Name (if applicable) Last Name (Family Name) First Name (Given Name) Middle Initial B. Date of Rehire (if applicable) Date (mm/dd/yyyy)

C. If the employee's previous grant of employment authorization has expired, provide the information for the document or receipt that establishes continuing employment authorization in the space provided below.

Document Title

Document Number

Expiration Date (if any ) (mm/dd/yyyy)

I attest, under penalty of perjury, that to the best of my knowledge, this employee is authorized to work in the United States, and if the employee presented document(s), the document(s) I have examined appear to be genuine and to relate to the individual. Signature of Employer or Authorized Representative Today's Date (mm/dd/yyyy) Name of Employer or Authorized Representative

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Page 2 of 3

Form I-9 10/21/2019

LISTS OF ACCEPTABLE DOCUMENTS All documents must be UNEXPIRED Employees may present one selection from List A or a combination of one selection from List B and one selection from List C.

LIST A

Documents that Establish Identity LIST B

LIST C

Documents that Establish Employment Authorization

Documents that Establish Both Identity and Employment Authorization

OR

AND

2. Permanent Resident Card or Alien Registration Receipt Card (Form I-551) 1. U.S. Passport or U.S. Passport Card 3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine- readable immigrant visa 4. Employment Authorization Document that contains a photograph (Form I-766) 5. For a nonimmigrant alien authorized

For persons under age 18 who are unable to present a document listed above: 9. Driver's license issued by a Canadian government authority 6. Military dependent's ID card 7. U.S. Coast Guard Merchant Mariner Card 8. Native American tribal document 1. Driver's license or ID card issued by a State or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address 2. ID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address 3. School ID card with a photograph 4. Voter's registration card 5. U.S. Military card or draft record 10. School record or report card 11. Clinic, doctor, or hospital record 12. Day-care or nursery school record

7. Employment authorization document issued by the 6. Identification Card for Use of Resident Citizen in the United States (Form I-179) 2. Certification of report of birth issued by the Department of State (Forms DS-1350, FS-545, FS-240) 3. Original or certified copy of birth certificate issued by a State, county, municipal authority, or territory of the United States bearing an official seal 4. Native American tribal document 5. U.S. Citizen ID Card (Form I-197) Department of Homeland Security 1. A Social Security Account Number card, unless the card includes one of the following restrictions: (2) VALID FOR WORK ONLY WITH INS AUTHORIZATION (3) VALID FOR WORK ONLY WITH DHS AUTHORIZATION (1) NOT VALID FOR EMPLOYMENT

to work for a specific employer because of his or her status:

a. Foreign passport; and

6. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI b. Form I-94 or Form I-94A that has the following: (1) The same name as the passport; and (2) An endorsement of the alien's nonimmigrant status as long as that period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form.

Examples of many of these documents appear in the Handbook for Employers (M-274).

Refer to the instructions for more information about acceptable receipts.

Form I-9 10/21/2019

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COLLEGE OF MEDICINE-OFFICE OF THE DEAN UNIVERSITY OF CINCINNATI ACADEMIC HEALTH CENTER PO BOX 670555 CINCINNATI OH 45267-0555 3230 EDEN AVENUE

PHONE (513) 558-7333 FAX (513) 558-3512

THE POLICY AND GUIDELINES FOR INDUSTRY RELATIONSHIPS

THIS IS TO ACKNOWLEDGE THE RECEIPT OF MY PERSONAL COPY OF THE COLLEGE OF MEDICINE’S POLICY AND GUIDELINES FOR INDUSTRY RELATIONSHIPS GIVEN TO ME AS A NEW EMPLOYEE AT THE UNIVERSITY OF CINCINNATI. YOUR SIGNATURE INDICATES THAT YOU UNDERSTAND AND AGREE TO THE RULES SET FORTH IN THIS POLICY.

PRINT NAME:

SIGNATURE:

DATE:

PATIENT CARE - EDUCATION - RESEARCH - COMMUNITY SERVICE AN AFFIRMATIVE ACTION/EQUAL OPPORTUNITY INSTITUTION

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COLLEGE OF MEDICINE Operating Procedure/Guideline Industry Relationships Effective Date: 4/11/2019 Prior Effective Date: N/A

APPROVED BY COLLEGE OF MEDICINE COUNCIL Document Owner: CoM Sr. Associate Dean for Faculty Affairs Responsible

Category: CoM-HR Applicable for: CoM Faculty/Providers and Staff

Office(s): CoM Dean

Background In pursuit of its mission as a public institution of higher education, the University of Cincinnati (UC) College of Medicine (CoM) seeks excellence in the quality of its research, in the teaching and education it provides to its students, and to improve the health of the public through the delivery of effective and efficient clinical care. The success of the CoM depends upon the integrity of its members and the public’s confidence in it. This shared mission requires that faculty, students, trainees, and staff in the CoM interact with representatives of the pharmaceutical, biotechnology, medical device, and hospital equipment supply industry (hereinafter “Industry”), in a manner that advances the use of the best available evidence so that medical advancements and new technologies become broadly and appropriately available. Interactions with Industry occur in a variety of contexts, including marketing of new pharmaceutical products, medical devices, and hospital and research supplies on-site, on-site training of newly purchased devices, the development of new devices, educational support of medical students and trainees, and continuing medical education. Faculty and/or trainees may also participate in interactions with Industry off campus and in scholarly publications in a variety of circumstances including consulting activities of various sorts. While the interaction with Industry can be beneficial, and is important for promoting the educational, clinical and research missions of the CoM and for translating knowledge and expertise from the faculty to society and the community, Industry influence can also result in unacceptable conflicts of interest that may lead to increased costs of healthcare, compromised patient safety, negative socialization of students and trainees, biased research results, and diminished confidence and respect among patients, the general public and regulatory officials. Because the provision of financial support or gifts, even in modest amounts, may exert subtle but measurable impact on recipients’ behavior, the CoM has adopted the following policy to govern the interactions between Industry and CoM personnel. Policy Statement It is the policy of the CoM that clinical decision-making, education, and research activities be free from influence created by improper financial relationships with, or gifts provided by, Industry. For purposes of this policy, “Industry” is defined as any person or any public, private or not-for-profit entity that is not directly affiliated with UC and that is engaged in the pharmaceutical, medical device, and biotechnology industries, and their representatives acting in their official capacity. The term “Industry” does not include professional associations, not-for-profit volunteer health organizations, academic institutions or not-for-profit hospitals that are not substantially controlled by Industry and provide medical research/education-related products and services. Interactions with Industry should be conducted in such a manner so as to identify and address conflicts of interest and to comply with relevant provisions of University Policy and applicable law.

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This policy cannot address every conceivable manner of industry interactions with CoM personnel. Questions regarding a particular relationship or gift should be directed to the academic unit’s supervisor, the Industry Interactions Committee (IIC), or Senior Associate Dean for Faculty Affairs and Development. The following specific limitations and guidelines are directed to certain specific types of interactions with Industry. Scope of Policy This policy applies to all academic and administrative units of the CoM, and to all CoM personnel. This policy is intended to supplement the requirements of the applicable UC Board Rules and policies, including:

Enabling Acts

Description

University Rule 3361:10-17-03

Conduct and ethics: Code of Conduct.

University Rule 3361:10-17-08

Conduct and ethics: Policy on conflicts of interest in the conduct of research at UC. Conduct and ethics: Employee financial interest in private companies that are commercializing university discoveries, inventions or patents. Employment: Policy on collateral employment for faculty members and librarians. Employment: Policy on collateral employment for all employees (excluding faculty and librarians). Federal agencies sponsoring research require the university to maintain this policy as a condition for receiving federal grants. The requirements embodied in this policy are applicable to all proposals and subsequent awards submitted to and accepted by these federal agencies. Conflict of interest policy and statement for the UC IRB, effective December 2010.

University Rule 3361:10-17-09

University Rule 3361:30-21-02

University Rule 3361:30-21-03

Conflict of Interest on Externally Funded Projects 1.3.2

IRB Conflict of Interest Policy

This policy is inclusive of the following interactions: 1. Gifts 2. Meals 3. Consulting Relationships 4. Industry Sponsored Speaking 5. Attendance at Industry Sponsored Events 6. Industry Representative Presence 7. Pharmaceutical Samples

8. Industry Support of Education, Including Accredited Continuing Medical Education 9. Disclosure Requirements in CoM Curriculum and Extension of Policies to Community

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 2 of 12

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Educational Settings 10. Industry Support for Scholarships and Funds for Trainees/Fellows 11.Ghostwriting and Honorary Authorship 12.Clinical Proctoring Definitions

Conflict of Interest : Occurs when a CoM personnel’s obligation(s) to CoM are, could be, or appear to be compromised by the external activities or agreements undertaken by the personnel, or those undertaken by an immediate family member. Actual or potential conflicts of interest may take many forms, but frequently involve a tangible benefit to the personnel from an outside source, financial or otherwise, which may, or may appear to, influence the personnel’s professional actions. A conflict may also arise if a CoM personnel engages in activities with another organization that may compete with similar activities at UC CoM. Gift : Anything of any value including money, goods and services given directly to CoM personnel, or to his/her family, or to UC CoM, by an industry that does or seeks to do business with UC or any of its affiliates. Gifts do not include items of value that are provided as a bona fide component of a sanctioned transaction or activity. Immediate Family : The CoM personnel’s spouse, birth or adoptive parent, child, or sibling; stepparent, stepchild, stepbrother or stepsister; father-in-law, mother-in-law, son-in-law, daughter- in-law, brother-in-law, or sister-in-law; grandparent or grandchild; and spouse of a grandparent or grandchild. Industry : Any person or any public, private or not-for-profit entity that is not directly affiliated with UC and that is engaged in the pharmaceutical, medical device, and biotechnology industries, and their representatives acting in their official capacity. The term “Industry” does not include professional associations, not-for-profit volunteer health organizations, academic institutions or not-for-profit hospitals that are not substantially controlled by Industry and provide medical research/education-related products and services. Outside Activity : Includes collateral employment and activities (employment or service) outside of the university or within the university that is outside the scope of the individual’s normal employment. Outside Activity Report : A web-based system for preparing, reviewing, and approving collateral employment, conflict of commitment and conflict of interest. Personnel : Refers to all faculty, staff, and trainees of the UC CoM. “Trainees” include post- doctoral, graduate, undergraduate and medical students. Requirements for Disclosure Because outside activities available to CoM personnel are many and varied, no policy statement or procedures document can address all possibilities. It is therefore the obligation of each faculty and staff member to: 1. Carefully consider whether a particular activity might constitute an actual or perceived

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 3 of 12

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conflict of interest or a conflict of commitment; 2. If there are questions about the appropriateness of a potential activity and whether or not it qualifies for disclosure, discuss the activity with the direct supervisor, Department Chairperson, Section Chief or Center Director, the Conflict of Interest Committee, Industry Interactions Committee, or, for faculty, the Senior Associate Dean for Faculty Affairs and Development; and 3. Disclose activities using the Outside Activities Report (OAR) system including all outside and consulting activities, before undertaking the activities. All faculty and staff must receive approval from their direct supervisor (Department Chairperson, Center Director, Section Chief, etc.) and respective Dean prior to engaging in collateral employment or outside activities (University Board Rules 30-21-02 and 30-21-03). General Prohibited Activities CoM personnel conducting affairs on behalf of the university, including hiring and procurement, must do so in a manner that is objective, ethical, and has integrity. This includes individuals who use a Purchasing Card (P-Card) for the purpose of procuring goods or services for UC or one of its associated organizations. Regarding external interests and activities, the following actions by CoM personnel are prohibited: 1. Using the University name, marks, or logos for advertising purposes without prior Institutional approval; 2. Using any University address or official stationary of the University for personal or non- University business without prior approval; 3. Using University personnel, equipment, or services for personal gain without prior Institutional approval (e.g., facilities use agreement, sponsored research agreement or other appropriate contractual arrangement; or where de minimis, through the OAR approval process); 4. Using position or role to determine or influence the hiring, promotion, reappointment, evaluation, responsibilities, salary and termination status for an immediate family member; 5. Using position or role to determine or influence the selection of a vendor, in which you or your immediate family member have an interest, to provide goods or services to the University. Regarding external interests and activities and the design, conduct, reporting of research or scholarly activity, the following actions by CoM personnel are prohibited: 1. Using nonpublic research information to buy or sell stock; 2. Disclosing nonpublic research information or any other proprietary information to investment companies or other third parties for personal gain. Note: Individuals who have access to preliminary nonpublic research results related to clinical trials or other research with potential commercial value may be considered insiders for purposes of federal insider trading laws if the research is sponsored by companies with publicly traded stock.

Industry Interactions

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 4 of 12

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1. GIFTS

Gifts to CoM Personnel The CoM recognizes that the acceptance of gifts, even in modest amounts, can exert influence on the recipients’ behavior. CoM personnel should avoid even the appearance that their professional decisions might be influenced by any perceived or actual benefits from Industry. Accordingly, CoM personnel may not accept any personal gifts from industry under any circumstances. Examples of gifts include: • Entertainment • Goods or services for personal use • Travel Gifts to CoM Gifts that directly support the mission of UC CoM, (e.g., samples for evaluation, contributions towards seminars or other internal conferences, items of educational value such as books), may not be donated directly to CoM personnel under any circumstances, but may be donated to UC CoM, subject to the following: A. Gifts for research and educational purposes: Industry may support the research and educational missions of the CoM by providing unrestricted research or educational grants or gifts of the following items: books, instruments, equipment, research samples (e.g., reagents, antibodies, PCR kits, etc.) or teaching aids. Such unrestricted grant or gift funds will be placed in an appropriate UC CoM/UC Health account controlled by or accessible to the Dean of the CoM or its academic units and that is managed pursuant to UC/UC Health and or UC Foundation policies and procedures. Educational materials may be gifted by Industry to the CoM for use by CoM personnel and students provided such materials are approved by the academic unit head and have no branding beyond a logo on the cover or device. Gifts containing industry brands and/or logos such as clocks, pens, post-it pads, posters, etc. are marketing tools and must not be displayed in clinical and teaching areas. Anatomic models or charts that are deemed important for patient education and/or the CoM educational mission are permitted, but non-branded versions are preferred. Industry sponsored literature, models, and research samples may be utilized with the following provisions intended to minimize marketing and advertising influence: 1. The materials are used solely for education or research purposes. 2. COM personnel decide when they are utilized, not the Industry representative. 3. The materials are not overtly promotional in nature. 4. The recipient of the research sample, instrument, or equipment is not subject to any implicit or explicit expectation of providing something in return for the gift, i.e., a “quid pro quo”. 5. The educational literature and models must not be displayed publicly in a manner intended for the purpose of industry or product promotion.

B. Pharmaceutical samples: CoM Personnel may not accept pharmaceutical samples for patient care or personal use except as permitted by UC Health policies or that of the

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 5 of 12

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entity in which they’re practicing. Pharmaceutical samples provided for research purposes must comply with this policy for gifts for research purposes. C. Other gifts to UC CoM: Gifts not described above, such as support for non-CME educational events and cash donations, should be managed through the UC Foundation. Donors who want to give to the COM can work directly with the UC Foundation and the College of Medicine to discuss the various forms of which contributions are made. 2. MEALS CoM personnel may not accept on-site meals or any other gifts of food for themselves or others if sponsored, catered, or provided directly by Industry unless such meals are explicitly permitted by this policy. Industry funding for meals or in-kind contributions of food or beverages may not be accepted by CoM personnel or for CoM meetings, retreats or social events without approval from the CoM Industry Interactions Committee. Meals related to investigator meetings where participation is necessary for the investigator and his or her study staff to receive the appropriate training and experience to conduct the study are permitted. CoM personnel who choose to accept meals during their outside professional activities must be cognizant of the UC research-related conflict of interest policies and procedures and, if appropriate, it is their responsibility to report the monetary value of meals funded by Industry via the OAR system. For licensed providers, the value of such meals may be reported under the Physician Payment Sunshine Act (http://www.cms.gov/regulations-and- guidance/legislation/national-physician-payment-transparency-program/index.html). 3. CONSULTING RELATIONSHIPS CoM personnel may serve as consultants to industry; such relationships can lead to research, innovation and improvements in medical and surgical products, and can ultimately promote advances in patient care and in the research enterprise. Such consulting relationships must not: (a) interfere with University duties; (b) compromise professional ethics; (c) have elements that may be construed by the government as an illegal kickback (like an inappropriate Stark relationship); or (d) be used as a vehicle for direct payment to faculty aimed at convincing them to use an industry company’s products. Outside consulting relationships with industry paid directly to CoM personnel are permitted under the following conditions: A. The relationships must be disclosed via the OAR system prior to engaging in the outside activity; and approved by both the Department Chair and Dean; and B. Any outside activity must comply with UC CoM Conflict of Commitment policies. C. CoM personnel are advised that the relationship should be described in a formal written contract which documents the specific, legitimate tasks and deliverables, and that payments for services must be commensurate with the tasks performed considering the faculty member’s specialty, expertise, experience, and regional/national/international reputation. CoM personnel are responsible for ensuring their outside consulting activities comply with all applicable local, state, and federal

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 6 of 12

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regulations. Outside employment, consulting activities, and financial interests of CoM personnel may be disallowed if they result in conflicts with the employee’s duties, responsibilities, and obligations to the CoM as set forth in University of Cincinnati’s regulations and policies. It is the responsibility of the CoM personnel to ensure that no consulting or employment agreement that he or she enters into violates any University of Cincinnati regulations and policies as well as state and federal laws. 4. INDUSTRY SPONSORED SPEAKING CoM personnel may serve as speakers to present information relevant to Industry’s products. Such speaking opportunities may serve to provide necessary scientific and educational information to the medical and health care provider community. CoM personnel may spend time and effort apart from their assigned CoM duties in preparing for such presentations, and compensation by Industry may be offered. CoM personnel are permitted to speak on behalf of Industry but this must be conducted as an approved outside activity. The CoM personnel must disclose the activity via the OAR system prior to engaging in the outside activity. Approval may be dependent upon whether the CoM personnel is meeting his or her Departmental assignments and expectations. Speaking engagements will be permitted for one year (12 months) renewable terms. Payment to CoM personnel must be commensurate with the tasks performed considering the CoM personnel’s specialty, expertise, experience, and regional/national/international reputation. Speaking relationships must not function as de facto gifts from Industry or marketing of Industry products. Faculty are prohibited from receiving a retainer or other similar payments simply for being a member of a speakers’ bureau. Any payments for involvement with a speaker’s bureau must be in relation to actually performing a service as a speaker, lecturer, etc. Faculty are prohibited from participating in and receiving an honorarium for an Industry sponsored speaker’s bureau event when the sole goal of the activity is marketing of the vendor’s products. Any gathering where information is presented must be primarily dedicated to informing healthcare professionals about a product or treatment, providing scientific information, and promoting educational discourse on the topic presented. Meals must be reasonable as judged by local standards and not be part of an entertainment or recreational event. A CoM personnel’s spouse or other guest in a meal accompanying an informational presentation made by or on behalf of Industry is not appropriate. The content of the presentation should be produced by or fully vetted by the CoM personnel for scientific accuracy. The CoM reserves the right to review all content for appropriateness. If an Industry engagement requires that use of Industry prepared presentation materials on drug products, then the materials must follow pharmaceutical guidelines and present information on the FDA-approved use of the drug product. Speakers and their materials should clearly identify the company that is sponsoring the presentation and the fact that the speaker is presenting on behalf of the company.

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 7 of 12

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The CoM shall not sponsor or host any Industry speaker’s bureau activities unless these are part of a CoM CME-approved event. 5. ATTENDANCE AT INDUSTRY SPONSORED EVENTS CoM personnel may participate in or attend Industry-sponsored meetings, or other off-campus meetings where Industry support is provided, as long as: A. The activity is designed to promote evidence-based clinical care and/or advance scientific research; B. The financial support of Industry is prominently disclosed; C. Attendees do not receive gifts for attendance (attendees may be compensated for consultation services as part of their participation); D. Any meals provided are modest (i.e., the value of which is comparable to the Standard Meal allowance as specified by the United States Internal Revenue Service) and consistent with the educational or scientific purpose of the event. CoM personnel may accept an item with an Industry logo on it in conjunction with an educational conference (e.g., tote bag, a water bottle, etc.) if: A. The item has the name of the conference or sponsoring organization on it; B. The item is provided by the educational conference; C. The items is provided to all conference attendees. If a CoM personnel is participating as a speaker or presenter at an industry-sponsored event he or she must ensure: A. All lecture content is approved by the CoM personnel and reflects a balanced assessment of current knowledge, and the CoM personnel makes clear that the views expressed are the views of the speaker and not the CoM or UC Health; B. Compensation is reasonable and limited to reimbursement of reasonable travel expenses and a modest honorarium. C. Any honorarium in excess of $10,000 for a single event must be reviewed by the Industry Interactions Committee to avoid any perceived conflicts of interest. D. All honoraria must be disclosed in the OAR within 30 days of acquisition or discovery. Meetings with Industry regarding the potential purchase, lease or rental of equipment or services from Industry, and any meals provided at such a meeting must be in accordance with the policies of the respective purchasing department working with that CoM academic unit and the laws of the State of Ohio. In general, all costs for meals, travel, lodging, etc. for these meetings should be covered by a CoM department and not by Industry unless explicitly approved by a member of the purchasing department, senior administrator in the CoM, or the Industry Interactions Committee. Licensed providers should be aware of the Physician Payment Sunshine Act mandates that meals from Industry, which are commonly linked to industry-sponsored lectures, must now be reported and becomes part of the public domain. https://www.cms.gov/OpenPayments/Downloads/Affordable-Care-Act-Section-6002-Final- Rule.pdf. 6. INDUSTRY REPRESENTATIVE PRESENCE

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 8 of 12

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Industry representatives other than service personnel are not permitted on the premises of the CoM except for specific appointments with CoM personnel. Approvals may be granted on a per visit basis or as a standing appointment for a specific period of time. 7. PHARMACEUTICAL SAMPLES The use of pharmaceutical samples for the purposes of clinical care should defer to the policies of the clinical entity in which the physician practices. 8. INDUSTRY SUPPORT OF EDUCATION, INCLUDING ACCREDITED CONTINUING MEDICAL EDUCATION CoM personnel should be aware of the Standards for Commercial Support established by the Accreditation Council for Continuing Medical Education (ACCME). UC Continuing Medical Education (UC-CME) is dedicated to providing continuing education for physicians and other health professionals and they have established policies and procedures that address educational programs for practicing clinicians, including residents and fellows. These policies are available at https://uc.cloud-cme.com. All educational events organized by the CoM and sponsored by Industry, including those in an off-campus setting, must be fully compliant with ACCME guidelines, regardless of whether formal CME credit is awarded or not. In addition to the aforementioned ACCME Standards, educational events sponsored by Industry on the CoM campus shall comply with the following provisions: A. Funds for educational activities shall be provided to a central fund managed by the academic unit or division administrative office and not to individuals. The CME Office manages funds for certified CME activities through accounts set up by the CoM A&F Department. Contact the CME Office to make arrangements. B. Personal gifts of any type shall not be distributed to attendees or participants before, during, or after the activity, other than educational materials set forth in the Gift policy. Any items of value (gifts or other) provided to physician participants from industry are subject to being reported as a requirement of the Physician Payments Sunshine Act (PPSA), also known as section 6002 of the Affordable Care Act (ACA) of 2010, which requires medical product manufacturers to disclose to the Centers for Medicare and Medicaid Services (CMS) any payments or other transfers of value made to physicians or teaching hospitals. https://www.cms.gov/OpenPayments/About/Resources.html Industry Sponsorship COM personnel are prohibited from receiving funds directly to attend any CME or other education event from Industry. Industry wishing to provide support for attendance at a specific educational event should make a donation to the CoM to reduce the cost for all attendees. If Industry is interested in other support for an educational event or conference, including the purchase of food or rental of facilities, the Industry should make a monetary donation to the CoM academic unit for these purposes. If the activity is certified for CME credits, all grant funds and written Letters of Agreement must be managed through the CME Office, as described above. Exhibitor fees can be handled directly by the sponsoring department. In addition: A. The planning and coordination of the event must remain under control of the CoM/UC

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 9 of 12

Welcome 17

Health academic unit. B. Donated funds must remain under the control of the CoM/UC Health academic unit. C. Appropriate recognition of the Industry supporting the event must be provided, especially when the activity is granting CME or other continuing education credit. D. At the discretion of the academic unit head, the Industry representative(s) providing support for the event: 1. May attend the event; 2. May be introduced/recognized at the event; 3. May set up a table in an area adjacent to but separate from the educational event where he or she may distribute marketing or scientific literature; 4. May not distribute any gifts, trinkets or meals, beverages, snacks, candy or other food items; 5. May not conduct any marketing or commercial activities within the room where the educational event is occurring. 9. DISCLOSURE REQUIREMENT IN COM CURRICULUM AND EXTENSION OF POLICIES TO COMMUNITY EDUCATIONAL SETTINGS The CoM Curriculum Committee shall ensure that CoM medical students, graduate students, and undergraduate students are trained to understand the importance of federal, state, and institutional conflict of interest laws, rules, policies, and procedures, and include a balanced review of studies purporting to show how Industry promotion can influence professional judgment. Before commencing any lectures or formal presentations to students and other trainees, CoM personnel should disclose any relationships with Industry. The requirement to inform students and trainees should address the nature of the interest including the specific company and product and how they relate to the educational topic, whether in a lecture, seminar, rounds, team-based learning or other educational format. In community educational settings in which students or trainees might be exposed to Industry marketing or representatives, CoM personnel should strive to provide and to model professional behavior. Students and trainees should be informed in the course of their training, of the effect that exposure to pharmaceutical and device representatives may have on their autonomy and objectivity. 10. INDUSTRY SUPPORT FOR SCHOLARSHIPS AND FUNDS FOR TRAINEES/FELLOWS COM personnel may receive industry funding in the form of scholarships, educational funds, fellowships, and reimbursement of travel through travel grants. The following guidelines must be followed: A. All funds must be routed through a CoM/UC Health account in accordance with CoM or UC Health policies. Disbursement of all such funds must be approved in advance by the CoM Dean or academic unit head. B. Academic units may use monies provided by industry to pay for reasonable travel and tuition expenses for residents, students, or other trainees to attend conferences or training that have legitimate educational merit. Attendees must be selected by the department based upon merit and/or financial need, with documentation of the selection process provided to the CoM Dean upon request. The CoM Dean may

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 10 of 12

Welcome 18

disallow use of Industry funds at his/her discretion. C. Selection of recipients of such funds must be the sole responsibility of CoM with no involvement of Industry. Industry may elect to support a specific activity or topic of advanced training, but Industry may not select individual recipients of the fellowship. D. The recipient of the funding may not be subjected to any conditions dictated by the Industry sponsor. 11. GHOSTWRITING AND HONORARY AUTHORSHIP Interaction between CoM personnel and industry in the pursuit of scientific knowledge is appropriate and may lead to development of important new concepts. It is expected, however, that CoM personnel who publish papers with collaborators from Industry will participate in development of the study in a meaningful way. Physicians, researchers, and other healthcare professionals rely heavily on the information they read in journal articles and other sources of the medical literature to make diagnostic, therapeutic, and research decisions, and they should be able to trust any recommendations made reflect the research and opinions of the authors and not the hidden influence of writers hired by industry. CoM personnel are strictly prohibited from participating in any way in publications or professional presentations of any kind, oral or written, which have been “ghostwritten” by any party, industry or otherwise. Ghostwriting shall mean the provision of written material that is officially credited to someone other than the writer(s) of the material. Transparent writing collaboration with attribution between academic and Industry investigators, medical writers, and/or technical experts is not ghostwriting. CoM personnel are encouraged to follow the International Committee of Medical Journal Editors standards for authorship and contributorship (found here: http://www.icmje.org/) which require each author to contribute and participate meaningfully in the work. 12. CLINICAL PROCTORING Proctoring is an assessment of skills based on observation by a credentialed individual with institutional privileges that may be used in lieu of data from a peer-review process or established criteria relating to minimal volumes of procedures performed. Therefore, proctoring is a process administered through the hospital/clinic credentialing committee to objectively monitor, regulate or oversee individual privileging for its medical staff. Proctoring is separate from precepting, in which an instructor or teacher (a preceptor) is responsible for the actions of a learning individual and is not, in whole or part, to promote an Industry. CoM personnel may proctor other faculty within our institution as well as outside of hospitals and health systems unaffiliated with University of Cincinnati or UC Health. All internal and external requests for proctoring must originate from a university or health system. Requests from Industry must be approved by the IIC. Payment to faculty for proctoring services performed outside of UC Health should be at fair market value with clear objectives outlined in writing. Reporting and Enforcement

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 11 of 12

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The UC CoM, through an Industry Interactions Committee (IIC) designated by the Dean, shall have the authority to administer this policy. The designated committee will have the following responsibilities: 1. To advise personnel on the interpretation of this policy and to develop additional guidelines for its implementation, as necessary; 2. To refer instances of non-compliance with this policy, along with any recommended action, to the UC CoM Dean or the Dean’s designee and Chair of the Industry Interactions Committee, for final action. Any such action taken will be in accordance with applicable UC CoM and university policies and procedures. Failure to comply with any of the provisions of this policy may be subject to disciplinary action up to and including termination. To the extent required by a research sponsor, UC Office of Research in collaboration with UC CoM will notify the research sponsor of the violation and any corrective action taken or to be taken. If a research sponsor should report a case of non-compliance, by CoM personnel, UC Office of Research and UC CoM will require the CoM personnel to fulfill all reporting requirements, to the extent required by the research sponsor. Organizational units may institute policies more, but not less, restrictive than these guidelines if desired. Related Links

Phone Contacts CoM Faculty Affairs

558-2483

Date Approved by College of Medicine Council Signature

April 11, 2019

Dean, College of Medicine

College of Medicine Operating Procedure/Guideline Industry Relationships, Page 12 of 12

Welcome 20

Section 2: Retirement Savings 2020-21

COLLEGE OF MEDICINE DUALLY COMPENSATED CLINICIANS

Retirement 1

BASIC EMPLOYERCONTRIBUTIONS UC OFFERS THE FOLLOWING RETRI EMENT CONTRBIUTIONS IN LIEU OF CONTRBIUTING TO SOCIAL SECURITY. ASSTATE OF OHIO PUBLIC EMPLOYEES, EMPLOYEES WILL NOT CONTRIBUTE TO SOCIAL SECURITY. UCRETIREMENT SAVINGS

APPLIES ONLY TO UCSALARY

OPTION 1: OPERS: OHIO PUBLIC EMPLOYEE RETIREMENT SYSTEM*

□ AVAILABLE TO FULL-TIME DANPART-TIME EMPLOYEES □ VESTING SCHEDULE APPLIES □ UC CONTRIBUTION: □ 11.5% - DEFINED CONTRIBUTION PLAN □ 14% - DEFINED BENEFIT PLAN □ 12% - COMBINED PLAN □ EMPLOYEE MANDATORY CONTRIBUTION – 10%

PLAN INFORMATOIN

OPTION 2: ARP: ALTERNATIVE RETIREMENT PLAN*

□ AVAILABLE TO FULL-TIME (100% FTE) EMPLOYEES □ DEFINED CONTRIBUTION PLAN □ IMMEDIATE VESTIGNSCHEDULE □ UC CONTRIBUTES 11.56% OF EMPLOYEE’S ELIGIBLE PAY □ EMPLOYEE MANDATORY CONTRIBUTION – 10%

ARP PLAN ADMNI ISTRATORS

TIAA VOYA

□ AXA □ FIDELITY

*MUST ELECT UC RETIREMENT OPTION IN FIRST 120 DAYS. ELECTION IS IRREVOCABLE.

NEXT STEPS: COMPLETE THE UC RETIREMENT PLAN ELECTION FORM (NEXT STEP S TAB)

2

UC VOLUNTARYRETIREMENT SAVINGS

EMPLOYEEVOLUNTARYCONTRIBUTIONS

ELIGIBILITY

ALL EMPLOYEES

EMPLOYEES MAY DIRECT ADDITIONAL RETIREMENT SAVINGS

CONTRIBUTIOSN TO:

PLANINFORMATION

□ 403(B) PRE -TAX CONTRIBUTION □ 457(B) PRE-TAX CONTRIBUTION

□ EMPLOYEEDIRECTEDUPTO ANNUA L IRS LIMIT OF $19,500. □ $6,500 CATCH UPCONTRIBUTIONAVAILABLE FOR AGE 50AND OLDER

EMPLOYEECONTRIBUTION

403(B)AXA, FIDELITY, TIAA, VOYA 457(B) OHIO DEFFERED COMPENSATION

PLANADMINISTRATORS

UC RETIREMENT PROVIDERS & INFORMATION: http://www.uc.edu/hr/benefits/retirement-benefits.html

OPERS: 1 (800) 222-7377 www.opers.org STIRS: 1 (888) 227-7877 www.strsoh.org

ARP Vendor s AXA Equitable

Phone

Website

www.mainstreetfinancialservices.com www.axa-equitable.com www.netbenefits.com/universityofcincinnati

800-551-2423

Fidelity Investments

859-240-2513

TIAA

513-263-2800

https://www.tiaa.org/public/tcm/uc

VOYA Financial

800-451-4702 ext. 4025462 ohioarp.beready2retire.com

3

University of Cincinnati

RETIREMENT PLAN COMPARISON CHART FOR STAFF

Feature

ARP Defined Contribution

OPERSMember-Directed Plan (Defined Contribution)

OPERS Traditional Pension Plan (Defined Benefit)

OPERS Combined Plan (Defined Benefit and Defined Contribution)

Eligibility

All staff

All staff

All staff

Eligible staff with appointments of at least 100% FTE

Plan Type

Defined Contribution • Account balance consists of contributionsmade by you andUC, aswell as any investment gains or losses you may have on these contributions. • The benefit amount is determined by your account balance and the payment option(s) you choose when you apply to receive benefits.

Defined Contribution • Account balance consists of contributionsmade by you andUC, aswell as any investment gains or losses you may have on these contributions. • The benefit amount is determined by your account balance and the payment option(s) you choose when you apply to receive benefits.

Defined Benefit • The benefit amount is based on a formula using your age, years of service credit, and final average salary.

CombinationofDefinedBenefit (DB) and Defined Contribution (DC) • DC portion: Account balance consists of your contributionsand your investment gains or losses. The DC benefit is determined by your account balance and the payment option(s) you choose when you apply to receive benefits. • DB portion: The DB benefit amount isbased ona formulausing your age, yearsof service credit, and final average salary.

• Your pre-tax contribution amount for any of these plans is 10% 1 of your eligible compensatio n

2 per pay.

Employee Contributions

• UC contributes an amount equal to 14% 1 of your eligible compensation 2 per pay to your selected retirement plan, allocated as follows:

University Contributions

• 11.56% 1 goes to your selected ARP account provider. • 2.44% 1 goes to theOPERS Traditional Pension Plan to help fund past service liabilities, as required by law.

• 7.5% 1 goes to your individual OPERS account. • 4% 1 goes to your OPERS Retiree Medical Account (RMA). • 2.% 1 goes to the OPERS Traditional Pension Plan to help fund past service liabilities, as required by law. • .5% Administrative Expense • Your contributionsare immediately vested. • University contributions are fully vestedafter fiveyearsof contributing service in the plan. You are vested in a percentage of university contributions based on years of service credit: 1 Year: 20%; 2 Years: 40%; 3Years: 60%; 4Years: 80%; 5 Years: 100% Retiree Medical Account vesting varies based on date of OPERS membership.

• 14.0% 1 goes to theOPERS Traditional Pension Plan to help fund your future OPERS retirement benefits.

• 12% 1 goes to theOPERS Traditional Pension Plan to help fund your future OPERS DB retirement benefits .(DB)

• 2% 1 goes to theOPERS Traditional Pension Plan to help fund past service liabilities, as required by law. (DC)

• Your contributionsare immediately vested. • University contributions generally are immediately vested.

• Your contributionsare immediately vested. • After 1.5 years of service credit, you are vested for survivor benefits. • After five yearsof service credit, you are vested for: – an age and service retirement benefit – disability benefits 3 – an additional a portion of your contributions are vested after the 5 and 10 year mark Your benefit amount grows by adding years of service credit (earnedor purchased) and with increases to your eligible compensation.

• Your contributionsare immediately vested. • After 1.5 years of service credit, you are vested for survivor benefits. • After five years of service credit, you are vested for: – an age and service retirement benefit – disability benefits 3 – an additional portion of your contributions are vested after the 5 and 10-year mark • The DC account consists of your contributions, as well as with any investment gains or losses you may have on those contributions. • The benefit amount from the DB portion grows by adding years of service credit (earned or purchased) and with increases to your eligible compensation. • DCportion: Contributions are invested with OPERS. You allocate the contributions among a variety of investment options. You assume all investment risk and pay any associated management fees. • DB portion: OPERS manages all assets to fund your benefits. You assume no investment risk and pay no associated management fees.

Vesting

How Your Benefit Grows

Your account consists of contributionsmade by you andthe university, aswell aswith any investment gains or losses you may have on those contributions.

Your account consists of contributionsmade by you and the university, aswell aswith any investment gains or losses you may have on those contributions.

• You choose an approved ARP provider throughwhich you invest and allocate contributions among a variety of investment options. • You assume all investment risk and pay any associated management fees.

• Contributions are invested with OPERS. You allocate the contributions among a variety of investment options. • You assume all investment risk and pay any associated management fees.

• OPERSmanages all assets to fund your benefits. • You assume no investment risk and pay no associated management fees.

Investment Management and Options

April 2018

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